Pages 47039±47264 Vol. 60 9±11±95 No. 175 federal register September 11,1995 Monday this issue. Atlanta, GA,seeannouncementontheinsidecoverof For informationonbriefingsinWashington,DCand Briefings onHowToUsetheFederalRegister 1 II Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995
SUBSCRIPTIONS AND COPIES
PUBLIC Subscriptions: Paper or fiche 202–512–1800 FEDERAL REGISTER Published daily, Monday through Friday, Assistance with public subscriptions 512–1806 (not published on Saturdays, Sundays, or on official holidays), by Online: the Office of the Federal Register, National Archives and Records Telnet swais.access.gpo.gov, login as newuser 2 III Contents Federal Register Vol. 60, No. 175 Monday, September 11, 1995 Agency for International Development Drug Enforcement Administration NOTICES NOTICES Housing guaranty program: Applications, hearings, determinations, etc.: India, 47181–47182 Novosad, Charles L., Jr., M.D., 47182–47183 Agricultural Research Service Employment and Training Administration NOTICES NOTICES Grants and cooperative agreements; availability, etc.: Adjustment assistance: Biotechnology risk assessment research program, 47236– Adams-Millis, 47183 47238 Amerada Hess Corp., 47183 Brown, H. L., Jr., 47184 Agriculture Department E.I. Du Pont De Nemours & Co., Inc., 47183–47184 See Agricultural Research Service FHF Apparel et al., 47184 See Animal and Plant Health Inspection Service Rockwell Graphics Systems, 47184–47185 See Cooperative State Research, Education, and Extension Roxanne Swimsuits/Art San et al., 47185 Service Shogren Industries et al., 47185–47186 See Forest Service Sundstrand Corp., 47186 See Natural Resources Conservation Service Energy Department Alcohol, Tobacco and Firearms Bureau See Federal Energy Regulatory Commission RULES Engineers Corps Alcohol; viticultural area designations: NOTICES St. Helena, CA, 47053–47061 Environmental statements; availability, etc.: Lewis and Clark County, MT; gold and silver mining Animal and Plant Health Inspection Service operation, 47156–47157 PROPOSED RULES Lower Atchafalaya Basin, LA; reevaluation study, 47157 Plant-related quarantine, foreign: Memphis, TN; proposed finance and accounting activities Citrus fruits from Australia, 47101–47103 consolidation, 47157–47158 Army Department Environmental Protection Agency See Engineers Corps RULES Air pollution; standards of performance for new stationary Commerce Department sources: See Foreign-Trade Zones Board Ultraviolet radiation-cured coatings, 47095–47097 See International Trade Administration Air quality implementation plans; approval and See National Institute of Standards and Technology promulgation; various States; air quality planning See National Oceanic and Atmospheric Administration purposes; designation of areas: NOTICES Kentucky, 47089–47095 Agency information collection activities under OMB Air quality implementation plans; approval and review: promulgation; various States: Proposed agency information collection activities; California, 47074–47076 comment request, 47146–47148 Connecticut, 47076–47081 Delaware et al., 47081–47084 Competitiveness Policy Council Pennsylvania, 47084–47085 NOTICES Tennessee, 47085–47088 Meetings, 47155–47156 Wisconsin, 47088–47089 Air quality planning purposes; designation of areas: Cooperative State Research, Education, and Extension Connecticut, 47097–47099 Service PROPOSED RULES NOTICES Air programs: Grants and cooperative agreements; availability, etc.: Outer Continental Shelf regulations— Biotechnology risk assessment research program, 47236– Consistency update, 47140–47141 47238 Air quality implementation plans; approval and promulgation; various States: Defense Department California, 47137–47138 See Engineers Corps Connecticut, 47138 NOTICES Delaware et al., 47138–47139 Agency information collection activities under OMB Kentucky, 47139 review, 47156 Tennessee, 47139–47140 Meetings: Air quality planning purposes; designation of areas: Semiconductor Technology Council, 47156 Connecticut, 47142 IV Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Contents Debarment and suspension (nonprocurement) and drug-free Texas Gas Transmission Corp., 47168 workplace requirements: Transcontinental Gas Pipe Line Corp., 47168–47169 Clean Air and Water Acts; facilities ineligibility in Transwestern Pipeline Co., 47169–47170 performance of Federal contracts, grants, and loans, Trunkline Gas Co., 47170 47135–47137 Utility-Trade Corp., 47170 NOTICES Air pollution control; new motor vehicles and engines: Federal Labor Relations Authority Urban buses (1993 and earlier model years); retrofit/ NOTICES rebuild requirements; equipment certification— Agency information collection activities under OMB Engelhard Corp., 47170–47171 review, 47175 Committees; establishment, renewal, termination, etc.: Clean Air Act Advisory Committee, 47171–47172 Federal Reserve System Radiation protection programs: NOTICES Yucca Mountain, NV; radioactive waste repository; report Applications, hearings, determinations, etc.: availability and meetings, 47172–47174 First United Bancshares, Inc., 47175–47176 Toxic and hazardous substances control: Malvern Bancorporation et al., 47176 Chemical testing— State Street Boston Corp.; correction, 47176 Data receipt, 47174–47175 Lead-based paint hazards identification dialogue, 47248– Federal Retirement Thrift Investment Board 47257 NOTICES Toxic Release Inventory Phase 3; chemical use data, public Meetings; Sunshine Act, 47204 meeting, 47174 Food and Drug Administration Farm Credit Administration RULES PROPOSED RULES Animal drugs, feeds, and related products: Farm credit system: Sponsor name and address changes— Financing; eligibility criteria and scope and purposes of ADM Animal Health & Nutrition Division, 47052– loans, 47103–47121 47053 NOTICES Food additives: Meetings; Sunshine Act, 47203–47204 Paper and paperboard components— Federal Aviation Administration 2-Bromo-2-nitro-1,3-propanediol; correction, 47205 NOTICES Airport noise compatibility program: Foreign Assets Control Office Savannah International Airport, GA, 47197 RULES Meetings: Iranian transactions regulations: Research, Engineering, and Development Advisory National emergency and sanctions against Iran; Executive Committee, 47197–47198 Orders 12957 and 12959; implementation, 47061– 47074 Federal Energy Regulatory Commission NOTICES Foreign-Trade Zones Board Electric rate and corporate regulation filings: NOTICES PECO Energy Corp. et al., 47158–47159 Applications, hearings, determinations, etc.: Meetings; Sunshine Act, 47202–47203 Florida, 47148 Natural gas certificate filings: Hawaii Southern Natural Gas Co. et al., 47159–47160 Kerr Pacific Corp.; animal feeds, 47148–47149 Applications, hearings, determinations, etc.: Maryland Alliance Strategies, 47160–47161 Rotorex Co., Inc.; rotary compressors, 47149 ANR Pipeline Co., 47161 Texas, 47149 CNG Transmission Corp., 47161–47162 Columbia Gas Transmission Corp., 47161 Forest Service ElecTech, Inc., 47163 NOTICES El Paso Natural Gas Co., 47162–47163 Meetings: Great Lakes Gas Transmission L.P., 47163 Intergovernmental Advisory Committee, 47145 Iroquois Gas Transmission System L.P., 47163–47164 JPower, 47164 Government Ethics Office Kentucky West Virginia Gas Co., 47164 PROPOSED RULES Kern River Gas Transmission Co., 47164 Conflict of interests, 47208–47233 Mississippi River Transmission Corp., 47164–47165 National Fuel Gas Supply Corp., 47165 Government Printing Office Nora Transmission Co., 47165 NOTICES Northern Natural Gas Co., 47165–47166 Meetings: Northwest Pipeline Corp., 47166 Online access to Federal Register and other Federal Pacific Interstate Offshore Co., 47166 databases; demonstration, 47176–47177 Panhandle Eastern Pipe Line Co., 47166 Puget Sound Power & Light Co., 47167 Health and Human Services Department Southern Natural Gas Co., 47167–47168 See Food and Drug Administration Sumas International Pipeline Inc., 47168 See Public Health Service Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Contents V Housing and Urban Development Department National Institute of Standards and Technology RULES NOTICES Federal regulatory review, 47260–47263 Inventions, Government-owned; availability for licensing, NOTICES 47154 Organization, functions, and authority delegations: Meetings: Directors of Public Housing et al.; limited denials of Laboratory accreditation issues; open forum, 47154– participation, 47177–47178 47155 Indian Affairs Bureau National Oceanic and Atmospheric Administration PROPOSED RULES RULES Indian Self-Determination Negotiated Rulemaking Fishery conservation and management: Committee Gulf of Mexico and South Atlantic coastal migratory Meetings, 47131 pelagic resources, 47100 PROPOSED RULES Fishery conservation and management: Interior Department North Pacific Fisheries research plan; teleconference See Indian Affairs Bureau public hearing, 47142–47144 See Land Management Bureau NOTICES See National Park Service Meetings: See Reclamation Bureau New England Fishery Management Council, 47155 Permits: Internal Revenue Service Marine mammals, 47155 RULES Income taxes: National Park Service Capitalization of interest; correction, 47053 NOTICES Native American human remains and associated funerary International Development Cooperation Agency objects: See Agency for International Development Utah Field House of Natural History State Park, UT; human cranium, 47181 International Trade Administration National Science Foundation NOTICES NOTICES Antidumping: Meetings: Dynamic random access memory semiconductors of one Education and Human Resources Advisory Committee, megabit or above, from— 47186 Korea, 47149–47152 Sulfanilic acid from— Natural Resources Conservation Service India, 47152–47153 NOTICES North American Free Trade Agreement (NAFTA); Environmental statements; availability, etc.: binational panel reviews; Honey Creek Watershed, IN, 47145 Cut-length plate from— Muddy Fork of Silver Creek Watershed, IN, 47145–47146 Mexico, 47153–47154 Nuclear Regulatory Commission Justice Department NOTICES See Drug Enforcement Administration Non-power reactors; application format and content guidance and review plan and acceptance criteria; Labor Department availability, 47186–47187 See Employment and Training Administration Petitions; Director’s decisions: See Occupational Safety and Health Administration Boston Edison Co., 47187–47193 Applications, hearings, determinations, etc.: Land Management Bureau Duquesne Light Co. et al., 47193 NOTICES Houston Lighting & Power Co. et al., 47193–47194 Motor vehicle use restrictions: Occupational Safety and Health Administration Colorado, 47178–47179 Realty actions; sales, leases, etc.: PROPOSED RULES State plans; development, enforcement, etc.: California, 47179 U.S. Virgin Islands, 47131–47133 Nevada, 47179–47180 Personnel Management Office National Aeronautics and Space Administration RULES RULES Administrative grievance system; conforming amendments, Acquisition regulations: 47039–47041 Ombudsman program; NASA and installation ombudsmen included in solicitations and contracts; Postal Service identification, 47099–47100 RULES NOTICES Conflict of interests, 47240–47245 Patent licenses; non-exclusive, exclusive, or partially exclusive: Public Health Service Wessex, L.L.C., 47186 See Food and Drug Administration VI Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Contents NOTICES NOTICES Agency information collection activities under OMB Agency information collection activities under OMB review: review, 47198–47201 Proposed agency information collection activities; comment request, 47177 United States Institute of Peace NOTICES Railroad Retirement Board Meetings; Sunshine Act, 47204 PROPOSED RULES Railroad Retirement Act: Veterans Affairs Department Disability determination, 47122–47126 PROPOSED RULES NOTICES Medical benefits: Supplemental annuity program; determination of quarterly Adult day health care, community residential care, and rate of excise tax, 47194 veterans with alcohol and drug dependence disorders Reclamation Bureau contract programs— NOTICES Incorporations by reference; update, 47133–47134 Central Valley Project Improvement Act: Water conservation plans; evaluation criteria; decision, 47180 Separate Parts In This Issue Environmental statements; availability, etc.: Narrows Project, UT, 47180 Part II Government Ethics Office, 47208–47233 Securities and Exchange Commission RULES Part III Investment companies: Department of Agriculture, Agricultural Research Service, Securities; registration fees, 47041–47051 47236–47238 NOTICES Self-regulatory organizations; proposed rule changes: American Stock Exchange, Inc., 47194–47196 Part IV Chicago Stock Exchange, Inc., 47196 Postal Service, 47240–47245 Social Security Administration Part V PROPOSED RULES Environmental Protection Agency, 47248–47257 Supplemental security income: Aged, blind, and disabled— Part VI Vocational rehabilitation services payments, 47126– Housing and Urban Development Department, 47260–47263 47131 Transportation Department Reader Aids See Federal Aviation Administration Additional information, including a list of public laws, NOTICES telephone numbers, and finding aids, appears in the Reader Aviation proceedings: Aids section at the end of this issue. Certificates of public convenience and necessity and foreign air carrier permits; weekly applications, 47196–47197 Electronic Bulletin Board Treasury Department Free Electronic Bulletin Board service for Public Law See Alcohol, Tobacco and Firearms Bureau numbers, Federal Register finding aids, and a list of See Foreign Assets Control Office documents on public inspection is available on 202–275– See Internal Revenue Service 1538 or 275–0920. Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Contents VII CFR PARTS AFFECTED IN THIS ISSUE A cumulative list of the parts affected this month can be found in the Reader Aids section at the end of this issue. 5 CFR 580...... 47260 Ch. LX...... 47240 595...... 47260 300...... 47039 596...... 47260 550...... 47039 598...... 47260 752...... 47039 599...... 47260 771...... 47039 600...... 47260 831...... 47039 811...... 47260 842...... 47039 900...... 47260 907...... 47260 Proposed Rules: 965...... 47260 2640...... 47208 967...... 47260 7 CFR 1730...... 47260 Proposed Rules: 1800...... 47260 319...... 47101 1895...... 47260 2700...... 47260 12 CFR 25 CFR Proposed Rules: 613...... 47103 Proposed Rules: 614...... 47103 Ch. I ...... 47131 618...... 47103 26 CFR 619...... 47103 1...... 47053 626...... 47103 27 CFR 17 CFR 9...... 47053 270...... 47041 274...... 47041 29 CFR 20 CFR Proposed Rules: 1952...... 47131 Proposed Rules: 220...... 47122 31 CFR 404...... 47126 560...... 47061 416...... 47126 38 CFR 21 CFR Proposed Rules: 176...... 47205 17...... 47133 510...... 47052 520...... 47052 39 CFR 558...... 47052 447...... 47241 24 CFR 40 CFR 1...... 47260 52 (7 documents) ...... 47074, 3...... 47260 47076, 47081, 47084, 47085, 8...... 47260 47088, 47089 11...... 47260 60...... 47095 15...... 47260 81 (2 documents) ...... 47089, 16...... 47260 47097 24...... 47260 Proposed Rules: 39...... 47260 15...... 47135 40...... 47260 32...... 47135 49...... 47260 52 (5 documents) ...... 47137, 86...... 47260 47138, 47139 90...... 47260 55...... 47140 103...... 47260 81...... 47142 106...... 47260 120...... 47260 48 CFR 130...... 47260 1803...... 47099 200...... 47260 1815...... 47099 205...... 47260 1852...... 47099 209...... 47260 50 CFR 210...... 47260 642...... 47100 211...... 47260 224...... 47260 Proposed Rules: 225...... 47260 677...... 47142 226...... 47260 227...... 47260 228...... 47260 229...... 47260 238...... 47260 240...... 47260 250...... 47260 270...... 47260 271...... 47260 277...... 47260 278...... 47260 500...... 47260 511...... 47260 575...... 47260 577...... 47260 578...... 47260 579...... 47260 47039 Rules and Regulations Federal Register Vol. 60, No. 175 Monday, September 11, 1995 This section of the FEDERAL REGISTER methods and options for informal administrative review system, and this contains regulatory documents having general disposition of employment disputes.’’ aspect of human resources management applicability and legal effect, most of which Among other things, the will be subject to OPM’s review as part are keyed to and codified in the Code of recommendation specifies that OPM of its oversight program. Third, the Federal Regulations, which is published under should eliminate ‘‘all regulations negative consequences of not having a 50 titles pursuant to 44 U.S.C. 1510. governing internal agency grievance and system are so clear that they should The Code of Federal Regulations is sold by appeal procedures, thus freeing agencies deter any agency from letting that the Superintendent of Documents. Prices of to tailor ADR techniques to various happen. Nevertheless, as suggested by new books are listed in the first FEDERAL situations.’’ one of the commenters, OPM is REGISTER issue of each week. Proposed changes to implement this retaining the single requirement that recommendation were published on any AGS established under the current December 5, 1994 at 59 FR 62353 for regulations must remain in effect until OFFICE OF PERSONNEL public comment. Comments were modified or until that AGS is replaced MANAGEMENT received from three agencies, two with another system or process for the individuals, and two unions. The resolution of workplace disputes. The 5 CFR Parts 300, 550, 752, 771, 831 and agencies were generally supportive of remainder of the current regulations are 842 the change while the individuals and abolished as proposed. OPM believes RIN 3206±AG37 the unions were concerned that this course of action affords agencies employees might be deprived of a maximum flexibility while at the same Agency Administrative Grievance benefit if agencies are not required to time preserving the rights of individual System have a AGS. These comments are employees. addressed below. Here, OPM repeats and emphasizes AGENCY: Office of Personnel One agency, while supporting the Management. the comment made when proposing this opportunity to develop a grievance change—that agencies are not precluded ACTION: Final rule. procedure that fits their ‘‘needs, from continuing their AGS procedures SUMMARY: The U.S. Office of Personnel resources, and particular established under part 771 to resolve Management (OPM) is abolishing characteristics,’’ commented that there workplace disputes (in fact, agencies regulations at 5 CFR part 771 on the is a need for ‘‘limited’’ Government- arerequired to continue these agency administrative grievance system wide regulation. Here the agency procedures at least until they are (AGS). However, any AGS established recommends that OPM mandate modified or replaced). Again, as noted under the current regulations must ‘‘universal standards’’ of due process when OPM proposed this change, remain in effect until modified or and a minimal avenue for seeking agencies, as suggested by the NPR, can replaced by the agency with another redress of grievances in the interest of take the opportunity to use ADR dispute resolution process. This change equity and fairness to employees. One techniques in helping resolve disputes implements a human resources union comment was that OPM require in the workplace and to do so without management recommendation under the the maintenance of the AGS absent the restrictions contained in the current National Performance Review (NPR). establishment of some other system. regulations that might negatively affect The change also is consistent with One individual suggested that it is agency flexibility to design and operate OPM’s initiative under the NPR to unnecessary for the current regulations appropriate workplace dispute sunset the Federal Personnel Manual to be abolished in order for agencies to resolution procedures. OPM’s Office of (FPM), which included abolishing FPM experiment with ADR techniques—such Labor Relations and Workforce Chapter 771 on the AGS as of December experimentation could take place within Performance will be available upon 31, 1993. the parameters of the regulations. request to assist agencies in such efforts. OPM recognizes the concern that the One commenter stated that EFFECTIVE DATE: October 11, 1995. absence of a regulatory requirement to elimination of the regulations would FOR FURTHER INFORMATION CONTACT: have an AGS could result in some serve to expand the scope of bargaining Gary D. Wahlert (202) 606–2920. agencies not having one and that this in on the scope of negotiated grievance SUPPLEMENTARY INFORMATION: The turn could result in adverse procedures. OPM disagrees—the scope National Performance Review was consequences such as leaving some of such procedures is dictated by the issued on September 7, 1993. Appendix employees without a forum to resolve provisions of Chapter 71 of title 5 of the C to the NPR is entitled Major some types of workplace disputes. OPM United States Code. Elimination of part Recommendations Affecting concurs with one agency’s comment 771 does not expand or in any manner Governmental Systems and includes a that the unavailability of a forum could modify the labor-management relations number of recommendations concerning lead to loss of morale, increased statute. reinvention of human resource disaffection, and diminished worker management. One recommendation, productivity. OPM, however, believes Conforming Amendments HRM08, stated that agencies should the risk of agencies not having a system OPM also is deleting references to ‘‘improve processes and procedures is minimal. First, the absence of an part 771 as they appear elsewhere in establishes to provide workplace due agency dispute resolution system would title 5 of the Code of Federal process for employees’’ and elaborated be contrary to the intent of the NPR Regulations. In those cases, the language that ‘‘[a]ll agencies should establish recommendation. Second, OPM strongly is modified to refer generically to alternative dispute resolution [ADR] advises agencies to have an ‘‘administrative’’ grievances or 47040 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations grievance systems to reflect the fact that PART 300ÐEMPLOYMENT (GENERAL) Authority: 5 U.S.C. 7504, 7514, and 7543. agencies may have administrative 1. The Authority citation for part 300 6. In section 752.203, paragraph (f) is grievance systems even though they revised to read as follows: would no longer technically be continues to read as follows: established under part 771, i.e., 5 CFR Authority: 5 U.S.C. 552, 3301, and 3302; § 752.203 Procedures. §§ 300.104(c)(2), 550.803, 752.203(f), E.O. 10577, 3 CFR 1954–1958 Comp., page * * * * * 831.204(e)(2), and 842.106(e)(2). 218, unless otherwise noted. (f) Grievances. The employee may file Likewise, other current references to Secs. 300.101 through 300.104 also a grievance through an agency ‘‘administrative’’ grievances in Title 5 issued under 5 U.S.C. 7201, 7204, and administrative grievance system (if (and not also referring to part 771) 7701; E.O. 111478, 3 CFR 1966–1970, applicable) or, if the suspension falls remain unchanged, i.e., 5 CFR Comp., page 803. within the coverage of an applicable §§ 511.607(a)(1) and 550.804(b)(1). Secs. 300.401 through 300.408 also negotiated grievance procedure, an issued under 5 U.S.C. 1302(c), 2301, and employee in an exclusive bargaining Executive Order 12866, Regulatory 2302. unit may file a grievance only under Review Secs. 300.501 through 300.507 also that procedure. Sections 7114(a)(5) and This rule has been reviewed by the issued under 5 U.S.C. 1103(a)(5). 7121(b)(3) of title 5 U.S.C., and the Office of Management and Budget in Sec 300.603 also issued under 5 terms of any collective bargaining accordance with Executive Order 12866. U.S.C. 1104. Secs. 300.801 through agreement, govern representation for 300.802 issued under 5 U.S.C. 1103(c). employees in an exclusive bargaining Regulatory Flexibility Act 2. In § 300.104, paragraph (c)(2) is unit who grieve a suspension under this I certify that this regulation will not revised to read as follows: subpart through the negotiated have a significant economic impact on § 300.104 Appeals, grievances and grievance procedure. a substantial number of small entities complaints. * * * * * because it applies only to Federal * * * * * employees. (c) * * * PART 771ÐAGENCY ADMINISTRATIVE GRIEVANCE List of Subjects (2) Except as provided in paragraph (c)(1) of this section, an employee may SYSTEM 5 CFR Part 300 file a grievance with an agency when he 7. Part 771 is revised to read as Freedom of information, Government or she believes that an employment follows: employees, Reporting and practice which was applied to him or recordkeeping requirements, Selective her and which is administered or PART 771ÐAGENCY Service System. required by the agency violates a basic ADMINISTRATIVE GRIEVANCE requirement in § 300.103. The grievance SYSTEM 5 CFR Part 550 shall be filed and processed under an Sec. Administrative practice and agency grievance system, if applicable, 771.101 Continuation of Grievance procedure, Claims, Government or a negotiated grievance system as Systems. employees, Wages. applicable. Authority: 5 U.S.C. 1302, 3301, 3302, 7301; 5 CFR Part 752 E.O. 9830, 3 CFR 1945–1948 Comp., pp. 606– PART 550ÐPAY ADMINISTRATION 624; E.O. 11222, 3 CFR 1964–1969 Comp., p. Administrative practice and (GENERAL) 306. procedure, Government employees. Subpart HÐBack Pay § 771.101 Continuation of Grievance 5 CFR Part 771 Systems. 3. The authority citation for subpart H Each administrative grievance system Administrative practice and of part 550 continues to read as follows: procedure, Government employees. in operation as of October 11, 1995, that Authority: 5 U.S.C. 5596(c); Pub. L. 100– has been established under former 5 CFR Part 831 202, 101 Stat. 1329. regulations under this part must remain 4. In section 550.803, the definition of Administrative practice and in effect until the system is either ‘‘grievance’’ is revised to read as procedure, Alimony, Claims, Disability modified by the agency or replaced with follows: benefits, Firefighters, Government another dispute resolution process. employees, Income taxes, § 550.803 Definitions PART 831ÐRETIREMENT Intergovernmental relations, Law * * * * * enforcement officers, Pensions, Grievance has the meaning given that 8. The authority citation for part 831 Reporting and recordkeeping term in section 7103(a)(9) of title 5, continues to read as follows: requirements, Retirement. United States Code, and (with respect to Authority: 5 U.S.C. 8347: § 831.102 also 5 CFR Part 842 members of the Foreign Service) in issued under 5 U.S.C. 8334; § 831.106 also section 1101 of the Foreign Service Act issued under 5 U.S.C. 552a; § 831.108 also Air traffic controllers, Alimony, of 1980 (22 U.S.C. 4131). Such a issued under 5 U.S.C. 8336(d)(2); Firefighters, Government employees, grievance includes a grievance § 831.201(b)(6) also issued under 5 U.S.C. 7701(b)(2); § 831.204 also issued under Law enforcement officers, Pensions, processed under an agency Retirement. section 7202(m)(2) of the Omnibus Budget administrative grievance system, if Reconciliation Act of 1990, Pub. L. 105–508, U.S. Office of Personnel Management. applicable. 104 Stat. 1388–339; § 831.303 also issued James B. King, * * * * * under 5 U.S.C. 8334(d)(2); § 831.502 also Director. issued under 5 U.S.C. 8337; § 831.502 also PART 752ÐADVERSE ACTIONS issued under section 1(3), E.O. 11228, 3 CFR Accordingly, OPM is amending title 5 1964–1965 Comp.; § 831.663 also issued of the Code of Federal Regulations as 5. The authority citation for part 752 under 5 U.S.C. 8339(j) and (k)(2); §§ 831.663 follows: continues to read as follows: and 831.664 also issued under section Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations 47041 11004(c)(2) of the Omnibus Budget by chapter 71 of title 5, United States Act’’) and a new Form 24F–2 (17 CFR Reconciliation Act of 1993, Pub. L. 103–66; Code. 274.24). § 831.682 also issued under section 201(d) of the Federal Employees Benefits Improvement * * * * * Table of Contents [FR Doc. 95–22314 Filed 9–8–95; 8:45 am] Act of 1986, Pub. L. 99–251, 100 Stat. 23; Executive Summary subpart S also issued under 5 U.S.C. 8345(k); BILLING CODE 6325±01±M subpart V also issued under 5 U.S.C. 8343a I. Background and section 6001 of the Omnibus Budget II. Amendments to Rule 24f–2 A. Delayed Filings Reconciliation Act of 1987, Pub. L. 100–203, B. Dividend Reinvestment Shares 101 Stat. 1330–275; § 831.2203 also issued SECURITIES AND EXCHANGE C. Mergers and Other Business under section 7001(a)(4) of the Omnibus COMMISSION Combinations Budget Reconciliation Act of 1990, Pub. L. 17 CFR Parts 270 and 274 D. Calculation of Time Periods 101–508; 104 Stat. 1388–328. E. Investment Companies Funding Insurance Company Separate Accounts 9. In section 831.204, paragraph (e)(2) [Release Nos. 33±7208; IC±21332; S7±3±95] is revised to read as follows: III. Form 24F–2 IV. Cost/Benefit Analysis RIN 3235±AG29 § 831.204 Elections of retirement coverage V. Summary of Regulatory Flexibility Act under the Portability of Benefits for Analysis Registration Fees for Certain Text of Rule Amendments Nonappropriated Fund Employees Act of Investment Companies 1990. Appendix I * * * * * AGENCY: Securities and Exchange Executive Summary (e) * * * Commission. The Commission is amending rule (2) The procedures must not allow ACTION: Adoption of rule amendments 24f–2 under the 1940 Act, the rule that review under any employee grievance and form. permits certain investment companies procedures, including those established to register an indefinite number of SUMMARY: The Commission is adopting by chapter 71 of title 5, United States securities under the Securities Act of amendments to rule 24f–2 under the Code. 1933 (15 U.S.C. 77a et seq.) (‘‘Securities Investment Company Act of 1940, the * * * * * Act’’). The amendments provide that rule that permits certain investment annual notices required by rule 24f–2 PART 842ÐFEDERAL EMPLOYEES companies to register an indefinite will be deemed timely filed if the RETIREMENT SYSTEMÐBASIC number of securities under the investment company establishes that it ANNUITY Securities Act of 1933. The Commission timely transmitted the notice to a is also adopting a new form, Form 24F– company or governmental entity that 10. The authority citation for part 842 2, to provide a standard form for annual guaranteed delivery to the Commission continues to read as follows: notices filed under rule 24f–2. The no later than the filing date. In addition, amendments and the new form are the amendments modify certain filing Authority: 5 U.S.C. 8461(g); Sections intended to clarify the application of 842.104 and 842.106 also issued under 5 periods under rule 24f–2 and clarify the U.S.C. 8461(n); § 842.105 also issued under 5 certain provisions of rule 24f–2 and operation of the rule’s termination U.S.C. 8402(c)(1) and 7701(b)(2); § 842.106 make the rule’s filing deadlines more provisions in the case of investment also issued under sec. 7202(m)(2) of the flexible under certain circumstances. company business combination Omnibus Budget Reconciliation Act of 1990, DATES: The amendments are effective transactions. The Commission also is Pub. L. 101–508, and 5 U.S.C. 8402(c)(1); October 10, 1995. The rule amendments adopting Form 24F–2, a standard form Sections 842.604 and 842.611 also issued and Form 24F–2 will apply to filings for annual notices required by rule 24f– under 5 U.S.C. 8417; Section 842.607 also that cover fiscal periods ending on or issued under 5 U.S.C. 8416 and 8417; section 2. Form 24F–2 solicits the information 842.614 also issued under 5 U.S.C. 8419; after the effective date, and to mergers currently required by rule 24f–2 for section 842.615 also issued under 5 U.S.C. and reorganizations completed on or annual notices and includes a work 8418; § 842.703 also issued under sec. after the effective date. sheet for calculating filing fees. The 7001(a)(4) of the Omnibus Budget FOR FURTHER INFORMATION CONTACT: form is intended to improve the Reconciliation Act of 1990, Public Law 101– Karen J. Garnett, Attorney, or Joseph E. accuracy of information contained in 508; section 842.707 also issued under Price, Deputy Chief, (202) 942–0721, Rule 24f–2 Notices and improve the section 6001 of the Omnibus Budget Office of Disclosure and Investment Commission’s ability to process the Reconciliation Act of 1987, Pub. L. 100–203; section 842.708 also issued under section Adviser Regulation, Division of notices. Finally, the Commission is 4005 of the Omnibus Budget Reconciliation Investment Management, Securities and adopting conforming amendments to Act of 1989, Pub. L. 101–239 and section Exchange Commission, 450 Fifth Street rule 24f–1, the rule that permits certain 7001 of the Omnibus Budget Reconciliation NW., Washington, DC 20549. After the investment companies to register Act of 1990, Pub. L. 101–508; subpart H also effective date, questions concerning securities sold in excess of the number issued under 5 U.S.C. 1104. filings should be addressed to Carolyn of shares included in a registration statement. 11. In Section 842.106, paragraph A. Miller, Senior Financial Analyst, (e)(2) is revised to read as follows: (202) 942–0510, Office of Financial I. Background Analysis, Securities and Exchange § 842.106 Elections of retirement coverage Commission, 450 Fifth Street NW., Section 6(b) of the Securities Act (15 under the Portability of Benefits for Washington, DC 20549. U.S.C. 77f(b)) specifies the fees that Nonappropriated Fund Employees Act of must be paid in connection with SUPPLEMENTARY INFORMATION: The 1990. registering securities with the Securities and Exchange Commission Commission under the Securities Act. * * * * * (‘‘Commission’’) today is adopting Section 24 of the 1940 Act (15 U.S.C. (e) * * * amendments to rules 24f–1 (17 CFR 80a–24) modifies these provisions for (2) The procedures must not allow 270.24f–1) and 24f–2 (17 CFR 270.24f– certain investment companies review under any employee grievance 2) under the Investment Company Act procedures, including those established of 1940 (15 U.S.C. 80a–1 et seq.) (‘‘1940 47042 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations (‘‘funds’’).1 Section 24 was intended to II. Amendments to Rule 24f–2 B. Dividend Reinvestment Shares address the problem of inadvertent A. Delayed Filings As discussed above, rule 24f–2 ‘‘oversales’’ of fund securities, i.e., sales permits a fund to calculate the in excess of securities registered, which Under rule 24f–2, the consequences of registration fee due by deducting the could easily occur with a fund that filing a late Rule 24f–2 Notice can be amount of shares redeemed during the continually issues and redeems severe.7 The Commission proposed an fiscal year from the amount of shares securities. amendment to rule 24f–2 to provide a sold during the period. In determining Rule 24f–2 under the 1940 Act means for funds to ensure that their the amount of shares sold during the permits funds to register an indefinite Rule 24f–2 Notices are timely filed and fiscal year, some funds have excluded number of securities. A fund that makes thus to avoid the consequences of late shares issued in connection with a declaration to be governed by the rule filings. The proposed amendment to dividend reinvestment plans (‘‘DRIP (‘‘Rule 24f–2 declaration’’) pays an rule 24f–2 provided that a Rule 24f–2 shares’’).11 These funds, however, also initial election fee of $500. Once a fund Notice is deemed timely filed, may have included DRIP shares in makes its Rule 24f–2 declaration, it regardless of when it reaches the determining the amount of shares must file a notice within six months Commission, if the fund establishes that redeemed during the fiscal year.12 In the after the close of each fiscal year (‘‘Rule it timely transmitted the notice to a Proposing Release, the Commission 24f–2 Notice’’) and pay a registration fee third party company or governmental explained that this method of counting based upon the number of shares sold entity that guaranteed delivery to the shares is inconsistent with the netting during the fiscal year.2 If the fund files Commission no later than the filing provision of rule 24f–2, which its Rule 24f–2 Notice within two months date. All of the commenters supported recognizes that a substantial portion of after the close of its fiscal year, the fund the amendment, which the Commission shares being registered under rule 24f– may deduct the value of shares is adopting as proposed. 2 were issued to replace redeemed redeemed from the value of shares sold shares that previously had been As adopted, new paragraph (f) of rule 13 in calculating the amount of fees due.3 24f–2 (17 CFR 270.24f–2(f)) applies to registered under the Securities Act. To This netting provision can result in both the deadline for using the rule’s address this inconsistency, the substantial savings to funds and their netting provision and the deadline for Commission proposed an amendment to shareholders. filing Rule 24f–2 Notices.8 In order to rule 24f–2 to require funds taking advantage of the rule’s netting provision On February 1, 1995, the Commission rely on this provision, a fund must retain a receipt or other writing from the to include DRIP shares when issued a release (‘‘Proposing Release’’) determining the amount of shares sold proposing for public comment third party evidencing timely receipt by the third party for filing with the and redeemed during the fiscal year. amendments to rule 24f–2 that would Five of the six commenters generally Commission by the due date.9 By modify the method for determining supported the proposed amendment. providing a means for funds to ensure when Rule 24f–2 Notices will be The objecting commenter argued that that they are not penalized for the deemed timely filed with the including DRIP shares in the amount of failure of a third party to timely file Commission.4 The proposed securities sold during the fiscal year their Rule 24f–2 Notices, the amendments would also change the would contradict the Commission’s amendments should eliminate the need computation of filing deadlines and the long-standing position that the issuance for such funds to seek exemptive relief operation of rule 24f–2’s termination of DRIP shares is not a ‘‘sale’’ of from the requirements of rule 24f–2.10 provisions in the case of investment securities for purposes of registration.14 Consequently, the Commission does not company business combination This commenter asserted that the expect to entertain further exemptive transactions. In addition, the proposed amendments could require a applications from late filers. Commission proposed a standard form fund to pay registration fees on DRIP for filing Rule 24f–2 Notices, which was shares in years that the amount of DRIP intended to improve the accuracy of 7 Rule 24f–2 currently provides that a fund cannot use the netting provision of paragraph (c) of the shares issued exceeds redemptions. The information contained in the notices. rule, which may result in substantially higher filing Commission acknowledges that in some The Commission received six comment fees, if the fund’s Rule 24f–2 Notice arrives at the years a fund could pay fees on DRIP letters on the Proposing Release,5 all of Commission more than two months after the end of shares that would not be offset by which supported the proposals.6 The the fund’s fiscal year. In addition, a fund’s Rule 24f–2 declaration will terminate if the fund files its redemptions. Those circumstances Commission is adopting the Rule 24f–2 Notice more than six months after its would occur infrequently, however, and amendments and form substantially as fiscal year end. the fees typically would be recaptured proposed. 8 The amendments change the deadline for filing when those shares are redeemed in later in order to use the netting provision from two years and netted against other sales.15 months to 60 days and the deadline for filing Rule 1 These companies include face amount certificate 24f–2 Notices from six months to 180 days. See companies, open-end management companies, and infra section II.D (‘‘Calculation of Time Periods’’). 11 DRIP shares generally are not treated as ‘‘sales’’ unit investment trusts. 9 Funds that file Rule 24f–2 Notices by direct of stock for purposes of registration requirements 2 Rules 24f–2(a)(1), (a)(3), and (b)(1) [17 CFR transmission on the Commission’s EDGAR system under the Securities Act. See Securities Act Rel. No. 270.24f–2(a)(1), (a)(3), and (b)(1)]. (‘‘electronic filers’’) will not be affected by this 929 (Jul. 29, 1936). Many funds, therefore, do not 3 Rule 24f–2(c) (17 CFR 270.24f–2(c)). provision, since the timeliness of their filings does include DRIP shares as ‘‘sales’’ for purposes of rule 4 Investment Company Act Rel. No. 20874 (Feb. not depend upon the mail or courier services. While 24f–2. 1, 1995) (60 FR 7146 (Feb. 7, 1995)). an electronic filing may be delayed for technical 12 Funds that do not separately track DRIP shares 5 The comment letters are available for public reasons, the rules governing electronic filings generally have no means of determining whether inspection and copying in the Commission’s public contain adequate procedures to address shares redeemed during the fiscal year include reference room in File No. S7–3–95. transmission problems. See 17 CFR 232.13(b). DRIP shares. 6 One commenter, who supported the proposed 10 The Commission has recently issued exemptive 13 Proposing Release, supra note 4, at section II.B. rule amendments and form, suggested further orders pursuant to its authority under section 6(c) 14 See supra note 11. changes to accommodate unit investment trusts of the 1940 Act (15 U.S.C. 80a–6(c)) to allow funds 15 Furthermore, in years when the fund has no (‘‘UITs’’) under certain circumstances. While such filing after the two month deadline under certain sales but issues DRIP shares, the fund would not be revisions are beyond the scope of the current circumstances to use rule 24f–2’s netting provision. required to pay registration fees on shares sold, proposal, the Commission intends to consider See Proposing Release, supra note 4, at n.7 and regardless of redemptions in that year. This is revisions to rule 24f–2 for UITs in the future. accompanying text. because the amendment does not require a fund to Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations 47043 The Commission considered the date of ceasing operations against newly-created series of a series alternatives to address the commenter’s sales during that period.20 For funds company.24 The Commission has concern, including requiring funds to involved in business combination decided to revise paragraph (b)(3) to track the redemption of DRIP shares and transactions (other than reorganizations provide that a fund may transfer exclude them from the amount described below), revised paragraph redemption credits to a successor fund redeemed in calculating net sales. (b)(3) specifies that a fund ceases in the case of either a succession under Industry commenters supported the operations for purposes of rule 24f–2 on rule 414 or a transfer of assets to a proposed approach as being less the date that the fund’s assets are newly-created series of a series burdensome. The Commission is distributed in a liquidation, the effective company. adopting the amendment as proposed.16 date of a merger, or, when there has D. Calculation of Time Periods been a sale of all or substantially all of C. Mergers and Other Business the fund’s assets, the date those assets The Commission proposed amending Combinations are transferred. paragraphs (b)(1) and (c) of Rule 24f–2 Paragraph (b)(3) of rule 24f–2 (17 CFR As proposed, paragraph (b)(3) also to replace the ‘‘six month’’ and ‘‘two 270.24f–2(b)(3)) requires a fund clarified that reorganizations for the month’’ time periods for filing Rule 24f– planning to cease operations to file a purpose of changing the fund’s state of 2 Notices with ‘‘180 day’’ and ‘‘60 day’’ post-effective amendment terminating incorporation or form of organization time periods, respectively.25 The rule’s the Rule 24f–2 declaration and file a would not result in the company references to ‘‘months’’ has resulted in final Rule 24f–2 Notice ‘‘before ceasing ceasing operations for purposes of rule different filing periods depending upon operations.’’ In the case of investment 24f–2. These transactions would be the months involved and is inconsistent company business combination limited under the proposed rule to with the timing provisions in other transactions, especially those involving reorganizations that satisfied the Commission rules.26 This has, on a liquidation, merger, or sale of assets, requirements of rule 414 under occasion, caused some confusion among the operation of the rule has been Regulation C of the Securities Act.21 funds about filing deadlines. Only one unclear. While in most cases a fund’s Under a rule 414 reorganization, the commenter objected to the proposed operations cease upon consummation of successor fund succeeds to all assets revisions, arguing that the proposal to the transaction, it may be impractical for and liabilities of the acquired fund, measure time periods in days rather the fund to file a final Rule 24f–2 Notice including the registration fee liabilities than months would create more before the transaction since sales and (net of any redemption credits) under confusion among filers about the redemptions may be occurring until the rule 24f–2.22 deadlines for filing Rule 24f–2 Notices. time of the transaction. In addition, Two commenters recommended that The Commission believes, however, that paragraph (b)(3) is silent as to the the Commission expand the application the proposed amendments, which make applicability of the netting provision of of paragraph (b)(3) of rule 24f–2 to rule 24f–2 consistent with other filing paragraph (c) when a fund files a Rule permit the transfer of redemption requirements under the 1940 Act, will 24f–2 Notice in connection with ceasing credits when the assets and liabilities of reduce confusion among funds about operations. an existing fund are merged or the time periods for filing annual To address these issues, the otherwise transferred into the portfolio notices under rule 24f–2. Therefore, the Commission proposed amendments to of a newly-created series of another Commission is adopting the rule 24f–2 to remove the requirement fund.23 The Commission staff has amendments as proposed.27 To further that a fund file its final Rule 24f–2 previously allowed a successor fund to clarify how to calculate time periods, Notice prior to ceasing operations and, use an acquired fund’s redemption the Commission is also adopting, as in its place, provide that if a fund ceases credits when the successor fund was a proposed, a new paragraph specifying operations, the end of its fiscal year for purposes of rule 24f–2 is the date it 20 This approach is similar to that taken in rule 24 The Victory Funds (pub. avail. Apr. 24, 1995). ceases operations.17 Commenters 8f–1 under the 1940 Act (17 CFR 270.8f–1), which In The Victory Funds, the staff stated that when a supported the proposal, and the requires a registered investment company winding shell series assumes the assets and liabilities of an up its affairs or being merged into or consolidated acquired fund, the transaction is similar to a Commission is adopting amendments to with another investment company to file an reorganization under rule 414 because the successor paragraph (b)(3) of rule 24f–2 as application for an order declaring that the company fund is continuing the acquired fund’s business and proposed. has ceased to be a registered investment company each shareholder of the acquired fund, following The rule, as amended, provides that after the transaction has occurred. the transaction, owns the same pro rata interest in 21 17 CFR 230.414. Rule 414 generally provides the same portfolio of securities as the shareholder the date a fund ceases operations will be that the registration statement of a predecessor owned before the transaction. deemed the close of its fiscal year.18 company will be deemed to be the registration 25 Proposing Release, supra note 4, at section II.D. Thus, a fund must file a final Rule 24f– statement of the successor company when the 26 See, e.g., rule 30b1–1 under the 1940 Act (17 2 Notice within 180 days after ceasing purpose of the reorganization is to change the CFR 270.30b1–1) (requiring funds to file semi- company’s domicile or form of organization, annual reports with the Commission not more than operations and pay registration fees on provided certain conditions are satisfied. The 60 calendar days after the close of each fiscal year 19 all shares sold during the fiscal year. Commission staff has stated that rule 414 is and fiscal second quarter); rule 30d–1 under the If a fund files the Rule 24f–2 Notice applicable to certain fund reorganizations. See, e.g., 1940 Act (17 CFR 270.30d–1) (requiring funds to within 60 days after ceasing operations, Lowry Market Timing Fund, Inc. (pub. avail. Jan. mail semi-annual reports to stockholders within 60 9, 1985); Frank Russell Investment Company (pub. days after the close of the period for which the it will be permitted, under paragraph avail. Dec. 3, 1984). report is made); and rule 485 under the Securities (c), to net redemptions made between 22 Rule 414(b) (17 CFR 230.414(b)) requires that Act (17 CFR 230.485) (providing that certain post- the end of the previous fiscal year and the succession result in the successor issuer effective amendments will become effective on the acquiring all of the assets of and assuming all of the sixtieth day after filing). liabilities and obligations of the issuer. 27 The Commission is adopting similar include DRIP shares in the total amount of 23 amendments to rule 24f–1, which permits funds securities sold unless the fund is netting This type of transaction would not satisfy the requirements of rule 414 because the successor with effective registration statements to file a redemptions against sales. See Instruction B.7 of series would be part of a separately registered series notification that has the effect of registering shares Form 24F–2. company and would not adopt the predecessor sold in excess of the number of shares previously 16 Paragraph (c) of rule 24f–2. fund’s registration statement as its own, as required registered. The six month time periods referred to 17 Proposing Release, supra note 4, at section II.C. by rule 414. As a result, the acquired fund would in paragraphs (a)(1) and (c) of rule 24f–1 (17 CFR 18 Rule 24f–2(b)(3). cease to do business, unlike the acquired fund in 270.24f–1(a)(1), 270.24f–1(c)) are changed to 180 19 Rule 24f–2(b)(1). a rule 414 succession. days. 47044 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations that the first day of the time period is purposes of netting sales under rule As adopted, Form 24F–2 consists of the first calendar day of the fiscal year 24f–2.32 twelve items and detailed instructions following the fiscal year for which the for completing and filing the form. The III. Form 24F–2 Rule 24f–2 Notice is filed.28 first four items require basic identifying The Commission is adopting Form information: the name and address of E. Investment Companies Funding 24F–2, substantially as proposed, to the fund; the class of shares or series to Insurance Company Separate Accounts provide a standard format for filing which the filing relates; the Securities Variable insurance contracts typically information required by Rule 24f–2.33 Act file number of the registration are offered through two tier All of the commenters generally statement on which the shares are arrangements in which contract supported the proposed form. The registered; and the last day of the fiscal- premiums are pooled in an unmanaged Commission believes that a standard year for which the Rule 24f–2 Notice is insurance company separate account form for Rule 24f–2 Notices will filed. and invested in an underlying facilitate the calculation of fees due Items 5 and 6 must be completed only investment company (‘‘Underlying under rule 24f–2 and reduce errors in if the fund fails to file its Rule 24f–2 Fund’’). Many of the separate accounts the calculation of filing fees. The Notice within 180 days after its fiscal are registered as investment companies standard form should also improve the year end. In such a case, the fund’s and organized as unit investment trusts; Commission’s ability to process Rule declaration to register an indefinite others are eligible for exemption from 24f–2 Notices and detect errors. number of shares is terminated on the 36 the 1940 Act. Instructions to the form as adopted next business day. As under the current rule, the fund must file a Pursuant to an interpretive letter specify that an issuer may file a single separate Form 24F–2 with respect to recently issued by the Division of Rule 24f–2 Notice for more than one sales of securities made pursuant to the Investment Management, Underlying class or series of securities, provided declaration during (1) the fiscal year for Funds are not required to pay each series has the same fiscal year end which the notice was not timely filed, registration fees on securities they sell and each class or series is registered on and (2) the period after the close of the to certain separate accounts.29 These the same Securities Act registration 34 fiscal year but before the declaration separate accounts are those organized as statement. One commenter objected to limiting the use of a single Form 24F– was terminated. Item 5 requires the fund unit investment trusts and registered as to indicate whether the form is being investment companies or separate 2 to series with the same fiscal year end. This commenter suggested that series filed for purposes of reporting securities accounts that are exempt from sold after the close of the fiscal year but registration under the 1940 Act but funds with different fiscal year ends be permitted to file a single Form 24F–2 for before termination of the fund’s Rule which register their securities under the 24f–2 declaration. In either case, the Securities Act and pay registration fees a specified 12-month period, which would permit series with different fiscal fund must report the date of termination thereon. The purpose of the interpretive of its Rule 24f–2 declaration in Item 6. letter was to prevent payment of year ends to net sales of all series against redemptions of all series. The Items 7 through 11 require a fund to registration fees under the Securities identify the shares sold during the fiscal Act for the same aggregate proceeds Commission believes, however, that the limitation is appropriate. Series having year for which registration fees have from investors in variable insurance previously been paid or which must be products that results in ‘‘double different year ends appear to operate more like separate funds than a single accounted for in determining the fee counting’’ of assets on which such fees payable with the Rule 24f–2 Notice.37 are paid. fund and thus should not be treated as a single fund for purposes of aggregating This information is substantially the The Commission is codifying this sales and redemptions. The Commission same as that currently required for a interpretive advice in two instructions has therefore decided not to expand the Rule 24f–2 Notice. The only significant to new Form 24F–2.30 Under these circumstances under which a series change is that the form reflects instructions, an Underlying Fund that fund is permitted to file a single Form amendments to paragraph (c) of rule files a Rule 24f–2 Notice generally is not 24F–2 for series within the fund.35 24f–2 that require a fund to include all required to include securities sold to an securities issued pursuant to DRIPs in unmanaged separate account that issues 32 The Commission may, in the future, consider the fund’s aggregate sales for purposes interests therein that are registered a separate form designed specifically for variable of calculating registration fees under the under the Securities Act and on which insurance products to report shares sold under rule rule’s netting provisions.38 registration fees have been or will be 24f–2. Item 12 is a work sheet for calculating paid.31 If an Underlying Fund excludes 33 Paragraph (b)(1) of the rule currently specifies the fee payable with the notice. The fee the information that must appear in a Rule 24f–2 such securities from the amount Notice. Because Form 24F–2 solicits the same calculation is presented in tabular reported in its Rule 24f–2 Notice, the information, the amendments delete this Underlying Fund is not required to pay information from the rule. 36 Rule 24f–2(b)(2) (17 CFR 270.24f–2(b)(2)). a registration fee for those securities. An 34 Instruction A.3. This instruction does not affect 37 As proposed, Item 7 required funds to report Underlying Fund relying on this the method of allocating expenses among multiple the number and aggregate sale price of securities of classes of funds in accordance with existing orders the same class or series ‘‘sold during the fiscal year’’ exemption may not include shares or rule 18f–3 under the 1940 Act. A multiple class which had been registered under the Securities Act redeemed or repurchased from such fund is permitted to net credits for redemptions of other than pursuant to rule 24f–2 in a prior fiscal unmanaged separate accounts for shares of one class against sales of shares of another year, but which remained unsold at the beginning class if the fund’s exemptive order or plan under of the fiscal year. One commenter asserted that it rule 18f–3 treats federal securities registration fees would be more meaningful, for purposes of 28 Rule 24f–2(e) (17 CFR 270.24f–2(e)). as a fund expense and does not provide for the calculating filing fees due under rule 24f–2, not to 29 American Council of Life Insurance (pub. avail. allocation of those fees on a class-by-class basis. See limit this item to securities sold during the fiscal June 20, 1995). Investment Company Act Rel. No. 20915 (Feb. 23, year. The Commission agrees and has omitted the 30 Instructions B.5 and C.4 to Form 24F–2. 1995) (60 FR 11876 (Mar. 2, 1995)) (adopting rule limiting phrase from the form as adopted. 31 American Council of Life Insurance (pub. avail. 18f–3). 38 Instruction B.7 clarifies that this item should be June 20, 1995). The letter and the new instructions 35 This limitation on filing a single Rule 24f–2 completed only if the fund is using the netting do not apply to shares sold to separate accounts Notice for more than one series is not intended to provision of rule 24f–2(c) to calculate its whose interests are not registered under the suggest that all series of a series company must registration fee. See supra section II.B (‘‘Dividend Securities Act or to pension plans. have the same fiscal year end. Reinvestment Shares’’). Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations 47045 format to facilitate the Commission the accompanying Rule 24f–2 Notice. As Regulation, Securities and Exchange staff’s review of filing fees for purposes adopted, Form 24F–2 does not alter the Commission, 450 Fifth Street NW., of determining whether a fund has paid headers for EDGAR filings.43 Washington, DC 20549. the appropriate amount. The work sheet IV. Cost/Benefit Analysis Text of Rule Amendments contains seven line items: (i) The aggregate sale price of The rule amendments and new form List of Subjects in 17 CFR Parts 270 and securities sold during the fiscal year in adopted today are intended to clarify 274 reliance on rule 24f–2; 39 the operation of rule 24f–2 and make the (ii) The aggregate price of DRIP shares rule’s filing deadlines more flexible Investment companies, Reporting and (if not included in (i)); under certain circumstances. The recordkeeping requirements, Securities. (iii) The aggregate price of shares addition of paragraph (f) to rule 24f–2 For the reasons set out in the redeemed or repurchased during the provides a means for funds to avoid late preamble, Chapter II, Title 17 of the fiscal year; filings, which can result in significant Code of Federal Regulations is amended (iv) The aggregate price of shares costs to the funds. This provision will as follows: redeemed or repurchased and relieve funds of the cost of preparing previously applied as a reduction to applications for exemption from the PART 270ÐRULES AND filing fees pursuant to rule 24e–2; 40 provisions of the rule and will relieve REGULATIONS, INVESTMENT (v) The net aggregate sale price of the Commission of the cost of reviewing COMPANY ACT OF 1940 securities sold during the fiscal year in such applications. Other revisions to reliance on rule 24f–2 (line (i), plus line rule 24f–2 adopted today are intended 1. The authority citation for Part 270 (ii), less line (iii), plus line (iv)); to clarify the operation of the rule when continues to read in part as follows: (vi) The multiplier to be used to an extraordinary business transaction 41 Authority: 15 U.S.C. 80a–1 et seq., 80a–37, determine the fee; and occurs such as a merger or liquidation. 80a–39, unless otherwise noted; (vii) The fee due (line (i) (if the The change to use of days rather than netting provision is not used) or line (v) * * * * * months to measure the filing deadlines 2. The authority citations following (if the netting provision is used) under rules 24f–1 and 24f–2 will, in multiplied by line (vi)).42 §§ 270.24f–1 and 270.24f–2 are most cases, shorten the period to make removed. A fund must complete lines (ii), (iii), required filings by a day or two, and (iv), and (v) only if it is using the rule’s thus could be viewed as a ‘‘cost.’’ The § 270.24e±2 [Amended] netting provision. Commission believes, however, that this 3. By amending § 270.24e–2, The work sheet provided in Item 12 ‘‘cost’’ will be minor and is outweighed is similar to the method for reporting paragraph (a)(1), by revising the by the added certainty and uniformity reference ‘‘Rule 457(c) (17 CFR the calculation of Rule 24f–2 fees on the that such a change brings to the EDGAR system. Under the EDGAR 230.457(c))’’ to read ‘‘Rule 457(d) (17 operation of the rule. Form 24F–2 is CFR 230.457(d))’’. system, an electronic filer is required to designed to ensure that funds provide prepare a header for each Rule 24f–2 consistent information in their Rule § 270.24f±1 [Amended] Notice. The header contains certain 24f–2 Notices and to facilitate the staff’s 4. By amending § 270.24f–1, filing fee information that is included in review of annual notices. The paragraphs (a) and (c)(1), by revising the Commission believes that the standard phrase ‘‘6 months’’ to read ‘‘180 days’’. 39 In the case of a fund with a front-end load, the form and the interpretive guidance aggregate sale price includes the sales load. 5. By amending § 270.24f–2 by 40 Section 24(e)(1) of the 1940 Act (15 U.S.C. 80a– provided in the form’s instructions will revising paragraphs (b)(1), (b)(3), and (c) 24(e)(1)) permits a fund to file a post-effective reduce the burden of preparing and and by adding paragraphs (e) and (f) to amendment to its Securities Act registration reviewing Rule 24f–2 Notices. read as follows: statement to increase the number of securities registered. Rule 24e–2 (17 CFR 270.24e–2) provides V. Summary of Regulatory Flexibility § 270.24f±2 Registration under the that the fee to be paid at the time of filing such post- Act Analysis Securities Act of 1933 of an indefinite effective amendment will be based on the maximum aggregate offering price at which the A summary of the Initial Regulatory number of certain investment company additional securities will be offered. This filing fee Flexibility Act Analysis, prepared in securities. may be reduced by the amount of securities accordance with 5 U.S.C. 603, was * * * * * redeemed or repurchased by the issuer in its published in the Proposing Release. No previous fiscal year, provided the issuer did not use (b)(1) If an issuer has filed a those redemptions or repurchases under the netting comments were received on this registration statement or post-effective provisions of rule 24f–2. Conversely, the issuer may analysis. The Commission has prepared amendment with a declaration not count redemptions and repurchases used to a Final Regulatory Flexibility Analysis, authorized by paragraph (a)(1) of this reduce the filing fee under rule 24e–2 for purposes a copy of which may be obtained by of netting under rule 24f–2. section, it shall, with respect to such 41 In the Act making appropriations for the contacting Karen J. Garnett, Office of registration statement and within 180 Commission for fiscal 1994, Congress increased the Disclosure and Investment Adviser days after the close of any fiscal year rate of fees prescribed by section 6(b) of the during which such declaration was in Securities Act from one fiftieth of one percent to 43 The Proposing Release requested comment effect, file five copies of a notice (‘‘Rule one twenty-ninth of one percent. Pub. L. 103–121 whether the Commission should modify its systems 24f–2 Notice’’) with the Commission. (Oct. 27, 1993). Congress extended the increased fee to permit computer verification of the fee for fiscal year 1995. Pub. L. 103–352 (Oct. 13, 1994). calculation based on information in the form rather The Rule 24f–2 Notice shall be filed on The current fee rate will be in effect through than the header, thus avoiding the need for filers Form 24F–2 (17 CFR 274.24) and shall September 30, 1995, unless further extended by to duplicate information. The only commenter to be prepared in accordance with the Congress; otherwise, the rate will revert to one address this question supported such a fiftieth of one percent. Instruction C.6 to the form modification because it would relieve EDGAR filers requirements of the form. The Rule 24f– reminds funds to determine the current fee rate of the burden of manually transferring information 2 Notice shall be accompanied by an before filing. from Form 24F–2 to the header. The Commission opinion of counsel indicating whether 42 Instruction C.2 specifies that the $100 agrees that such a modification could simplify the securities the registration of which minimum fee prescribed by section 6(b) of the electronic submissions of Form 24F–2. As the staff Securities Act does not apply to fees payable under further develops the EDGAR system, the the notice makes definite in number rule 24f–2. This provision also has been Commission may propose appropriate were legally issued, fully paid, and non- incorporated into paragraph (c) of the rule. modifications relating to Form 24F–2. assessable, and the additional filing fee, 47046 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations if any, specified in paragraph (c) of this shall not apply to fees due under this (f) The date of filing of a Rule 24f–2 section. section. When the Rule 24f–2 Notice is Notice with the Commission shall be the * * * * * filed not later than 60 days after the date on which the Rule 24f–2 Notice is (3) For purposes of this section, if a close of the fiscal year during which actually received by the Commission; registrant ceases operations, the date the such securities were sold pursuant to provided, however, that other than in registrant ceases operations shall be this section, the filing fee to be paid as the case of a Rule 24f–2 Notice filed by deemed to be the close of its fiscal year. to such securities shall be the fee, if any, direct transmission (as such term is In the case of a liquidation, merger, or calculated in the manner specified in defined in rule 11 of Regulation S–T (17 sale of all or substantially all of the Section 6(b) of the Securities Act of CFR 232.11) a Rule 24f–2 Notice assets of the registrant, the registrant 1933 except that, for the purpose of received by the Commission after the shall be deemed to have ceased such calculation, such fee shall be based date due under either paragraph (b)(1) operations for purposes of this section upon the actual aggregate sale price for or paragraph (c) of this section shall be on the date all or substantially all of the which securities (including, for this deemed to have been timely filed if the registrant’s assets are distributed, the purpose, all securities issued pursuant issuer establishes that the Rule 24f–2 date the merger becomes effective under to a dividend reinvestment plan) were Notice was transmitted timely to a third state law, or the date the assets are sold during the issuer’s previous fiscal party company or governmental entity transferred; provided, however, that in year, reduced by the difference between: providing delivery services in the the case of a merger of a registrant (1) The actual aggregate redemption or ordinary course of business, which (‘‘Predecessor Fund’’) with another repurchase price of such securities of guaranteed delivery of the Notice to the registrant (‘‘Successor Fund’’), or a sale the issuer redeemed or repurchased by Commission no later than the required of all or substantially all of a the issuer during such previous fiscal filing date. Predecessor Fund’s assets and liabilities year; and to a Successor Fund, the Predecessor PART 274ÐFORMS PRESCRIBED Fund shall not be deemed to have (2) The actual aggregate redemption or UNDER THE INVESTMENT COMPANY ceased operations and the Successor repurchase price of such redeemed or ACT OF 1940 Fund shall assume the obligations, fees, repurchased securities previously 6. The authority citation for Part 274 and redemption credits of the applied by the issuer pursuant to Predecessor Fund incurred pursuant to § 270.24e–2(a) in filings made pursuant continues to read as follows: this section and § 270.24e–2 if: to section 24(e)(1) of the Investment Authority: 15 U.S.C. 80a–1 et seq., unless (i) The registration statement of the Company Act of 1940. otherwise noted. Predecessor Fund is deemed the * * * * * 7. Section 274.24 and Form 24F–2 are registration statement of the Successor (e) To determine the date on which a added to read as follows: Fund in a transaction described by Rule 24f–2 Notice must be filed with the Note: The text of Form 24F–2 does not § 230.414 of this chapter; or Commission under paragraph (b)(1) of (ii) The Successor Fund is a series of appear in the Code of Federal Regulations. A this section or the date that a Rule 24f– copy of Form 24F–2 is attached as Appendix a series company (as defined in 2 Notice must be filed in order to permit I to this document. § 270.18f–2), and immediately prior to the issuer to calculate the fee due in the transaction the Successor Fund had § 274.24 Form 24F±2, annual notice of accordance with the second sentence of no assets or liabilities, other than securities sold pursuant to registration of paragraph (c) of this section, the first nominal assets or liabilities, and no an indefinite number of certain investment day of the 180 day or 60 day period, as operating history. company securities. (c) A Rule 24f–2 Notice shall be the case may be, shall be the first Form 24F–2 shall be used as the accompanied by the payment of a filing calendar day of the fiscal year following annual report filed by face amount fee with respect to the securities sold the fiscal year for which the Rule 24f– certificate companies, open-end during the fiscal year in reliance upon 2 Notice is to be filed. management companies, and unit registration pursuant to this section and Note to Paragraph (e): For example, a Rule investment trusts pursuant to § 270.24f– shall be based upon the actual aggregate 24f–2 Notice for a fiscal year ending on June 2 of this chapter for reporting securities sale price for which such securities 30 must be filed no later than December 28 sold during the fiscal year. were sold. The filing fee shall be or, if the issuer calculates the fee due in accordance with the second sentence of Dated: September 1, 1995. calculated in the manner specified in paragraph (c), no later than August 29. If the By the Commission. section 6(b) of the Securities Act of 1933 last day of the period falls on a non-business Margaret H. McFarland, and the rules and regulations day (a Saturday, Sunday or federal holiday), Deputy Secretary. thereunder, except that the minimum the period shall end on the first business day filing fee required under section 6(b) thereafter, as provided by § 270.0–2. BILLING CODE 8010±01±P Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations 47047 47048 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations 47049 47050 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations 47051 [FR Doc. 95–22445 Filed 9–8–95; 8:45 am] BILLING CODE 8010±01±C 47052 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations DEPARTMENT OF HEALTH AND animal drug regulations to reflect a Pl., Rockville, MD 20855, 301–594– HUMAN SERVICES change of sponsor name from Premiere 1646. Agri Technologies, Inc., to ADM Animal SUPPLEMENTARY INFORMATION: ADM Food and Drug Administration Health & Nutrition Div., and a change of sponsor of several new animal drug Animal Health & Nutrition Div., P.O. 21 CFR Parts 510, 520, and 558 applications (NADA’s) from wholly- Box 2508, Fort Wayne, IN 46801–2508, has informed FDA of a change of New Animal Drugs; Change of Sponsor owned subsidiaries to ADM Animal Health & Nutrition Div. sponsor name in approved NADA 91– AGENCY: 582 (Tylosin) from Premiere Agri Food and Drug Administration, EFFECTIVE DATE: September 11, 1995. HHS. Technologies, Inc. ADM Animal Health FOR FURTHER INFORMATION CONTACT: ACTION: Final rule. & Nutrition Div., has also informed FDA Benjamin A. Puyot, Center for that it has assumed sponsorship of the SUMMARY: The Food and Drug Veterinary Medicine (HFV–130), Food following NADA’s previously owned by Administration (FDA) is amending the and Drug Administration, 7500 Standish its subsidiaries: NADA No. Drug name Former sponsor name and address 48±480a Chlortetracycline ...... Feed Specialties Co., Inc., 1877 NE. 58th Ave., Des Moines, IA 50313. 65±256 Chlortetracycline hydrochloride ...... Do. 107±957 Tylosin and sulfamethazine ...... Do. 108±484 Tylosin and sulfamethazine ...... Do. 110±045 Tylosin ...... Good-Life, Division of Central Soya Co., Inc., Good-Life Dr., P.O. Box 687, Effingham, IL 62401. 110±439 Hygromycin B ...... Feed Specialties Co., Inc. 118±877 Pyrantel tartrate ...... Do. 128±411 Tylosin and sulfamethazine ...... Good-Life, Division of Central Soya Co., Inc. 131±956 Tylosin and sulfamethazine ...... MAC±PAGE, Inc., 1600 South Wilson Ave., Dunn, NC 28334. 132±448 Bambermycins ...... Feed Specialties Co., Inc. 133±490 Pyrantel tartrate ...... MAC±PAGE, Inc. 140±842 Hygromycin B ...... Do. Accordingly, the agency is amending PART 510ÐNEW ANIMAL DRUGS Authority: Sec. 512 of the Federal Food, the regulations in 21 CFR 510.600(c)(1) Drug, and Cosmetic Act (21 U.S.C. 360b). and (c)(2) by removing Feed Specialties, 1. The authority citation for 21 CFR § 520.445b [Amended] Co., Inc., Good-Life, Division of Central part 510 continues to read as follows: 4. Section 520.445b Chlortetracycline Soya Co., and MAC–PAGE, Inc., because Authority: Secs. 201, 301, 501, 502, 503, the firms are no longer the sponsors of powder (chlortetracycline hydrochloride 512, 701, 721 of the Federal Food, Drug, and or chlortetracycline bisulfate) is any approved NADA’s. The agency is Cosmetic Act (21 U.S.C. 321, 331, 351, 352, amended in paragraphs (b) and also amending the drug labeler codes in 353, 360b, 371, 379e). 21 CFR 520.445b, 558.95, 558.274, (d)(4)(iii)(C) by removing ‘‘017274’’ and 558.485, 558.625, and 558.630 § 510.600 [Amended] adding in its place ‘‘012286’’. providing for use of the above 2. Section 510.600 Names, addresses, PART 558ÐNEW ANIMAL DRUGS FOR mentioned veterinary drug products. and drug labeler codes of sponsors of USE IN ANIMAL FEEDS The sponsor labeler code of Premiere approved applications is amended in Agri Technologies, Inc., is being the table in paragraph (c)(1) by 5. The authority citation for 21 CFR retained for the new sponsor. removing the entry for ‘‘Premiere Agri part 558 continues to read as follows: List of Subjects Technologies, Inc.,’’ and by Authority: Secs. 512, 701 of the Federal alphabetically adding a new entry for Food, Drug, and Cosmetic Act (21 U.S.C. 21 CFR Part 510 ‘‘ADM Animal Health & Nutrition Div., 360b, 371). Administrative practice and by removing the entries for ‘‘Feed procedure, Animal drugs, Labeling, Specialties Co., Inc., Good-Life, Division § 558.95 [Amended] Reporting and recordkeeping of Central Soya Co., and MAC–PAGE, 6. Section 558.95 Bambermycins is requirements. Inc.’’; and in the table in paragraph amended in paragraph (a)(4) by (c)(2) in the entry for ‘‘012286’’ by removing the entry for ‘‘017274’’ and 21 CFR Part 520 removing the sponsor name ‘‘Premiere numerically adding ‘‘012286’’. Animal drugs. Agri Technologies, Inc.,’’ and adding in § 558.274 [Amended] 21 CFR Part 558 its place ‘‘ADM Animal Health & Nutrition Div.,’’ and by removing the 7. Section 558.274 Hygromycin B is Animal drugs, Animal feeds. entries for ‘‘017274, 021810, and amended in paragraph (a)(7) and in the Therefore, under the Federal Food, 047427’’. table in paragraphs (c)(1)(i) and (c)(1)(ii) Drug, and Cosmetic Act and under by removing the entry for ‘‘047427’’ and authority delegated to the Commissioner PART 520ÐORAL DOSAGE FORM numerically adding ‘‘012286’’. of Food and Drugs and redelegated to NEW ANIMAL DRUGS the Center for Veterinary Medicine, 21 § 558.485 [Amended] CFR parts 510, 520, and 558 are 3. The authority citation of 21 CFR 8. Section 558.485 Pyrantel tartrate is amended as follows: part 520 continues to read as follows: amended in paragraph (a)(11) by Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations 47053 removing ‘‘017274’’ and adding in its Accordingly, 26 CFR Part 1 is SUPPLEMENTARY INFORMATION: place ‘‘012286’’. corrected by making the following Background correcting amendment: § 558.625 [Amended] On August 23, 1978, ATF published 9. Section 558.625 Tylosin is PART 1ÐINCOME TAXES Treasury Decision ATF–53 (43 FR amended in paragraph (b)(52) by 37672, 54624) revising regulations in 27 removing ‘‘021810’’ and adding in its Paragraph 1. The authority citation CFR Part 4. These regulations allow the place ‘‘012286’’. for Part 1 continues to read in part as establishment of definitive viticultural follows: areas. The regulations allow the name of § 558.630 [Amended] Authority: 26 U.S.C. 7805 * * * an approved viticultural area to be used 10. Section 558.630 Tylosin and as an appellation of origin on wine sulfamethazine is amended in Par. 2. In § 1.263A–9(f)(3), paragraph labels and in wine advertisements. On paragraphs (b)(3) and (b)(8) by removing (v) of Example 3., the last sentence is October 2, 1979, ATF published ‘‘017274’’ and adding ‘‘012286’’ and in revised as follows: Treasury Decision ATF–60 (44 FR paragraph (b)(10) by removing ‘‘017274, § 1.263A±9 The avoided cost method. 56692) which added a new Part 9 to 27 021810, and 047427’’ and numerically * * * * * CFR, for the listing of approved adding ‘‘012286’’. American viticultural areas. (f) * * * Dated: August 31, 1995. Section 4.25a(e)(1), Title 27 CFR, (3) * * * Robert C. Livingston, defines an American viticultural area as Example 3. (i) * * * a delimited grape-growing region Director, Office of New Animal Drug (v) * * * For Unit B, this amount is Evaluation, Center for Veterinary Medicine $775,000 ([$0 + $500,000 + $1,000,000 + distinguishable by geographical [FR Doc. 95–22369 Filed 9–8–95; 8:45 am] $1,600,000]÷4). features, the boundaries of which have been delineated in Subpart C of Part 9. BILLING CODE 4160±01±F * * * * * Section 4.25a(e)(2) outlines the Cynthia E. Grigsby, procedure for proposing an American Chief, Regulations Unit, Assistant Chief viticultural area. Any interested person DEPARTMENT OF THE TREASURY Counsel (Corporate). may petition ATF to establish a grape- [FR Doc. 95–22382 Filed 9–8–95; 8:45 am] Internal Revenue Service growing region as a viticultural area. BILLING CODE 4830±01±P The petition should include: 26 CFR Part 1 (a) Evidence that the name of the proposed viticultural area is locally [TD 8584] Bureau of Alcohol, Tobacco and and/or nationally known as referring to Firearms the area specified in the petition; RIN 1545±AK03 27 CFR Part 9 (b) Historical or current evidence that Capitalization of Interest; Correction the boundaries of the viticultural area are as specified in the petition; AGENCY: Internal Revenue Service (IRS), [T.D. ATF±366; RE: Notice No. 801] (c) Evidence relating to the Treasury. geographical features (climate, soil, ACTION: Correcting amendments. RIN 1512±AA07 elevation, physical features, etc.) which distinguish the viticultural features of SUMMARY: This document contains a The St. Helena Viticultural Area (94F± the proposed area from surrounding correction to the final regulations [TD 015P) areas; 8584] which were published in the (d) A description of the specific AGENCY: Bureau of Alcohol, Tobacco Federal Register for Thursday, boundaries of the viticultural area, and Firearms (ATF), Treasury. December 29, 1994 (59 FR 67187). The based on the features which can be final regulations relate to the ACTION: Final rule, Treasury decision. found on United States Geological requirement to capitalize interest with Survey (U.S.G.S.) maps of the largest respect to the production of property. SUMMARY: This final rule establishes a applicable scale; and EFFECTIVE DATE: January 1, 1995. viticultural area in Napa County, (e) A copy of the appropriate U.S.G.S. California, to be known as ‘‘St. Helena.’’ FOR FURTHER INFORMATION CONTACT: Jan map with the boundaries prominently The petition was submitted by Mr. marked. L. Skelton, (202) 622–4970 (not a toll- Charles A. Carpy, Chairman of the St. free number). Helena Appellation Committee. The Rulemaking Proceeding SUPPLEMENTARY INFORMATION: establishment of viticultural areas and Petition the subsequent use of viticultural area Background names as appellations of origin in wine On March 9, 1994, ATF received a The final regulations that are the labeling and advertising will help petition from Mr. Charles A. Carpy, subject of these corrections are under consumers better identify the wines Chairman of the St. Helena Appellation section 263A(f) of the Internal Revenue they may purchase, and will help Committee, proposing to establish a new Code. winemakers distinguish their products viticultural area in Napa County, from wines made in other areas. California, to be known as ‘‘St. Helena.’’ Need for Correction The St. Helena Appellation Committee EFFECTIVE DATE: October 11, 1995. As published, the final regulations is composed of various vineyard and contains an error that is misleading and FOR FURTHER INFORMATION CONTACT: winery owners located throughout the in need of correction. Mary Lou Blake, Wine, Beer and Spirits St. Helena area. The proposed St. Regulations Branch, Bureau of Alcohol, Helena viticultural area is located List of Subjects in 26 CFR Part 1 Tobacco and Firearms, 650 approximately 16 miles northwest of the Income taxes, Reporting and Massachusetts Avenue, NW, city of Napa. It is located totally within recordkeeping requirements. Washington, DC 20226 (202–927–8210). the larger and previously established 47054 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations Napa Valley viticultural area. The St. Creek until it intersects with Highway the city of St. Helena. Furthermore, Helena viticultural area covers 29, then in a southeasterly direction according to Mr. Beckstoffer, the approximately 9,060 acres, and is along Highway 29 until it intersects municipal boundaries of the city of St. densely planted to vines. There are over with Zinfandel Lane, the point of Helena have recently been amended and 30 wineries within the area. The beginning. will undoubtedly be amended again in petition provided sufficient information These three commenters feel that the future. Consequently, Mr. to show that the proposed area meets there is simply not sufficient precise Beckstoffer states that the area in the regulatory requirements discussed data or local agreement at this time to question should not be included or previously. This information is shown justify a choice for this area. They feel excluded from a viticultural area based beginning with the section entitled that within a relatively short time, say on whether a portion of the area is ‘‘Evidence That Viticultural Area Name five years, the grapegrowers, located within the municipal limits of Is Widely Known.’’ Mr. Charles winemakers and local residents will so the city of St. Helena. Sullivan, Napa Valley historian, clarify the wine characteristics and local In summary, Mr. Beckstoffer states provided the petitioner with most of the reference for the wine consumer that the that the area in question is a very historical information concerning the St. viticultural area designation of this area important grapegrowing area of the Helena area that is covered in the will become clear to all. At this future Napa Valley claimed for both the petition whereas Dr. Deborah Elliott- time, according to these three Rutherford and St. Helena areas. He Fisk of the University of California commenters, the area would either be further states that the geological provided the petitioner with most of the added to the St. Helena or Rutherford features, history and local designation of information in the petition concerning viticultural area depending on what the this area are not precise enough at this soils, geology and physical geography of evidence shows. All three feel that the time to define the area as part of the St. Helena area. evidence at that time will show that this Rutherford or St. Helena. However, Mr. area most closely resembles the Beckstoffer feels that with sufficient Notice of Proposed Rulemaking Rutherford viticultural area. time, the factors identifying this area in In response to Mr. Carpy’s petition, Mr. Beckstoffer states that as part of question will be sufficient to justify the ATF published a notice of proposed the Rutherford viticultural area process, inclusion of the area in either rulemaking, Notice No. 801, in the he submitted detailed data regarding the Rutherford or St. Helena. Mr. Federal Register on November 4, 1994 geological features, elevation, soils, Beckstoffer feels that the current (59 FR 55226), proposing the rainfall, and geology of this area. Mr. consumer awareness and wine establishment of the St. Helena Beckstoffer indicates that he wants this characteristics of grapes produced from viticultural area. The notice requested previous data to be included in his this area seem to indicate that the area comments from all interested persons by petition requesting that this area not be should be included in Rutherford but February 2, 1995. included in any viticultural area until that additional time should help some future time when more Comments to Notice of Proposed determine with greater clarity exactly information is available. Rulemaking what viticultural area this area in Mr. Beckstoffer states that prior question belongs in. At some future Six comments were received in testimony at the Rutherford viticultural time, according to Mr. Beckstoffer, this response to the notice of proposed area hearing shows that there are no area could be assigned to either rulemaking (Notice No. 801). Three significant differences in rainfall, Rutherford or St. Helena with much commenters—Mr. W. Andrew elevation or soils in this area from that more clarity, precision and general Beckstoffer of Beckstoffer Vineyards, to the north, St. Helena, or to the south, acceptance. Mr. Richard E. Walton of Beaulieu Rutherford. Mr. Beckstoffer indicates Another commenter—Mr. William A. Vineyard, and Mr. Thomas Leonardini that there was significant controversy, Hayne—states that he has a vineyard in of Whitehall Lane Winery—state that a however, regarding the underlying the area in question and that he does not certain portion of the proposed geology of this area and the area to the agree with the proposal to exclude this viticultural area should not, at this time, north and south. Mr. Beckstoffer states area from the proposed St. Helena be included within the boundaries of that the geological features upon which viticultural area. Mr. Hayne further the St. Helena viticultural area. The a delimited grape growing area is states that viticultural areas in the Napa portion of the proposed St. Helena defined as a viticultural area do not Valley seem to be destined to be divided viticultural area which these three support the inclusion of this area in up more or less by post office regions commenters want excluded starts at the either St. Helena or Rutherford to the and that he wishes to be included in the intersection of Zinfandel Lane with exclusion of the other. Consequently, St. Helena viticultural area as is Highway 29 on the southern boundary Mr. Beckstoffer feels that the features of presently provided for in the notice of of the area, then in a westerly direction this area could presently support proposed rulemaking. along Zinfandel Lane to where it inclusion in either Rutherford or St. Another commenter—Mr. Richard W. intersects with the north fork of Bale Helena. Forman of Forman Vineyard—states that Slough, then in a northwesterly Mr. Beckstoffer also states that this he is very close to the eastern boundary direction along the north fork of Bale area should not be considered a part of of the proposed St. Helena viticultural Slough to where it intersects with the the proposed St. Helena viticultural area area and feels that Forman Vineyard southwesterly straight line projection of just because a certain portion of the area should be included within the St. Inglewood Avenue, then in a in question is within the municipal Helena area. In fact, Mr. Forman states southwesterly direction along the limits of the city of St. Helena. Mr. that his winery and vineyard are located straight line projection of Inglewood Beckstoffer indicates that it is his within the city limits of St. Helena. He Avenue to the 500 foot contour line on understanding that the approved Spring further states his property is located on the western side of the area, then along Mountain and Howell Mountain the lower toe slopes of the eastern the 500-foot contour line in a viticultural areas include areas within Howell Mountain range and as such, has northwesterly direction to Sulphur the city of St. Helena. In addition, the an exposure which looks across the Creek, then in a southeasterly and then proposed St. Helena viticultural area Silverado Trail near Meadowood Lane a northeasterly direction along Sulphur includes areas both within and outside and into the center of St. Helena. Mr. Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations 47055 Forman indicates that his vineyard, comment is in response to the two Mr. Carpy states that ATF made its originally established on what was proposed boundary amendments which decision on the Rutherford viticultural called the Stonebridge property, is were submitted. In response to Mr. area in July of 1993. He states that the clearly more closely associated with its Forman’s proposal to extend the argument that this decision should be near valley floor neighbors physically, boundary of the St. Helena viticultural revisited in the future provides no climatologically and geologically, than area to include his vineyard property, legitimate basis for opposing the St. the further removed and proposed fans Mr. Carpy states that the St. Helena Helena viticultural area petition. Mr. of Pratt Valley, Deer Park and Spring Appellation Committee does not have Carpy states that under the applicable Valley. He further indicates that he any objection to this proposal. Mr. regulations, ATF is bound to decide agrees with Mr. Sullivan’s statement in Carpy states that Mr. Forman’s vineyard whether there is sufficient evidence to the St. Helena petition that it is difficult is located within the city limits of St. establish the St. Helena viticultural area to differentiate exactly, on a historical Helena and, to the best of his as proposed by the petitioners. Mr. basis, between the 400–600 foot contour knowledge, is split by the proposed 400 Carpy observes that Mr. Beckstoffer on the eastern slopes of the proposed St. foot contour line. Mr. Carpy indicates concedes such evidence exists when he Helena viticultural area. that the petitioners have reviewed Mr. states, ‘‘The geological features upon Mr. Forman states that Mr. Sullivan Forman’s data and find the soil types which a delimited grape growing area indicates in the petition that the actual and geology to be consistent with those are defined as a viticultural area * ** Howell Mountain influence of differing of the other toe-slopes of the Vaca (or could support inclusion [of the area in climatology does not come into effect Silverado) Range in the immediate question] in either [the Rutherford or until one reaches well above the 600 vicinity. Mr. Carpy states that he has the St. Helena Viticultural] Area.’’ foot elevation. Mr. Forman states that received information from Mr. Forman On behalf of the petitioners, Mr. his vineyard property does not extend that indicates that Mr. Forman’s Carpy states that all the requirements for beyond the 600-foot contour line and vineyard property contains large the establishment of the St. Helena therefore has a very similar climate to deposits of old, uplifted Napa Riverbed viticultural area have been met in the the valley floor. And finally, Mr. materials, which suggests that the Napa case of the area in question. Forman states that, on a geological basis, River channel ran through the area Specifically, the name identification his soils closely resemble the soils historically. In this sense, according to requirement has been met not only by found in the Phelps Home Ranch 3 Mr. Carpy, the area proposed for the fact that a portion of the area is Corral III vineyard, noted in petition inclusion by Mr. Forman appears to be within city limits of St. Helena but also exhibit No. 30 and located in Spring similar to the area on the eastern toe- by numerous citations in the modern Valley, which is within the proposed slopes of Oakville, which were added to wine press, by historical documents boundaries of the St. Helena viticultural that viticultural area in the final rule pertaining to the so-called St. Helena area. Mr. Forman states that this close establishing the Oakville viticultural District of the late 1800s and by local similarity between soils should area. name recognition. According to Mr. establish that his vineyard soils are In addition, Mr. Carpy states that the Carpy, it is inconceivable to the consistent with other St. Helena district petitioners have no objection with the petitioners that the properties of George soils and therefore his vineyard inclusion of Mr. Forman’s property in Crane, who is widely acknowledged as property should be included as part of the St. Helena viticultural area since the one of the founding fathers of St. Helena the St. Helena viticultural area. proposed boundary expansion is small (Crane Park in the city of St. Helena Mr. Forman indicates that the United and the current boundary works a honors him), and John Lewelling, who States Department of Agriculture hardship on Mr. Forman because his also was prominently identified with St. (USDA) soil map identifies his vineyard vineyards are split. Helena, could be considered as part of property’s soil as a Butte Stony Loam In regard to Mr. Beckstoffer’s the Rutherford viticultural area. Mr. and mentions that it is widely found proposed boundary amendment, Mr. Carpy states that the petitioners have along the lower eastern toe slopes Carpy states that the petitioners are met their burden of proof. Mr. Carpy between Deer Park and Rutherford Cross opposed to any further change in the then quotes from ATF’s final rule on the Roads, again suggesting that this would boundaries of the proposed St. Helena Rutherford viticultural area with respect indeed conform as a characteristic soil viticultural area. Mr. Carpy states that to the area in question: type of the area. Mr. Forman states that the present rulemaking concerns the St. the climate surrounding his property is Helena viticultural area and should not Proponents of a northern boundary for quite like that found above the be used as an indirect method of Rutherford that is further north than Silverado Trail from Howell Mountain appealing ATF’s final rule on the Zinfandel Lane did not submit any evidence that this area between Zinfandel Lane and Road to Deer Park Road, particularly in Rutherford viticultural area. Mr. Carpy Sulphur Creek has ever been known, either so far as his property is situated within points out that there was no appeal to currently or historically, as Rutherford. The one-fourth mile of the Silverado Trail U.S. District Court of the Bureau’s Rutherford and Oakville Appellation and has an exposure and elevation only decision to exclude from Rutherford the Committee, on the other hand, submitted moderately different than these adjacent area north of Zinfandel Lane, west of numerous maps and other name evidence valley floor locations. Highway 29, and south of Sulphur which tends to show that this area has In summary, Mr. Forman states that Creek (the area in question). Mr. Carpy always been considered to be part of the because of his location within the city states that it is clear from Mr. greater St. Helena area. limits of St. Helena, because of his Beckstoffer’s comment that Mr. Later in the final rule establishing the exposure and proximity to the valley Beckstoffer did not agree with the Rutherford viticultural area, it was floor, and because of his vineyard’s decision made regarding the stated that ‘‘Most current and historical geology, he feels that his property establishment of the boundaries of the maps, as well as other name evidence, should be included within the St. Rutherford viticultural area and suggest that Zinfandel Lane is the most Helena viticultural area. consequently is trying to delay action on appropriate dividing line between The last commenter, Mr. Chuck the area in question in hopes of Rutherford and St. Helena.’’ Mr. Carpy Carpy, Chairman of the St. Helena eventually getting this area included indicates that to reject Zinfandel Lane as Appellation Committee, states that his within the Rutherford viticultural area. the most appropriate dividing line 47056 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations between Rutherford and St. Helena ATF Boundary Decisions years or more. While it is possible that would belie history and mislead After thoroughly reviewing all the such a delay could produce some consumers. comments submitted in response to the evidence that certain wine Mr. Carpy requests that all testimony notice of proposed rulemaking (Notice characteristics and local reference for and documentation from the Rutherford No. 801) on the St. Helena viticultural the wine consumer might point toward a Rutherford designation for some wines proceeding which pertain to the area in area, ATF has made the following from this area, it would appear that such question be included in the record of decisions concerning the two requests evidence would at most be limited and the present rulemaking. for boundary changes: 1. Forman Proposal. ATF agrees that subject to dispute. In addition, there is Mr. Carpy states that with regard to the Forman vineyard property is split by no current evidence available which the required geographic evidence, the the boundaries proposed in Notice No. would be a basis for rejecting the petitioners have placed the entire 801 and that the property is located petitioners’ current southern boundary Sulphur Creek alluvial fan in the St. within the city limits of St. Helena. In proposal. Since the petitioners have Helena viticultural area. The petitioners’ addition, both Mr. Forman and the provided adequate evidence for their expert geographer and soil scientist, petitioners agree that the soil types and boundary proposal and since no new evidence has been submitted which Deborah Elliott-Fisk, describes that fan geology of this vineyard property are would cause us to find otherwise, we in the reporter’s transcript of the public consistent with those of other areas have decided to adopt the petitioners’ hearing on Rutherford, on page 48, as located within the proposed St. Helena boundary proposal as specified in the drainage basin of Sulphur Canyon viticultural area. For these reasons, ATF Notice No. 801 along with Mr. Forman’s and Heath Canyon, including Spring has determined that the Forman proposed boundary change. Mountain, which ‘‘extends through the vineyard property should be included town of St. Helena at least up to the within the boundaries of the St. Helena Evidence That Viticultural Area Name vicinity of where the Beringer Winery is viticultural area. Consequently, Mr. Is Widely Known today.’’ Forman’s proposed boundary change is Data prepared by Mr. Charles Sullivan Mr. Carpy states that the area in being adopted in the descriptive section for the petitioners provides the question splits the Sulphur Creek of this final rule. following historical information. alluvial fan at Highway 29 (on an east- 2. Beckstoffer Proposal. ATF believes The town of St. Helena was founded west axis) and at Sulphur Creek (north- that the St. Helena petitioners have by Henry Still, who bought land from south), thereby including in the St. provided adequate historical, name, and the Edward Bale family in 1855. By Helena appellation only a portion of this geological evidence to include the area 1858 there was a school house and a geomorphic unit. Mr. Carpy indicates in question in the St. Helena viticultural little Baptist church. Four years later that anything less than such artificial area. As part of the Rutherford Professor William Brewer of the bisection of the Sulphur Creek alluvial viticultural area process, ATF reviewed Whitney party called it a ‘‘pretty little fan would place historical St. Helena all the evidence presented during the village with fifty or more houses . .. wineries like Louis Martini and Beringer comment period and the public hearing nestled among grand old oaks.’’ Early Vineyards in the Rutherford viticultural to determine the best boundaries for the winemakers in the St. Helena area area. Mr. Carpy states that there is no Rutherford viticultural area. As a result included Charles Krug and George explanation or evidence of how or why of that review, it was determined that Belden Crane. At the end of the 1879 the area in question is viticulturally the best dividing line between vintage the San Francisco Post ran an distinct from the area east of Highway Rutherford and St. Helena, for article on northern California wines 29 or from any other portion of St. viticultural purposes, was Zinfandel which noted the flavor characteristics of Helena. Lane. Mr. Beckstoffer has not presented Napa clarets. This article was copied by any new evidence which would lead us the St. Helena Star which predicted that Mr. Carpy indicates that both before to the conclusion that the area in there would be 2,000 acres of grapes and during the Rutherford viticultural question should be part of the planted in the Napa Valley in 1880. area proceeding, Ms. Elliott-Fisk Rutherford viticultural area. To the According to Mr. Sullivan, the final conducted extensive field research contrary, all historical and name total was closer to 3,000, and throughout the Napa Valley, including evidence which we have reviewed concentrated in the St. Helena area. the area in question. Ms. Elliott-Fisk suggests that this area should be As early as 1869, San Francisco’s Alta concluded in her comments on the considered as part of the St. Helena California was making reference to a Rutherford viticultural area that ‘‘the area. In addition, the northern boundary ‘‘St. Helena district,’’ as did the Pacific Sulphur Canyon Fan should be left for of the Rutherford viticultural area was Rural Press. These were references to a future St. Helena viticultural area, as largely determined on the basis of where vineyard plantings in the area. In 1872 it has rocky soils (with a higher the southern edge of the Sulphur the Napa Reporter made reference to the percentage of boulders and large Canyon Fan approximately ends. Since boom in vineyard land around St. cobbles) and is dominated by rhyolite it was determined that the Sulphur Helena. The Alta California ran an and other volcanic lithologies with a Canyon Fan ends somewhere just south article on the area in 1878, treating St. soil matrix of fine sands and secondary of Zinfandel Lane, it was decided that Helena as a specific district with a great clays, providing for moderate to the northern boundary of the Rutherford reputation. By then Charles Krug, the moderately high vine vigor under viticultural should be Zinfandel Lane. Beringers, Crane, John Lewelling, H. A. slightly warmer climates and increased Therefore, since the Sulphur Canyon Pellet, and 14 other producers had built precipitation than in the Rutherford Fan includes the area north of Zinfandel cellars in the St. Helena area. region.’’ Mr. Carpy states that the Lane on both the east and west sides of In 1875 Krug and Pellet organized the petitioners now seek to follow through Highway 29, we have determined that producers and growers in the district, a on ATF’s decision in the Rutherford the area in question should be included move that culminated in the formation proceeding by placing the entire within the St. Helena viticultural area. of the St. Helena Viticultural Club on Sulphur Creek alluvial fan in the St. In addition, we see no benefit to January 22, 1876. According to Mr. Helena viticultural area. delaying a decision on this area for 5 Sullivan, others outside the district Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations 47057 could join, but it was a local St. Helena Board in 1893. Even Chiles and Conn According to the petitioner, the organization. In 1880 the Club Valleys were included in the St. Helena western boundary of the St. Helena constructed Vintners Hall, a two story District, although Priber gave separate viticultural area is not strictly building with a reading room, meeting statistics for these areas. delineated by historical custom. The rooms, and a social hall upstairs. Although the wineries and petitioner states that this western Mr. Sullivan states that by the end of vineyardists in the Priber report are boundary should be dictated by the the 1870s there was no question listed in administrative districts, eastern boundary of the adjacent Spring concerning Napa’s special reputation as Priber’s man in the field, A. Warren Mountain District viticultural area a winegrowing region, or about St. Robinson, asked each where his or her which utilizes the 400-foot contour line. Helena’s as a discrete district in that operation was located, and the answer The petitioner states that although some region. As support for this statement, was given as a place, not necessarily a people might draw the western Mr. Sullivan cites the Alta California post office. Bernard Ehlers said he lived boundary of the St. Helena viticultural which concluded in an article published at Lodi Station. Mrs. Lillie Coit listed area at the 500 or 600-foot contour line, in 1880 that ‘‘Napa is now the leading Larkmead. According to the petitioner, the 400-foot contour line defies no wine-growing county of California, and such data make it possible to make an historical precedent and prevents the ** * St. Helena has become the center attempt to draw historically accurate overlapping of the St. Helena of the most prosperous wine district in lines. viticultural area with the Spring the State.’’ A more accurate listing of viticultural Mountain District viticultural area. According to Mr. Sullivan, by the turn districts was given by Charles Krug in In regard to the eastern boundary, of the century Napa prices were still his report of 1887. He traces the historical records indicate that Conn higher than those of other districts, but development of each district in Napa Valley is a separate area and should not the special position accorded St. Helena County since 1881, by acreage, be included in the St. Helena wines had ceased to exist. The popular production, and type of grape vines. viticultural area. These records indicate, image of the wines of Oakville, Krug listed Yountville, Oakville, however, that Pratt Valley is clearly part Rutherford, Larkmead, and Howell Rutherford, St. Helena, Spring of the St. Helena area from the location Mountain had ended the perception of Mountain, Howell Mountain, Calistoga of the Pratt and Chabot wine growing St. Helena wines standing above all and five others. Although he did not properties. In addition, the Crystal others. After Prohibition, the regional include a map, the precision of his Springs Road area and Dago Valley association of the leading Napa Valley statistics indicates that he and others should be included, due more to recent producers was far from foremost in had the limits of these districts in mind. developments there rather than earlier consumers’ minds and in the minds of history. However, the petitioner states From the information discussed wine writers according to Mr. Sullivan. that the old Rossini property, where the above, the petitioner has tried to plot However, Mr. Sullivan states that more historic Burgess-Souverain Winery is the northern and southern boundaries of recently there has been a tendency for located today, and the Leunenberger the St. Helena viticultural area. From a wine writers to make reference to the St. property, where the original Sutter historical point of view, the petitioner Helena ‘‘district’’ and to its wines, Home-Ballantine Winery was located states that any one of three landmarks particularly to its Cabernet Sauvignons. (today Deer Park Winery), should not be could be used as the northern boundary In addition to the historical name included because they are located on of the St. Helena viticultural area. These information mentioned above, the ‘‘St. the lower slopes of Howell Mountain landmarks include Ritchie Creek, Bale Helena’’ name appears on a U.S.G.S. 7.5 rather than in the St. Helena area. minute series map entitled ‘‘St. Helena Lane, and Big Tree Road. However, from The petitioner uses mostly the 400- Quadrangle’’ which includes the city of a practical, as well as historical point of foot contour line and a short portion of St. Helena and much of its surrounding view, Bale Lane is the best choice. Howell Mountain Road and a longer area. The southern boundary of the St. portion of Conn Valley Road to Helena viticultural area was discussed Evidence of Boundaries delineate the eastern boundary of the at length during the December 9, 1992, proposed St. Helena viticultural area. According to the petition, there have ATF public hearing held in Napa, never been precise historic boundaries California, concerning the northern Geographical Features for the St. Helena viticultural district. boundary of the Rutherford viticultural Data prepared by Dr. Elliott-Fisk in However, the petitioners state that area. From the information submitted at support of the petition provides the history does provide an imprecise ‘‘St. that hearing, it was determined that following geographical information. Helena District’’ within the geographic Zinfandel Avenue, known locally as Climate. The proposed St. Helena structure of State winegrowing Zinfandel Lane, was the best northern viticultural area lies within a relatively established by the first Board of State boundary for the Rutherford viticultural narrow and constricted portion of the Viticultural Commissioners in the area. Consequently, Zinfandel Avenue upper Napa Valley proper. There exists 1880s. According to the petition, the (Zinfandel Lane) is appropriate as the a subtle interaction of climatic factors State was divided into districts, one southern boundary of the adjacent St. which affect grapes grown in this valley being Napa, which included Napa, Helena viticultural area. floor area. These subtle climatic Solano, and Contra Costa Counties. The southeast boundary of the St. influences are part of a continuum Charles Krug was the first commissioner Helena appellation includes the Spring across the entire floor of the Napa for the district in 1880. Napa County Valley area since this area was included Valley. was then divided into administrative in the St. Helena area on the 1895 The Napa Valley proper is classified districts: Napa (City), Yountville, St. ‘‘Official Map of the County of Napa.’’ as a coastal valley. Along the valley Helena, and Calistoga. These were not On this map, the properties of George floor from Napa to Calistoga, there are considered viticultural districts at the Mee and Antonio Rossi (Spring Valley) pronounced mesoclimatic variations time. The St. Helena District included were listed as being in the St. Helena which relate to the penetration of the vineyards of Howell Mountain, most district whereas Charles Scheggia, just marine influences from San Pablo Bay of Rutherford, and Larkmead. This is to the south, listed himself as being in and, to a lesser extent, to the rise in discussed in E.C. Priber’s report to the Rutherford. elevation as one proceeds up Napa 47058 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations Valley. This marine air incursion is from 400 to 2,600 feet for Spring consequent marine erosion and deposit, caused by warming of the valley floor Mountain and from 1,400 to 2,400 feet (2) tectonic uplift and land and surrounding hillsides during the for Howell Mountain. On average, displacement along faults and fold daylight hours of the growing season. temperatures fall along the valley floor structures (e.g., anticlines), (3) bedrock This warming land mass causes the air approximately 2.8 degrees Fahrenheit resistance to erosion, (4) slope stability, in the area to rise, creating pressure for each 1,000 foot fall in elevation. and (5) discharge volumes of the Napa gradients which draw in marine air off The mountain areas with south or River and its tributaries. The St. Helena of San Pablo Bay to the south. During southwest slopes, such as those viticultural area, extending from Bale the growing season, this phenomenon generally found in the Howell Mountain Lane on the north to Zinfandel Lane on generally begins in the early afternoon viticultural area, receive approximately the south, has a fairly uniform, steep and continues into the evening. Due to 20 percent more solar radiation during gradient (as compared to the entire Napa proximity to the bay, the areas in the the growing season compared to the Valley floor), indicating that it is a zone southern portion of the valley receive valley floor. Northeast and northwest of erosion of a former more powerful the most direct impact of these pressure slopes, such as those that typically Napa River. The valley in this area is gradient winds. These winds have a occur in the Spring Mountain District narrow and is almost entirely the cooling effect throughout the Napa viticultural area, receive approximately product of river erosion, unlike any Valley. 20 percent less solar radiation than other stretch of the valley floor. The one During the grape growing season, this those found on the valley floor in the St. break in gradient occurs where the river cooling plays an important role in the Helena viticultural area. In addition to turns southward near Big Tree Road development of the grapes by allowing these differences related to aspect, the (just south of Bale Lane) and exerts them to better retain their natural relative absence of fog in the higher more force to cut through bedrock. acidity which is critical in the altitudes increases the solar radiation Thus, although alluvial fans extend production of high quality wines, there compared to the valley floor across the valley floor from their according to Dr. Elliott-Fisk. In the St. which often is covered by early morning tributary canyons to the Napa River, the Helena viticultural area, this cooling fog. fans are small and relatively young effect is moderated compared to the According to Dr. Elliott-Fisk, compared to the rest of Napa Valley. areas further south. However, while the precipitation has been more important Sulphur Creek fan is the largest of the St. Helena area has relatively warm in the formation of topography and soils group, as it issues from a very large conditions, it is the daily maximum in the Napa Valley than in the definition drainage basin. Fans of the eastern side extremes, for which the area to the north of distinct climate zones. Outside of of the proposed appellation are very (Calistoga) is better known, that annual physiological water needs which small, largely due to the resistance of distinguish the St. Helena and Calistoga are almost exclusively augmented by obsidian (i.e., volcanic glass) bedrock areas. irrigation, precipitation directly affects here and small tributary basin size. Dr. Elliott-Fisk indicates that grape vines during late spring and early The topographic uniformity of the St. traditionally, the dividing line between fall, which are the critical periods of the Helena viticultural area is further the area of Calistoga’s higher daily growing and harvest seasons. Cooler substantiated by climatological data and extremes and St. Helena’s warm coastal areas, those generally found to the south bioclimatic maps. Growing degree-days climate has been the section of land of the St. Helena appellation, are more (i.e., temperature regime), according to around Bale Lane. It is at this point that negatively affected by such conditions. Dr. Elliott-Fisk, are very uniform along the Napa Valley and Napa River take a this stretch of the valley floor and lower Soils, Geology and Physical Geography pronounced directional change of slopes, averaging just under 3600 course from north/northwesterly to The St. Helena viticultural area is in degree-days. Mean annual precipitation more westerly. To the north of Bale the northern Napa Valley and is defined is 35–38 inches. Just north of the Lane, the exposure of the valley floor to by Dr. Elliott-Fisk as the valley floor northern boundary of the St. Helena the sun also is more directly aligned area and lower mountain slopes (i.e., viticultural area (e.g., around Dunaweal than to the south where there is more toe-slopes) from Zinfandel Lane in the Lane), the vegetation changes from shading. south to Bale Lane in the north. Valley Oak Savanna to Mixed The area to the north of the St. Helena According to Dr. Elliott-Fisk, the Hardwood Woodland. These gradients viticultural area, particularly around the geology of the St. Helena area is of climate and vegetation from south to city of Calistoga, is also affected by a characterized by steep mountain fronts north up Napa Valley, according to Dr. secondary marine air incursion, far less composed of the (1) Franciscan Elliott-Fisk, further support the dramatic than that off of San Pablo Bay, Formation (largely sandstones, designation of viticultural areas, as which penetrates the upper Napa Valley mudstones and various metamorphic climate is an important factor through the Knights Valley area. This inclusions) overlain by the moderate influencing vine growth and fruit marine influence, according to Dr. thicknesses of Sonoma Volcanics on the characteristics, with natural vegetation Elliott-Fisk, does not typically penetrate west side in the Mayacamas Range, and telling the viticulturalist what vine as far south as the St. Helena viticultural (2) deep flows of Sonoma Volcanics, production will be like. area. When present, these moist, cooling volcanic vents, and volcanic domes over winds serve to moderate the generally Great Valley sandstones on the east side Soils and Geomorphology of the Napa hotter temperatures in Calistoga, making in the Vaca Range. Both mountain Valley this area ideal for growing premium slopes have been faulted and heavily Dr. Elliott-Fisk states that soils can be wine grapes. eroded, with much of this activity consistently identified and mapped in Dr. Elliott-Fisk also finds that there believed to be synonymous with the Napa Valley through knowledge of the are significant climatic differences formation of the Sonoma Volcanics in geomorphology (i.e., landforms and between the St. Helena viticultural area the last 2–5 million years. landform history) of the area. These soil and the surrounding mountains. To the Dr. Elliott-Fisk further states that the differences are relevant viticulturally east of St. Helena lies Howell Mountain topography of the Napa Valley floor is and can be used in the delimitation of and to the west is Spring Mountain. largely the product of (1) the marine viticultural areas. This soil and These mountain areas range in elevation incursion of San Pablo Bay, and geomorphic mapping, which is based on Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations 47059 very detailed field and laboratory deeper, depositional soils are (2) Current floodplain of the Napa River; studies, produces soil units that are occasionally found up on the hillsides, and similar to those shown in the Napa uplifted above the valley floor. It is (3) Older floodplains of the Napa River at County Soil Survey (USDA-Soil important to separate these depositional higher elevations. Conservation Survey), but with more [These landforms follow the channel of the hillside soils from residual bedrock Napa River, except for older terraces along detail, precision, and most importantly, soils. They have much higher water- the hillsides, which are largely obscured by a different classification scheme, holding capacities and deeper rooting dense hillside woodland and forest; these according to the petitioner. The depths, influencing vine growth terraces are discovered through intensive resolution of the mapping of Napa significantly. field studies.] Valley’s soils has increased from the Dr. Elliott-Fisk further indicates that Dr. Elliott-Fisk notes that the 1938 survey (and the old Marbut soil the floor of Napa Valley (excluding the geomorphic depositional units (i.e., classification scheme) to the newer 1977 bedrock ‘‘islands’’ which form small landforms) in the St. Helena viticultural survey (using the new 7th hills) has soils formed on (1) alluvial area are composed almost exclusively of Approximation system of soil fans of various lithologies, textures, and volcanic lithologies (around 85–90 classification) to a more detailed sizes emerging from tributary percent volcanics typically, occasionally depiction of Napa Valley’s soils based watersheds towards the Napa River, (2) dropping to 70 percent on parts of the on an increased understanding of (1) the alluvial floodplains of various ages Sulphur Creek fan, with the remainder geomorphological history of the Napa along the Napa River and the lower sedimentary and metamorphic Valley, and (2) the importance of soil reaches of its tributaries (such as inclusions from the bedrock underlying parent material and time as soil-forming Sulphur Creek), and (3) bay deposits of the Sonoma Volcanics). The upper part factors. There are many more soil types various types, formed when San Pablo of the Sulphur Creek Basin contains (or potential soil series) in Napa County Bay extended into the valley proper. small units of sandstone and than the Napa County Soil Survey The alluvial fans in particular show depicts according to the petitioner. metamorphic lithologies exposed at the marked contrasts in soil types north- surface through faulting and slope Dr. Elliott-Fisk further notes that a south and east-west in the valley as a geomorphic (landscape) surface of a failure. Despite this, volcanic rhyolitic function of their (1) watershed or tuff, rhyolite, dacite and andesite are by given age will have soils of the same drainage basin geology and (2) stream type across it. This is because soil far the dominant surficial geologies, gradient (i.e., topography). Dr. Elliott- compared to the Bear Canyon Fan formation is controlled by five factors Fisk concludes that the soils scientist (known as the soil-forming factors): Complex to the south which is 30 then expects to find one soil series on percent or less volcanics and the climate, biota (plants and animals), fans derived from sedimentary bedrock parent material, relief (topography) and remainder sedimentary. and another on fans derived from Dr. Elliott-Fisk further observes that time. The petitioner states that much of volcanic bedrock. the variation of soil types in Napa although several types of volcanic rocks County is due to variation in the parent Geomorphic Units of the St. Helena compose the St. Helena hillside, the material and time factors. Different soil Viticultural Area most widespread (and as such, ubiquitous) units are volcanic ash-flows, types will be derived from sedimentary The valley floor of the St. Helena referred to as tuffs, with occasional bedrock versus volcanic bedrock, viticultural area is covered by a series of volcanic mudflows. The matrix is whether or not these soils are upland small fans and contains important areas rhyolitic in composition, with residual soils (with weathering and soil of Napa River floodplain. Dr. Elliott-Fisk incorporated clasts of obsidian, rhyolite, formation in place or in situ) or has described the geomorphic units as andesite, dacite and tuff. Occasional transportation/depositional soils (with follows: soil formation beginning once river or metamorphic clasts of cobble or smaller North to South on West Side of Valley: size are seen. This geologic parent other sediments are deposited). Alluvial (1) Ritchie Creek Fan (the southern edge of soils of different ages (old versus young) material is slightly acidic to acidic, with it extending south of Bale Lane into the water-holding capacity of tuffaceous will also differ significantly. viticultural area); principally in the area On any particular geomorphic surface north of St. Helena; bedrock units moderate. This potential (such as the Sulphur Creek fan), the (2) Mill Creek Fan; soil parent material is brought down parent material, relief and time factors (3) Hirsch Creek Fan; both slopes to the west and east of the are held constant, with the soils very (4) York Creek Fan; valley floor by hillside erosion, runoff, similar (if not identical) across this (5) Sulphur Creek Fan; and and tributary streamflow. surface. For depositional landforms (6) Bear Canyon Fan Complex (in approved According to Dr. Elliott-Fisk, the Napa (e.g., mudflow lobes, river terraces, Rutherford viticultural area). River has incised through these fan alluvial fan units, etc.), the older North to South on East Side of Valley: deposits discharging on the valley floor (1) Simmons Canyon Fan (north of the St. and migrated as a consequence of the deposits will have more strongly formed Helena viticultural area); soils. If a geomorphic surface is (2) Dutch Henry and Biter Creek Fan resistance of these deposits versus its disturbed by erosion or deposition, its Complex (north of the St. Helena viticultural own stream power. The Napa River soil will be altered (if not destroyed), area, reaching almost to Bale Lane); floodplain, and its associated recent with a new soil then forming. (3) Unnamed Fan west of Bell Canyon terraces, varies in width throughout this In Napa Valley, according to Dr. Reservoir and Crystal Springs Road; section of Napa Valley but has formed Elliott-Fisk, distinct differences are seen (4) Base of Pratt Valley (very small fan); important terraces along the eastern between hillside soils and valley floor (5) Base of Deer Park (unnamed tributary; valley edge. Distinct breaks in the soils, at least in most situations. Hillside small fan); natural vegetation are seen at the soils tend to be formed from bedrock (6) Base of Spring Valley (very small fan; terrace/alluvial fan transition, as the mostly within Spring Valley); and and are shallow, whereas valley floor (7) Conn Creek Fan Complex (in approved terraces have more fertile soils with a soils tend to be formed from alluvium, Rutherford viticultural area). greater water-holding capacity. As the colluvium or bay deposits and are often Napa River Floodplain and River Terraces: width of the valley floor in the St. deep. As Napa Valley has been (1) Current incised channel of the Napa Helena area is on the average less (e.g., tectonically active, however, these River; more narrow) than anywhere else in the 47060 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations Napa Valley, these terraces form less provided, as part of the petition, profile Spring Valley and Pratt Valley and the viticultural acreage than in the southern drawings, descriptive field, and exclusion of Conn Valley and the higher or middle sections of Napa Valley. analytical laboratory data for 17 soils by mountain slopes. The lower hillside slopes below the horizon. Four of these soils are from Viticultural Area Boundary 400-foot elevation are difficult to map property outside of the boundaries of on a broad scale depicting geomorphic the St. Helena viticultural area and were The boundary of the St. Helena surfaces. This is largely a function of chosen to be representative of those viticultural area may be found on three abrupt changes in slope angle and areas. United States Geological Survey vegetation type, which influence long- Soil Summary (U.S.G.S.) maps with a scale of 1:24,000. term slope stability. Small areas of The boundary is described in § 9.149. uplifted depositional surfaces (alluvial The soils of the St. Helena viticultural fans and stream floodplain terraces) area, according to Dr. Elliott-Fisk, are Paperwork Reduction Act were found across these lower slopes in deep alluvial soils of moderate age, with the St. Helena area, however. well-formed horizonation, textural B The provisions of the Paperwork horizons, sandy clay loam to clay loam Reduction Act of 1980, Public Law 96– Soils of the St. Helena Viticultural Area textures, reddish colors, high gravel 511, 44 U.S.C. Chapter 35, and its With regard to the soils within the St. content (primarily of cobbles), and near implementing regulations, 5 CFR Part Helena viticultural area, Dr. Elliott-Fisk neutral pH. In this erosional zone of the 1320, do not apply to this final rule states that the Sonoma Volcanics rim all valley floor, where the width is because no requirement to collect sides of the valley in the St. Helena area, restricted, groundwater and the information is imposed. and as such the depositional valley floor groundwater table have a significant Regulatory Flexibility Act soils (which may be very bouldery influence, bringing in additional deposits across alluvial fans or finer, but dissolved minerals and increasing the It is hereby certified that this still gravelly deposits along the Napa pH (and nutritional content) above the regulation will not have a significant River proper, all principally Xerolls) are valley floor soils to the north (Calistoga economic impact on a substantial volcanic in origin, and deep, very region) and south (Rutherford and number of small entities. The gravelly sandy loams to sandy clay Oakville), as well as the hillsides establishment of a viticultural area is loams to clay loams, with low to (Spring Mountain, Diamond Mountain, neither an endorsement nor approval by moderate water holding capacities. Howell Mountain and Pritchard Hill). ATF of the quality of wine produced in Sediments have been transported The soil drainage in the St. Helena area the area, but rather an identification of relatively short distances from their is typically good since the water table an area that is distinct from surrounding origins, as this is the headwater area of drops in the spring, summer and fall to areas. ATF believes that the the Napa River system, and as such the allow the vines an adequate root zone establishment of viticultural areas soils contain a higher percentage of with free oxygen and carbon dioxide, merely allows wineries to more coarse clasts (especially boulders), with thus providing vigorous conditions for accurately describe the origin of their sand dominating the fine fraction of grape growing. The moderate climate, wines to consumers, and helps almost every soil. Dr. Elliott-Fisk notes with warm summer temperature, consumers identify the wines they that small sections of the upper stream balances well with this soil purchase. Thus, any benefit derived basins of Sulphur Canyon and the environment, and allows the wine from the use of a viticultural area name Spring Mountain region contain the grower to manipulate the vines to is the result of the proprietor’s own massive Franciscan marine sandstone extract what the winemaker desires efforts and consumer acceptance of and conglomerate, with its affiliated from a particular varietal. As such, Dr. wines from that region. In addition, no volcanic and metamorphic inclusions. Elliott-Fisk concludes that this provides new recordkeeping or reporting The lithology of the fine clasts that a stable and predictable environment for requirements are imposed by this compose the alluvial fans in this grape growing, and the physical regulation. Accordingly, a regulatory immediate region (i.e., Sulphur Creek geography of the region has promoted flexibility analysis is not required. fan) include a higher portion of non- the production of fine wines in the St. volcanic clasts (up to 15 percent, to Helena area for many decades. Executive Order 12866 occasionally 30 percent) than alluvial It has been determined that this fans to the north, such as the Ritchie Conclusion regulation is not a significant regulatory Creek fan below Diamond Mountain, The St. Helena viticultural area is action as defined by Executive Order located largely north of the northern St. uniform topographically and can be 12866. Accordingly, this regulation is Helena viticultural area boundary. distinguished from the steeper hillsides not subject to the analysis required by However, the percentage of non- to the east (Howell Mountain) and west this Executive Order. volcanic clasts is much higher to the (Spring Mountain District) as well as south of the St. Helena viticultural area from the valley floor areas to the south Drafting Information. The principal author (i.e., Bear Canyon fan). The lower toe- (Rutherford) and north (Calistoga). This of this document is Robert White, Wine, Beer slopes of the mountain slopes in the St. is an area where the valley floor narrows and Spirits Regulations Branch, Bureau of Alcohol, Tobacco and Firearms. Helena area (below the 400-foot from around 19,000 feet at Oakville elevation) contain both Xerolls and Cross Road and 11,000 feet at Zinfandel List of Subjects in 27 CFR Part 9 Xeralfs, depending on slope stability Lane to around 3,500 feet at Lodi Lane and age. and Bale Lane. The area is marked by Administrative practices and Dr. Elliott-Fisk states that she has a uniform, steep gradient and significant procedures, Consumer protection, excavated an additional 17 soil trenches river erosion. The bedrock geology is Viticultural areas, and Wine. in the process of her scientific primarily volcanic, in contrast to the Authority and Issuance investigation in this area. She states that sedimentary soils to the south. she has done previous soils work in this Along the eastern edge of the St. Title 27, Code of Federal Regulations, region and has excavated over 350 soil Helena area, geologic and geographic Part 9, American Viticultural Areas, is trenches in Napa Valley. She has evidence support the inclusion of amended as follows: Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations 47061 PART 9ÐAMERICAN VITICULTURAL approximately 500 feet to its (16) Thence in a northwesterly AREAS intersection with Sulphur Creek in direction along the 380 foot contour line Sulphur Canyon in the northwest corner in Section 33 to a point of intersection Par. 1. The authority citation for Part of Section 2, T7N, R6W; with a northeasterly straight line 9 continues to read as follows: (6) Thence along Sulphur Creek in an projection of Zinfandel Avenue; Authority: 27 U.S.C. 205. easterly direction approximately 350 (17) Thence in a southwesterly Par. 2. Subpart C is amended by feet to its intersection with the 400 foot direction approximately 950 feet along adding § 9.149 to read as follows: contour line; this straight line projection of Zinfandel (7) Thence along the 400 foot contour Avenue to its intersection with the Subpart CÐApproved American line in a generally easterly, then Silverado Trail; Viticultural Areas northwesterly, direction past the city of (18) Thence continuing along St. Helena (on the St. Helena Zinfandel Avenue in a southwesterly * * * * * Quadrangle map) to a point of direction to its intersection with State § 9.149 St. Helena. intersection with a southwesterly Highway 29, the point of beginning. (a) Name. The name of the viticultural straight line projection of the county Signed: August 9, 1995. area described in this section is ‘‘St. road shown as Bale Lane in the Carne Daniel R. Black, Humana Rancho on the Calistoga Helena.’’ Acting Director. Quadrangle map; (b) Approved maps. The appropriate Approved: August 21, 1995. maps for determining the boundary of (8) Thence along the projected straight Dennis M. O’Connell, the St. Helena viticultural area are three line extension of Bale Lane in a U.S.G.S. 7.5 minute series topographical northeasterly direction approximately Acting Deputy Assistant Secretary (Regulatory, Tariff and Trade Enforcement). maps of the 1:24,000 scale. They are 700 feet to the intersection of State titled: Highway 29 and Bale Lane and [FR Doc. 95–22486 Filed 9–8–95; 8:45 am] (1) ‘‘St. Helena Quadrangle, continuing northeasterly along Bale BILLING CODE 4810±31±U California,’’ edition of 1960, revised Lane to its intersection with the 1993. Silverado Trail; (2) ‘‘Calistoga Quadrangle, (9) Thence in a northwesterly Office of Foreign Assets Control direction along the Silverado Trail California,’’ edition of 1958, 31 CFR Part 560 photorevised 1980. approximately 1,500 feet to an unmarked driveway on the north side of (3) ‘‘Rutherford Quadrangle, Iranian Transactions Regulations; the Silverado Trail near the 275 foot California,’’ edition of 1951, Implementation of Executive Orders elevation marker; photorevised 1968, photoinspected 12957 and 12959 1973. (10) Thence approximately 300 feet (c) Boundary. The St. Helena northeasterly along the driveway to and AGENCY: Office of Foreign Assets viticultural area is located in Napa beyond its point of intersection with Control, Treasury. County in the State of California. The another driveway and continuing in a ACTION: Final rule; amendments. boundary is as follows: straight line projection to the 400 foot (1) Beginning on the Rutherford contour line; SUMMARY: The Office of Foreign Assets Quadrangle map at the point of (11) Thence in a northerly and then Control of the U.S. Department of the intersection between State Highway 29 generally southeasterly direction along Treasury is amending the Iranian and a county road shown on the map as the 400 foot contour line through Transactions Regulations to implement Zinfandel Avenue, known locally as Sections 10 (projected), 11, 12, 13, 24 the President’s declaration of national Zinfandel Lane, the boundary proceeds and 25 in T8N, R6W, Section 30 in T8N, emergency and imposition of sanctions in a southwest direction along Zinfandel R5W, Sections 25 and 24 in T8N, R6W, against Iran. Avenue to its intersection with the Sections 19 and 30 in T8N, R5W to a EFFECTIVE DATE: September 6, 1995. north fork of Bale Slough (blueline point of intersection with the city limits FOR FURTHER INFORMATION CONTACT: stream) near the 201 foot elevation of St. Helena on the eastern boundary of Regarding the issuance of licenses, marker; Section 30 in T8N, R5W, on the St. Steven I. Pinter, Chief, Licensing (2) Thence in a northwesterly Helena Quadrangle map; Division (tel.: 202/622–2480); regarding direction approximately 2,750 feet along (12) Thence north, east and south banking and compliance questions, the north fork of Bale Slough to a point along the city limits of St. Helena to the Dennis P. Wood, Chief, Compliance of intersection with a southwesterly third point of intersection with the Programs Division (tel.: 202/622–2490); straight line projection of a light duty county road known as Howell Mountain regarding Iranian government entities, J. road locally known as Inglewood Road in Section 29, T8N, R5W; Robert McBrien, Chief, International Avenue; (13) Thence in a northeasterly Programs Division (tel.: 202/622–2420); (3) Thence in a straight line in a direction approximately 900 feet along regarding legal questions, William B. southwesterly direction along this Howell Mountain Road to its Hoffman, Chief Counsel (tel.: 202/622– projected extension of Inglewood intersection with Conn Valley Road; 2410); Office of Foreign Assets Control, (14) Thence northeasterly and then Avenue approximately 2,300 feet to its Department of the Treasury, southeasterly along Conn Valley Road to intersection with the 500 foot contour Washington, D.C. 20220. line in Section 7, Township 7 North its intersection with the eastern (T7N), Range 5 West (R5W); boundary of Section 28, T8N, R5W; SUPPLEMENTARY INFORMATION: (4) Thence along the 500 foot contour (15) Thence south approximately line in a generally northwesterly 5,200 feet along the eastern boundary of Electronic Availability direction through Sections 7, 1 and 2, to Sections 28 and 33 to a point of This document is available as an its intersection of the western border of intersection with the 380 foot contour electronic file on The Federal Bulletin Section 2, T7N, R6W; line near the southeast corner of Section Board the day of publication in the (5) Thence northerly along the 33, T8N, R5W, on the Rutherford Federal Register. By modem dial 202/ western border of Section 2 Quadrangle map; 512–1387 and type ‘‘/GO FAC’’ or call 47062 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations 202/515–1530 for disks or paper copies. engaging directly in such activity; and The collection of information This file is available in WordPerfect 5.1, (f) any transaction by any United States requirements contained in §§ 560.601, ASCII, and Adobe AcrobatTM readable person or within the United States that 560.602, and 560.801 have been (*.PDF) formats. evades or avoids, or attempts to violate, previously approved by the Office of these prohibitions. Management and Budget (‘‘OMB’’) and Background All General Licenses and General assigned control number 1505–0106. In Executive Order 12613 of October Notices issued by the Office of Foreign Because the Regulations are being 29, 1987 (3 CFR, 1987 Comp., p. 256, 52 Assets Control prior to September 11, issued without prior notice and public FR 41940), President Reagan imposed 1995 (see 60 FR 40881, Aug. 10, 1995), procedures pursuant to the import sanctions against Iran, invoking may continue to be relied on to validate Administrative Procedure Act, the the authority, inter alia, of section 505 actions prior to this date during the collection of information requirements of the International Security and period of their validity. Specific licenses contained in §§ 560.603 and 560.704 are Development Cooperation Act of 1985, issued by OFAC prior to this date being submitted to OMB under the 22 U.S.C. 2349aa–9 (‘‘ISDCA’’). In continue in effect according to their Paperwork Reduction Act of 1980, 44 Executive Order 12957 of March 15, terms unless modified by the Office of U.S.C. 3501–3520. Comments 1995 (60 FR 14615, March 17, 1995), Foreign Assets Control. Authorizations concerning the collection of information President Clinton declared a national contained in General Licenses issued and the accuracy of estimated average emergency with respect to the actions prior to publication of the Regulations annual burden, and suggestions for and policies of the Government of Iran can now be found in the following reducing this burden should be directed and imposed additional sanctions sections. to OMB, Paperwork Reduction Project against Iran, invoking the authority, (1505––0106), Washington, DC 20503, inter alia, of the International with copies to the Office of Foreign Emergency Economic Powers Act, 50 General Li- Date of Issu- Regulations cense No. ance Section Assets Control, Department of the U.S.C. 1701–06 (‘‘IEEPA’’). The Treasury, 1500 Pennsylvania Ave., President substantially supplemented 1 ...... 05/19/95 560.515 N.W.––Annex, Washington, DC 20220. and amended the sanctions in those 2 ...... 06/01/95 560.516 Notice of OMB action on these requests orders in Executive Order 12959 of May 3 ...... 06/01/95 560.517 will be published in the Federal 6, 1995 (60 FR 24757, May 9, 1995), 4 ...... 06/13/95 560.518, Register. invoking the authority, inter alia, of 560.524 This collection of information is IEEPA and ISDCA. In the Executive 5 ...... 06/14/95 560.210, required by the Office of Foreign Assets orders, the President authorized the 560.523 Control for licensing, compliance, civil Secretary of the Treasury, in 6 ...... 06/14/95 560.521 7 ...... 06/14/95 560.519 penalty, and enforcement purposes. consultation with the Secretary of State, 8 ...... 06/14/95 560.520 This information will be used to to take such actions, including the 9 ...... 06/14/95 560.512 determine the eligibility of applicants promulgation of rules and regulations, 10 ...... 06/14/95 560.510 as might be necessary to carry out the for the benefits provided through 11 ...... 07/21/95 560.524 specific licenses, to determine whether purposes of those orders. In 12 ...... 07/21/95 560.525 implementation of these orders, the persons subject to the Regulations are in Office of Foreign Assets Control is compliance with applicable amending in their entirety the Iranian Transactions otherwise prohibited by requirements, and to determine whether Transactions Regulations (as amended, this part may be authorized by a general and to what extent civil penalty or other the ‘‘Regulations’’). license contained in subpart E or by a enforcement action is appropriate. The The Regulations continue the specific license issued pursuant to the likely respondents and recordkeepers prohibitions previously contained in 31 procedures described in § 560.801 of are individuals and business CFR part 560 concerning the subpart H. organizations. importation into the United States, or The following sections contained in Estimated total annual reporting and/ the financing of such importation, of part 560 are removed and reserved and or recordkeeping burden: 1000 hours. any goods or services of Iranian origin. are no longer in force: §§ 560.202, The estimated annual burden per The Regulations also expand the 560.302, 560.309, 560.403, 560.404, respondent/recordkeeper varies from 30 prohibitions to (a) the exportation from 560.405, 560.409, 560.503, 560.504, minutes to ten hours, depending on the the United States to Iran or the 560.511, and 560.514. individual circumstances, with an Government of Iran, or the financing of Because the Regulations involve a estimated average of 2 hours. such exportation, of any goods, foreign affairs function, Executive Order Estimated number of respondents technology, or services; (b) the 12866 and the provisions of the and/or recordkeepers: 500. reexportation to Iran of certain goods Administrative Procedure Act, 5 U.S.C. Estimated annual frequency of and technology of U.S. origin; (c) any 553, requiring notice of proposed responses: 1 to 4. transaction by a United States person rulemaking, opportunity for public List of Subjects in 31 CFR Part 560 relating to goods or services of Iranian participation, and delay in effective origin or owned or controlled by the date, are inapplicable. Because no Administrative practice and Government of Iran; (d) any new notice of proposed rulemaking is procedure, Agricultural commodities, investment by a United States person in required for this rule, the Regulatory Banking and finance, Exports, Foreign Iran or in property owned or controlled Flexibility Act, 5 U.S.C. 601–612, does trade, Imports, Information, by the Government of Iran; (e) the not apply. Wherever possible, however, Investments, Iran, Loans, Penalties, approval or facilitation by a United it is the practice of the Office of Foreign Reporting and recordkeeping States person of the entry into or Assets Control to receive written requirements, Services, Specially performance by a foreign entity owned submissions or hold informal designated nationals, Transportation. or controlled by a United States person consultations with interested parties For the reasons set forth in the of a transaction or contract if the United concerning any rule or other public preamble, 31 CFR part 560 is revised to States person is prohibited from document. read as follows: Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations 47063 PART 560ÐIRANIAN TRANSACTIONS Subpart EÐLicenses, Authorizations and 560.804 Rulemaking. REGULATIONS Statements of Licensing Policy 560.805 Delegation by the Secretary of the 560.501 Effect of license or authorization. Treasury. Authority: 50 U.S.C. 1701–1706; 50 U.S.C. 560.502 Exclusion from licenses and 560.806 Customs procedures: Goods 1601–1651; 22 U.S.C. 2349aa–9; 3 U.S.C. 301; authorizations. specified in § 560.201. E.O. 12613, 52 FR 41940, 3 CFR, 1987 Comp., 560.503 [Reserved] 560.807 Rules governing availability of p. 256; E.O. 12957, 60 FR 14615, March 17, 560.504 [Reserved] information. 1995; E.O. 12959, 60 FR 24757, May 9, 1995. 560.505 Certain services relating to Subpart IÐPaperwork Reduction Act participation in various events Subpart AÐRelation of This Part to Other 560.901 Paperwork Reduction Act notice. Laws and Regulations authorized. 560.506 Importation and exportation of Sec. certain gifts authorized. Subpart AÐRelation of This Part to 560.101 Relation of this part to other laws 560.507 Accompanied baggage authorized. Other Laws and Regulations and regulations. 560.508 Telecommunications and mail § 560.101 Relation of this part to other transactions authorized. Subpart BÐProhibitions laws and regulations. 560.509 Certain transactions related to 560.201 Prohibited importation of goods and patents, trademarks and copyrights (a) This part is separate from, and services from Iran. authorized. independent of, the other parts of this 560.202 [Reserved] 560.510 Transactions related to the chapter, including part 535, ‘‘Iranian 560.203 Evasions; attempts. resolution of disputes between the Assets Control Regulations.’’ No license 560.204 Prohibited exportation of goods, United States or United States nationals technology, and services to Iran. or authorization contained in or issued and the Government of Iran. pursuant to those other parts authorizes 560.205 Prohibited reexportation of goods 560.511 [Reserved] and technology to Iran. 560.512 Iranian Government missions in the any transaction prohibited by this part. 560.206 Prohibited transactions related to United States. No license or authorization contained in Iranian–origin goods or services. 560.513 Importation of Iranian–origin oil. or issued pursuant to any other 560.207 Prohibited investment. 560.514 [Reserved] provision of law or regulations 560.208 Prohibited approval or facilitation. 560.515 30–day delayed effective date for authorizes any transaction prohibited by 560.209 Prohibited transactions with respect pre–May 7, 1995 trade contracts this part. to the development of Iranian petroleum involving Iran. resources. (b) No license or authorization 560.516 Payment and United States dollar contained in or issued pursuant to this 560.210 Exempt transactions. clearing transactions involving Iran. part relieves the involved parties from Subpart CÐGeneral Definitions 560.517 Exportation of services: Iranian accounts at United States depository complying with any other applicable 560.301 Effective date. institutions. laws or regulations. 560.302 [Reserved] 560.518 Transactions in Iranian–origin and 560.303 Iran; Iranian. Iranian Government property. Subpart BÐProhibitions 560.304 Government of Iran. 560.519 Policy governing news organization 560.305 Person; entity. offices. § 560.201 Prohibited importation of goods 560.306 Iranian–origin goods and services. 560.520 Exportation of agricultural and services from Iran. 560.307 United States. commodities. Except as otherwise authorized, and 560.308 Importation. 560.521 Diplomatic pouches. notwithstanding any contract entered 560.309 [Reserved] 560.522 Allowable payments for overflights into or any license or permit granted 560.310 License. of Iranian airspace. 560.311 General license. prior to May 7, 1995, the importation 560.523 Importation of information and into the United States, or the financing 560.312 Specific license. informational materials. 560.313 Entity owned or controlled by the 560.524 Household goods and personal of such importation, of any goods or Government of Iran. effects. services of Iranian origin, other than 560.314 United States person. 560.525 Exportation of certain legal services. Iranian–origin publications and 560.315 Information or informational 560.526 Commodities trading and related materials imported for news materials. transactions. publications or news broadcast 560.516 New investment. 560.527 Rescheduling existing loans. dissemination, is prohibited. 560.317 Credits or loans. 560.528 Aircraft safety. 560.318 Technology. § 560.202 [Reserved] 560.319 United States depository institution. Subpart FÐReports 560.320 Iranian accounts. 560.601 Required records. § 560.203 Evasions; attempts. Subpart DÐInterpretations 560.602 Reports to be furnished on demand. Any transaction by any United States 560.603 Reports on oil transactions engaged person or within the United States that 560.401 Reference to amended sections. in by foreign affiliates. 560.402 Effect of amendment. evades or avoids, or has the purpose of 560.403 [Reserved] Subpart GÐPenalties evading or avoiding, or attempts to 560.404 [Reserved] 560.701 Penalties. violate, any of the prohibitions 560.405 [Reserved] 560.702 Detention of shipments. contained in this part is hereby 560.406 Transshipments prohibited. 560.703 Prepenalty notice. prohibited. 560.407 Transactions related to Iranian– 560.704 Presentation responding to origin goods. prepenalty notice. § 560.204 Prohibited exportation of goods, 560.408 Importation into and release from a 560.705 Penalty notice. technology, and services to Iran. bonded warehouse or foreign trade zone. 560.706 Referral for administrative collection Except as otherwise authorized, and 560.409 [Reserved] measures or to United States Department notwithstanding any contract entered 560.410 Exportation of services. of Justice. into or any license or permit granted 560.411 Offshore transactions in Iranian– origin goods and services. Subpart HÐProcedures prior to May 7, 1995, the exportation 560.412 Extensions of credits or loans to Iran. 560.801 Licensing. from the United States to Iran or the 560.413 Letter of credit payments by Iranian 560.802 Decisions. Government of Iran, or the financing of banks in the United States. 560.803 Amendment, modification, or such exportation, of any goods, 560.414 Exports to third countries; reexports. revocation. technology, or services is prohibited. 47064 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations § 560.205 Prohibited reexportation of (a) The entry into or performance by of restricted technical data as defined in goods and technology to Iran. a United States person, or the approval part 779 of the Export Administration Except as otherwise authorized, and by a United States person of the entry Regulations, 15 CFR part 779, or to the notwithstanding any contract entered into or performance by an entity owned exportation of goods for use in the into or any license or permit granted or controlled by a United States person, transmission of any data. The prior to May 7, 1995, the reexportation of: exportation of such goods to Iran is to Iran or the Government of Iran of any (1) A contract that includes overall prohibited, as provided in § 560.204. goods or technology exported from the supervision and management (d) Travel. The prohibitions contained United States, the exportation of which responsibility for the development of in this part do not apply to transactions to Iran was subject to export license petroleum resources located in Iran, or ordinarily incident to travel to or from application requirements under any (2) A guaranty of another person’s any country, including importation of United States regulations in effect performance under such contract; or accompanied baggage for personal use, immediately prior to May 6, 1995, is (b) The entry into or performance by maintenance within any country prohibited, unless the reexportation is a United States person, or the approval including payment of living expenses of goods that have been substantially by a United States person of the entry and acquisition of goods or services for transformed outside the United States, into or performance by an entity owned personal use, and arrangement or or incorporated into another product or controlled by a United States person, facilitation of such travel including outside the United States and constitute of nonscheduled air, sea, or land voyages. less than 10 percent by value of that (1) A contract for the financing of the This exemption extends to transactions product exported from a third country. development of petroleum resources with Iranian carriers and those located in Iran, or involving group tours and payments in § 560.206 Prohibited transactions related (2) A guaranty of another person’s to Iranian±origin goods or services. Iran made with cash or traveler’s checks performance under such a contract. for transactions incident to personal Except as otherwise authorized, and § 560.210 Exempt transactions. travel. The use of currency drafts, notwithstanding any contract entered charge, debit, or credit cards is not into or any license or permit granted (a) Personal communications. The permitted. prior to May 7, 1995, any transaction, prohibitions of §§ 560.204 and 560.206 (e) Letters of Credit. Letters of credit including purchase, sale, transportation, do not apply to any postal, telegraphic, and other financing agreements with swap, financing, or brokering telephonic, or other personal respect to trade contracts in force as of transactions, by a United States person communication, which does not involve May 6, 1995, may be performed relating to goods or services of Iranian the transfer of anything of value. pursuant to their terms with respect to origin or owned or controlled by the (b) Humanitarian donations. The underlying trade transactions occurring Government of Iran is prohibited. prohibitions of §§ 560.204 and 560.206 prior to 12:01 a.m. EDT, June 6, 1995. do not apply to donations by United See § 560.413. § 560.207 Prohibited investment. States persons of articles, such as food, Except as otherwise authorized, and clothing, and medicine, intended to be Subpart CÐGeneral Definitions notwithstanding any contract entered used to relieve human suffering. into or any license or permit granted (c) Information and informational § 560.301 Effective date. prior to May 7, 1995, any new materials. The term ‘‘effective date’’ means: investment by a United States person in (1) The prohibitions of §§ 560.204 and (a) 12:01 p.m., Eastern Standard Time, Iran or in property (including entities) 560.206 do not apply to the exportation October 29, 1987, for all prohibitions set owned or controlled by the Government from the United States to Iran of forth in § 560.201. of Iran is prohibited. information and informational (b) 12:01 a.m., Eastern Daylight Time, materials, as defined in § 560.315, June 6, 1995, for all prohibitions set § 560.208 Prohibited approval or forth in §§ 560.204, 560.205, and facilitation. whether commercial or otherwise, regardless of format or medium of 560.206 with respect to trade Except as otherwise authorized, and transactions based on contracts in force notwithstanding any contract entered transmission, or any transaction of common carriers incident to such as of May 6, 1995, and which were into or any license or permit granted authorized pursuant to federal prior to May 7, 1995, the approval or exportation. (2) Paragraph (c)(1) of this section regulations in force immediately prior to facilitation by a United States person of May 6, 1995. the entry into or performance by an does not authorize transactions related to information and informational (c) 12:01 a.m., Eastern Standard Time, entity owned or controlled by a United March 16, 1995, for all prohibitions set States person of a transaction or contract materials not fully created and in existence at the date of the transaction, forth in § 560.209 and the prohibitions prohibited as to United States persons set forth in § 560.203 as they apply to by §§ 560.205, 560.206, and 560.207, or or to the substantive or artistic alteration or enhancement of information or the prohibitions set forth in § 560.209. relating to the financing of activities (d) 12:01 a.m., Eastern Daylight Time, prohibited as to United States persons informational materials, or the provision of marketing and business consulting May 7, 1995, for all other prohibitions by those sections, or of a guaranty of contained in this part. another person’s performance of such services by a United States person. Such transaction or contract, is prohibited. prohibited transactions include, without § 560.302 [Reserved] limitation, payment of advances for § 560.209 Prohibited transactions with information or informational materials § 560.303 Iran; Iranian. respect to the development of Iranian not yet created and completed, and The term ‘‘Iran’’ means the territory of petroleum resources. provision of services to market, produce Iran, and any other territory or marine Except as otherwise authorized, and or co–produce, create or assist in the area, including the exclusive economic notwithstanding any contract entered creation of information or informational zone and continental shelf, over which into or any license or permit granted materials. the Government of Iran claims prior to March 16, 1995, the following (3) Paragraph (c)(1) does not authorize sovereignty, sovereign rights or are prohibited: transactions incident to the exportation jurisdiction, provided that the Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations 47065 Government of Iran exercises partial or transported by vessel, ‘‘importation’’ policies of the United States, including total de facto control over the area or means the bringing of any goods into the ‘‘software’’ that is not ‘‘publicly derives a benefit from economic activity United States with the intent to unlade available’’ as these terms are defined in in the area pursuant to an international them. 15 CFR parts 779 and 799.1; or agreement. The term ‘‘Iranian’’ means (2) With respect to which acts are pertaining to Iran as defined in this § 560.309 [Reserved] prohibited by 18 U.S.C. chapter 37. section. § 560.310 License. § 560.316 New investment. § 560.304 Government of Iran. Except as otherwise specified, the The term ‘‘new investment’’ means a The term ‘‘Government of Iran’’ term ‘‘license’’ means any license or transaction after 12:01 EDT, May 7, includes: authorization contained in or issued 1995, that constitutes: (a) The state and the Government of pursuant to this part. (a) A commitment or contribution of Iran, as well as any political § 560.311 General license. funds or other assets; or subdivision, agency, or instrumentality (b) A loan or other extension of credit, The term ‘‘general license’’ means any thereof; as defined in § 560.317. license or authorization the terms of (b) Any entity owned or controlled which are set forth in this part. § 560.317 Credits or loans. directly or indirectly by the foregoing; The term ‘‘credits’’ or ‘‘loans’’ means (c) Any person to the extent that such § 560.312 Specific license. person is, or has been, or to the extent any transfer or extension of funds or The term ‘‘specific license’’ means credit on the basis of an obligation to that there is reasonable cause to believe any license or authorization not set forth that such person is, or has been, since repay, or any assumption or guarantee in this part but issued pursuant to this of the obligation of another to repay an the applicable effective date, acting or part. purporting to act directly or indirectly extension of funds or credit, including on behalf of any of the foregoing; and § 560.313 Entity owned or controlled by but not limited to: overdrafts; currency (d) Any person or entity designated by the Government of Iran. swaps; purchases of debt securities issued by the Government of Iran; the Secretary of the Treasury as The term ‘‘entity owned or controlled purchases of a loan made by another included within paragraphs (a) through by the Government of Iran’’ includes person; sales of financial assets subject (c) of this section. any corporation, partnership, to an agreement to repurchase; renewals association, or other entity in which the § 560.305 Person; entity. or refinancings whereby funds or credits Government of Iran owns a majority or are transferred to or extended to a (a) The term ‘‘person’’ means an controlling interest, and any entity prohibited borrower or prohibited individual or entity. which is otherwise controlled by that recipient; the issuance of standby letters (b) The term ‘‘entity’’ means a government. partnership, association, trust, joint of credit; and drawdowns on existing venture, corporation or other § 560.314 United States person. lines of credit. organization. The term ‘‘United States person’’ § 560.318 Technology. means any United States citizen, § 560.306 Iranian±origin goods and For purposes of §§ 560.204 and permanent resident alien, entity services. 560.205, the term ‘‘technology’’ includes organized under the laws of the United (a) The term ‘‘goods or services of technical data or other information States (including foreign branches), or Iranian origin’’ includes: subject to the Export Administration any person in the United States. (1) Goods grown, produced, Regulations, 15 CFR parts 768–799. manufactured, extracted, or processed § 560.315 Information or informational § 560.319 United States depository in Iran; materials. (2) Goods which have entered into institution. (a) The term ‘‘information’’ or The term ‘‘United States depository Iranian commerce; and ‘‘informational materials’’ includes, (3) Services performed in Iran or by institution’’ means: without limitation: (a) Any entity organized under the the Government of Iran, as defined in (1) Publications, films, posters, § 560.304. laws of any jurisdiction within the phonograph records, photographs, United States (including its foreign (b) The term ‘‘services of Iranian microfilms, microfiche, tapes, compact origin’’ does not include: branches), and disks, CD ROMs, artworks, and news (b) Any agency, office, or branch (1) Diplomatic and consular services wire feeds. performed by or on behalf of the located in the United States of a foreign (2) To be considered ‘‘information’’ or entity; that is engaged primarily in the Government of Iran; ‘‘informational materials’’, artworks (2) Diplomatic and consular services business of banking, including must be classified under chapter performed by or on behalf of the accepting deposits and making, subheading 9701, 9702, or 9703 of the Government of the United States; or granting, transferring, holding, or Harmonized Tariff Schedule of the (3) Services provided in the United brokering loans or credits, or purchasing United States. States by an Iranian national resident in or selling foreign exchange, or procuring (b) The term ‘‘information’’ and the United States. purchasers and sellers thereof, as ‘‘informational materials’’ with respect principal or agent. The term includes, § 560.307 United States. to United States exports does not among others, banks, savings banks, The term ‘‘United States’’ means the include items: savings associations, mortgage United States, including its territories (1) That were, as of April 30, 1994, companies, credit unions, and trust and possessions. controlled for export pursuant to section companies and United States holding 5 of the Export Administration Act of companies. § 560.308 Importation. 1979, 50 U.S.C. App. 2401–2420 (the The term ‘‘importation’’ means the ‘‘EAA’’), or section 6 of the EAA to the § 560.320 Iranian accounts. bringing of any goods into the United extent that such controls promote the The term ‘‘Iranian accounts’’ means States, except that in the case of goods nonproliferation or antiterrorism accounts of persons located in Iran or of 47066 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations the Government of Iran maintained on a third country by a person other than United States person knows, or has the books of a United States depository a United States person. reason to know, are of Iranian origin or institution. (b) Transactions relating to Iranian– owned or controlled by the Government origin goods that have not been of Iran, including: Subpart DÐInterpretations incorporated into manufactured (a) Importing into or exporting from such locations; and § 560.401 Reference to amended sections. products or substantially transformed in a third country are prohibited. (b) Purchasing, selling, financing, Except as otherwise specified, (c) Transactions relating to goods swapping, insuring, transporting, lifting, reference to any section of this part or containing Iranian–origin raw materials storing, incorporating, or transforming, to any regulation, ruling, order, or components are not prohibited if or brokering any of the foregoing. instruction, direction, or license issued those raw materials or components have pursuant to this part refers to the same § 560.412 Extensions of credits or loans to been incorporated into manufactured Iran. as currently amended. products or substantially transformed in (a) The prohibitions contained in § 560.402 Effect of amendment. a third country by a person other than a United States person. § 560.207 apply, among other things, to Any amendment, modification, or the unauthorized renewal or revocation of any section of this part or § 560.408 Importation into and release rescheduling of credits or loans in of any order, regulation, ruling, from a bonded warehouse or foreign trade existence as of May 6, 1995. instruction, or license issued by or zone. (b) The prohibitions contained in under the direction of the Director of the The prohibitions in § 560.201 apply to § 560.209 apply, among other things, to Office of Foreign Assets Control does importation into a bonded warehouse or the unauthorized renewal or not, unless otherwise specifically a foreign trade zone of the United States. rescheduling of credits or loans in provided, affect any act done or omitted However, § 560.201 does not prohibit existence as of March 15, 1995. to be done, or any civil or criminal suit the release from a bonded warehouse or (c) The prohibitions contained in or proceeding commenced or pending a foreign trade zone of Iranian–origin §§ 560.207 and 560.209 apply, among prior to such amendment, modification, goods imported into a bonded other things, to credits or loans in any or revocation. All penalties, forfeitures, warehouse or a foreign trade zone prior currency. and liabilities under any such order, to October 29, 1987. regulation, ruling, instruction, or license § 560.413 Letter of credit payments by Iranian banks in the United States. continue and may be enforced as if such § 560.409 [Reserved] (a) For purposes of the exemption in amendment, modification, or revocation § 560.410 Exportation of services. had not been made. § 560.210(e), payment of letters of credit (a) The prohibition on the exportation and other financing agreements § 560.403 [Reserved] of services from the United States according to their terms includes, in the contained in § 560.204 applies only to case of payments made by an Iranian § 560.404 [Reserved] services performed on behalf of a person bank’s branch or agency located in the § 560.405 [Reserved] in Iran or the Government of Iran or United States, payments that such where the benefit of such services is branch or agency is: § 560.406 Transshipments prohibited. otherwise received in Iran, if such (1) Legally obligated to make pursuant (a) The prohibitions in § 560.201 services are performed: to the terms of letters of credit and other apply to the importation into the United (1) In the United States, or financing agreements relating to pre– States, for transshipment or transit, of (2) Outside the United States by an May 7, 1995 trade contracts; or Iranian–origin goods which are individual United States person (2) Licensed to make by the Office of intended or destined for third countries. ordinarily resident in the United States, Foreign Assets Control with respect to (b) The prohibitions in § 560.204 or pre–May 7, 1995 trade contracts. apply to the exportation from the United (3) Outside the United States by an (b) Payments that are not binding States, for transshipment or transit, of overseas branch of an entity located in legal obligations of an Iranian bank’s goods which are intended or destined the United States. branch or agency pursuant to the terms for Iran. (b) The benefit of services performed of the letter of credit or other financing (c) The prohibitions in § 560.205 anywhere in the world on behalf of the agreement are not covered by this apply to the reexportation of goods Government of Iran is presumed to be exemption. described in that section, for received in Iran. transshipment or transit, which are (c) Services provided in the United § 560.414 Exports to third countries; reexports. intended or destined for Iran. States or by a United States person to a (d) The prohibitions in § 560.206 non–Iranian carrier transporting (a) The prohibitions contained in apply to any transaction relating to the passengers or goods to or from Iran are § 560.205 do not apply to the transshipment of goods of Iranian origin not considered to be exported to Iran. reexportation to Iran by a person who is or owned or controlled by the (d) Services provided in a third not a United States person of any item Government of Iran through any country by a United States person described in that section which was country. ordinarily resident outside the United exported from the United States prior to States are not considered to be exported 12:01 a.m. EDT, May 7, 1995, and was § 560.407 Transactions related to Iranian± from the United States. not the property of a United States origin goods. person as of 12:01 a.m. EDT, May 7, (a) Importation into the United States § 560.411 Offshore transactions in Iranian± 1995, if the reexportation to Iran of such from third countries of goods containing origin goods and services. item was not subject to export license Iranian–origin raw materials or The prohibitions contained in application requirements under any components is not prohibited if those § 560.206 apply to, among other things, United States regulations in effect raw materials or components have been transactions by United States persons in immediately prior to May 6, 1995. incorporated into manufactured locations outside the United States with (b) United States persons are products or substantially transformed in respect to goods or services which the prohibited as of 12:01 a.m. EDT, May 7, Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations 47067 1995, from reexporting any item subject exclude any person, property, or exportation to Iran under a general or to the prohibitions contained in transaction from the operation of any specific license. § 560.205 regardless of when the item license, or from the privileges therein was exported from the United States. § 560.509 Certain transactions related to conferred, or to restrict the applicability patents, trademarks and copyrights United States persons are prohibited thereof with respect to particular authorized. from approving or facilitating any persons, property, transactions, or (a) All of the following transactions in reexport by an entity owned or classes thereof. Such action is binding connection with patent, trademark, controlled by a United States person of upon all persons receiving actual or copyright or other intellectual property any item subject to the prohibitions of constructive notice of such exclusion or protection in the United States or Iran § 560.205 of this part regardless of when restriction. are authorized: the item was exported from the United § 560.503 [Reserved] (1) The filing and prosecution of any States. application to obtain a patent, (c) Effective 12:01 a.m. EDT May 7, § 560.504 [Reserved] trademark, copyright or other form of 1995, the exportation from the United intellectual property protection; States to any destination of any item § 560.505 Certain services relating to participation in various events authorized. (2) The receipt of a patent, trademark, that was subject to export license copyright or other form of intellectual application requirements under any The importation of Iranian–origin property protection; United States regulations in effect services into the United States is (3) The renewal or maintenance of a immediately prior to May 6, 1995, is authorized where such services are patent, trademark, copyright or other subject to the condition that the performed in the United States by an form of intellectual property protection; reexportation to Iran requires a specific Iranian national who enters the United and license, except as otherwise authorized States on a visa issued by the State (4) The filing and prosecution of by this part. Department for the purpose of opposition or infringement proceedings participating in a public conference, Subpart EÐLicenses, Authorizations with respect to a patent, trademark, performance, exhibition or similar and Statements of Licensing Policy copyright or other form of intellectual event, and such services are consistent property protection, or the entrance of a § 560.501 Effect of license or with that purpose. defense to any such proceedings. authorization. (b) Nothing in this section affects § 560.506 Importation and exportation of obligations under any other provision of (a) No license or other authorization certain gifts authorized. contained in this part, or otherwise law. issued by or under the direction of the The importation into the United States of Iranian–origin goods, and the § 560.510 Transactions related to the Director of the Office of Foreign Assets resolution of disputes between the United Control, authorizes or validates any exportation from the United States of goods, is authorized for goods sent as States or United States nationals and the transaction effected prior to the issuance Government of Iran. of the license, unless specifically gifts to persons provided that the value of the gift is not more than $100. (a) Except as otherwise authorized, provided in such license or other specific licenses may be issued on a authorization. § 560.507 Accompanied baggage case–by–case basis to authorize (b) No regulation, ruling, instruction, authorized. transactions in connection with awards, or license authorizes a transaction (a) Persons entering the United States decisions or orders of the Iran–United prohibited under this part unless the directly or indirectly from Iran are States Claims Tribunal in The Hague, regulation, ruling, instruction, or license authorized to import into the United the International Court of Justice, or is issued by the Office of Foreign Assets other international tribunals Control and specifically refers to this States Iranian–origin accompanied (collectively, ‘‘tribunals’’); agreements part. No regulation, ruling, instruction, baggage normally incident to travel. settling claims brought before tribunals; or license referring to this part (b) Persons leaving the United States and awards, orders, or decisions of an authorizes any transactions prohibited for Iran are authorized to export from administrative, judicial or arbitral by any provision of this chapter unless the United States accompanied baggage proceeding in the United States or the regulation, ruling, instruction or normally incident to travel. license specifically refers to such (c) This authorization applies to abroad, where the proceeding involves provision. accompanied baggage that includes only the enforcement of awards, decisions or (c) Any regulation, ruling, instruction articles that are necessary for personal orders of tribunals, or is contemplated or license authorizing any transaction use incident to travel, not intended for under an international agreement, or otherwise prohibited under this part has any other person or for sale, and are not involves claims arising before 12:01 a.m. the effect of removing a prohibition or otherwise prohibited from importation EDT, May 7, 1995, that resolve disputes prohibitions contained in this part from or exportation under applicable United between the Government of Iran and the the transaction, but only to the extent States laws. United States or United States nationals, specifically stated by its terms. Unless including the following transactions: § 560.508 Telecommunications and mail (1) Importation into the United States the regulation, ruling, instruction or transactions authorized. license otherwise specifies, such an of, or any transaction related to, goods authorization does not create any right, All transactions of common carriers and services of Iranian origin or owned duty, obligation, claim, or interest in, or incident to the receipt or transmission or controlled by the Government of Iran; with respect to, any property which of telecommunications and mail (2) Exportation or reexportation to would not otherwise exist under between the United States and Iran are Iran or the Government of Iran of any ordinary principles of law. authorized. For purposes of this section, goods, technology, or services, except to the term ‘‘mail’’ includes parcels only to the extent that such exportation or § 560.502 Exclusion from licenses and the extent the parcels contain goods reexportation is also subject to export authorizations. exempted from the prohibitions licensing application requirements of The Director of the Office of Foreign contained in this part or otherwise another agency of the United States Assets Control reserves the right to eligible for importation from or Government and the granting of such a 47068 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations license by that agency would be Democratic and Popular Republic of settlement of cases before the Iran– prohibited by law; Algeria of January 19, 1981. United States Claims Tribunal in The (3) Financial transactions related to (2) All transactions necessary to the Hague, established pursuant to the the resolution of disputes at tribunals, payment of awards in a legal proceeding Declaration of the Government of the including transactions related to the to which the United States Government Democratic and Popular Republic of funding of proceedings or of accounts is a party, or to payments pursuant to Algeria Concerning the Settlement of related to proceedings or to a tribunal; settlement agreements entered into by Claims by the Government of the United participation, representation, or the United States Government in such a States of America and the Government testimony before a tribunal; and the legal proceeding. of the Islamic Republic of Iran of payment of awards of a tribunal; and § 560.511 [Reserved] January 19, 1981, or where the proceeds (4) Other transactions otherwise are otherwise to be deposited in the prohibited by this part which are § 560.512 Iranian Government missions in Tribunal’s Security Account. necessary to permit implementation of the United States. (b) License applications submitted the foregoing awards, decisions, orders, (a) All transactions ordinarily pursuant to this section must contain or agreements. incident to the importation of goods or the importer’s certification that the oil is (b) Specific licenses may be issued on services into the United States by, the of Iranian origin with all relevant a case–by–case basis to authorize exportation of goods or services from supporting documentation, including payment of costs related to the storage the United States by, or the provision of specification of the production site at or maintenance of goods in which the goods or services in the United States to, which the oil was extracted, and that Government of Iran has title, and to the missions of the Government of Iran the sale or transfer of the oil is by or for authorize the transfer of title to such to international organizations in the the account of the Government of Iran. goods, provided that such goods are in United States, and Iranians admitted to Licenses will not be issued for the United States and that such goods the United States under section importations of Iranian–origin oil which are the subject of a proceeding pending 101(a)(15)(G) of the Immigration and is not sold or transferred by or for the before a tribunal. Nationality Act (‘‘INA’’), 8 U.S.C. account of the Government of Iran. In (c)(1) All transactions are authorized 1101(a)(15)(G), are authorized, provided cases where the oil is being imported with respect to the importation of that: either in whole or in part in resolution Iranian–origin goods and services (1) The goods or services are for the or settlement of a case pending before necessary to the initiation and conduct conduct of the official business of the the Tribunal, applicants are required to of legal proceedings, in the United mission, or for personal use of identify the case and submit a copy of States or abroad, including personnel admitted to the United States the settlement agreement and the Award administrative, judicial and arbitral under INA section 101(a)(15)(G), and are on Agreed Terms issued by the proceedings and proceedings before not for resale; and Tribunal. In cases where any proceeds tribunals. (2) The transaction is not otherwise (2) Specific licenses may be issued on are generated for the account of the prohibited by law. Government of Iran from the a case–by–case basis to authorize the (b) All transactions ordinarily exportation to Iran or the Government of importation of Iranian–origin oil, the incident to the importation of goods or importer must demonstrate that Iran of goods, and of services not services into the United States by, the otherwise authorized by § 560.525, irrevocable arrangements are in place exportation of goods or services from that will ensure that the proceeds will necessary to the initiation and conduct the United States by, or the provision of of legal proceedings, in the United be deposited in the Tribunal’s Security goods or services in the United States to, Account. States or abroad, including the Iranian Interests Section of the administrative, judicial and arbitral Embassy of Pakistan (or any successor § 560.514 [Reserved] proceedings and proceedings before protecting power) in the United States, § 560.515 30±day delayed effective date for tribunals, except to the extent that the are authorized, provided that: exportation is also subject to export pre±May 7, 1995 trade contracts involving (1) The goods or services are for the Iran. licensing application requirements of conduct of the official business of the (a) All transactions necessary to another agency of the United States Iranian Interests Section, and are not for complete performance of a trade Government and the granting of such a resale; and license by that agency would be (2) The transaction is not otherwise contract entered into prior to May 7, prohibited by law. prohibited by law. 1995, and involving Iran (a ‘‘pre– (3) Representation of United States (c) All transactions ordinarily existing trade contract’’), including the persons or of third country persons in incident to the provision of goods or exportation of goods, services (including legal proceedings, in the United States services in the United States to the financial services), or technology from or abroad, including administrative, employees of Iranian missions to the United States that was authorized judicial and arbitral proceedings and international organizations in the pursuant to Federal regulations in force proceedings before tribunals, against United States, and to employees of the immediately prior to May 6, 1995, or Iran or the Government of Iran is not Iranian Interests Section of the Embassy performance under a pre–existing trade prohibited by this part. The exportation of Pakistan (or any successor protecting contract for transactions in Iranian– of certain legal services to a person in power) in the United States, are origin or Government of Iran owned or Iran or the Government of Iran is authorized, provided that the controlled goods or services not authorized in § 560.525. transaction is not otherwise prohibited involving importation into the United (d) The following are authorized: by law. States, are authorized without specific (1) All transactions related to payment licensing by the Office of Foreign Assets of awards of the Iran–United States § 560.513 Importation of Iranian±origin oil. Control if the conditions in paragraph Claims Tribunal in The Hague against (a) Specific licenses will be issued on (a)(1) or (a)(2) are met: Iran out of the Security Account a case–by–case basis to permit the (1) If the pre–existing trade contract is provided for in paragraph 7 of the importation of Iranian–origin oil in for exportation of goods or technology Declaration of the Government of the connection with the resolution or from the United States that was Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations 47069 authorized pursuant to Federal § 560.516 Payment and United States § 560.517 Exportation of services: Iranian regulations in force immediately prior to dollar clearing transactions involving Iran. accounts at United States depository institutions. May 6, 1995, the goods or technology (a) United States depository must be exported from the United States institutions are authorized to process (a) United States depository prior to 12:01 a.m. EDT, June 6, 1995, transfers of funds to or from Iran, or for institutions are prohibited from and all other activity by U.S. persons the direct or indirect benefit of persons performing services with respect to that is necessary and incidental to the in Iran or the Government of Iran, if the Iranian accounts, as defined in performance of the pre–existing trade transfer is covered in full by any of the § 560.320, at the instruction of the contract (other than payment under a following conditions and does not Government of Iran or persons located financing contract) must be completed involve debiting or crediting an Iranian in Iran, except that United States prior to 12:01 a.m. EDT, August 6, 1995; account: depository institutions are authorized to or (1) The transfer is by order of a foreign provide and be compensated for (2) If the pre–existing trade contract is bank which is not an Iranian entity from services and incidental transactions for: its own account in a domestic bank with respect to: (i) The exportation of services from (directly or through a foreign branch or (1) The maintenance of Iranian the United States and benefitting a subsidiary of a domestic bank) to an accounts, including the payment of person in Iran or the Government of account held by a domestic bank interest and the debiting of service Iran; or (directly or through a foreign branch or charges; (ii) The reexportation of goods or subsidiary of a domestic bank) for a (2) The processing of transfers arising technology to Iran, the Government of second foreign bank which is not an from underlying transactions that are Iran, or an entity owned or controlled by Iranian entity. For purposes of this exempted from regulation pursuant to the Government of Iran that was section ‘‘foreign bank’’ includes a section 203(b) of the International authorized pursuant to Federal foreign subsidiary, but not a foreign Emergency Economic Powers Act, 50 regulations in force immediately prior to branch of a domestic bank; U.S.C. 1702(b), such as an exportation of May 6, 1995, or (2) The transfer arises from an information or informational materials underlying transaction that has been to Iran, a travel–related remittance, or (iii) Transactions relating to goods or payment for the shipment of a donation services of Iranian origin or owned or authorized by a specific or general license issued pursuant to this part; of articles to relieve human suffering; controlled by the Government of Iran and other than transactions relating to (3) The transfer arises from an (3) At the request of the account party, importation into the United States of underlying transaction that is not the closing of Iranian accounts and the such goods or services, all obligations prohibited or is exempted from lump sum transfer only to the account under the pre–existing trade contract regulation pursuant to Section 203(b) of party of all remaining funds and other (other than payment under a financing the International Emergency Economic assets in the account. contract) must be fully completed prior Powers Act, 50 U.S.C. 1702(b), such as (b) Specific licenses may be issued to 12:01 a.m. EDT, June 6, 1995. an exportation of information or informational materials to Iran, a travel– with respect to the operation of Iranian (b) In order to complete performance accounts that constitute accounts of: of a pre–existing trade contract, the related remittance, or payment for the shipment of a donation of articles to (1) Foreign government missions and arrangement or renegotiation of their personnel in Iran; or contracts for transactions necessary and relieve human suffering or a third (2) Missions of the Government of incidental to performance of the pre– country transaction not involving a Iran in the United States. existing trade contract is authorized. United States person nor otherwise Such incidental transactions may prohibited by this part; or § 560.518 Transactions in Iranian±origin include, for example, financing, (4) The transfer is a non–commercial and Iranian Government property. shipping and insurance arrangements. remittance to or from Iran, such as a (a) Except for transactions involving Amendments to a pre–existing trade family remittance not related to a the Government of Iran, all domestic contract for the purpose of accelerating family–owned enterprise. transactions with respect to Iranian– a previously–specified delivery (b) Before a United States depository origin goods located in the United States schedule under a contract for a fixed institution initiates a payment subject to are authorized, provided that this quantity or value of goods, technology the prohibitions contained in this part paragraph (a) does not affect the status or services, or curtailing or canceling on behalf of any customer, or credits a of property blocked pursuant to part 535 required performance, are authorized transfer subject to such prohibitions to or detained or seized, or subject to without specific licensing. Any other the account on its books of the ultimate detention or seizure, pursuant to this alteration of the trade contract must be beneficiary, the U.S. depository part. specifically licensed by the Office of institution must determine that the (b) All transactions necessary and Foreign Assets Control. transfer is not prohibited by this part. incidental to a United States person’s (c) The existence of a contract will be (c) Pursuant to the prohibitions sale or other disposition of goods or determined with reference to the contained in § 560.208, a United States services of Iranian origin or owned or principles contained in Article 2 of the depository institution may not make controlled by the Government of Iran Uniform Commercial Code. transfers to or for the benefit of a that are located or to be performed (d) No U.S. person may change its foreign-organized entity owned or outside the United States and were policies or operating procedures in controlled by it if the underlying acquired by that United States person in order to enable a foreign entity owned transaction would be prohibited if transactions not prohibited by part 535 or controlled by U.S. persons to enter engaged in directly by the U.S. or this part are authorized, provided: into a transaction that could not be depository institution. (1) The sale or other disposition does entered into directly by a U.S. person (d) This section does not authorize not result in the importation of such located in the United States pursuant to transactions with respect to property goods or services into the United States, the prohibitions contained in this part. blocked pursuant to part 535. and 47070 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations (2) The sale or other disposition is all import and export documents and in regulation under § 560.210, the completed no later than 12:01 a.m. EDT, all funds transfers and other banking following are authorized: August 6, 1995. transactions through banking (1) The importation of information (c) Except as provided in paragraphs institutions organized or located in the and informational materials of Iranian (a) and (b) of this section, United States United States in connection with the origin from any location, whether persons may not deal in goods or licensed transactions to avoid commercial or otherwise, regardless of services of Iranian origin or owned or disruption of the trade and financial format or medium of transmission; and controlled by the Government of Iran, transactions. (2) All financial and other except that the following transactions transactions related to the importation are authorized: § 560.520 Exportation of agricultural of information and informational commodities. (1) Transactions by a United States materials. person with third–country nationals (a) All transactions by United States (b) Specific licenses may be issued on incidental to the storage and persons in connection with the a case–by–case basis for the exportation maintenance in third countries of exportation from the United States to of equipment necessary for the Iranian–origin goods owned prior to Iran of any agricultural commodity establishment of news wire feeds or May 7, 1995, by that United States under an export sales contract are other transmissions of information or person or acquired thereafter by that authorized, provided: informational materials. United States person consistent with the (1) Such contract was entered into provisions of this part; prior to 12:01 a.m. EDT, May 7, 1995; § 560.524 Household goods and personal effects. (2) Exportation of Iranian–origin and household and personal effects from the (2) The terms of such contract require (a) The exportation from the United United States incident to the relocation delivery of the commodity prior to States to Iran of household and personal of United States persons outside the February 2, 1996. effects, including baggage and articles United States; and (b) The performance of letters of for family use, of persons departing the (3) Purchase for personal use or credit and other financing agreements United States to relocate in Iran is consumption in Iran of Iranian–origin with respect to exports authorized by authorized provided the articles goods or services. this section is authorized pursuant to included in such effects have been (d) In addition to transactions their terms. actually used by such persons or by authorized by paragraph (c)(1) of this (c) For purposes of this section, the family members accompanying them, section, a United States person is term ‘‘agricultural commodity’’ means are not intended for any other person or authorized after 12:01 a.m. EDT, May 7, feed grains, rice, wheat, cotton, peanuts, for sale, and are not otherwise 1995, to use or dispose of Iranian–origin tobacco, dairy products, and oilseeds prohibited from exportation. See also, household and personal effects that are (including vegetable oil). § 560.518(c)(2). located outside the United States and (d) Specific licenses may be granted (b) The importation of Iranian–origin that have been acquired by the United on a case–by–case basis for transactions household and personal effects, States person in transactions not by United States persons in connection including baggage and articles for family prohibited by part 535 or this part. with the exportation of other use, of persons arriving in the United agricultural articles from the United States is authorized; to qualify, articles § 560.519 Policy governing news included in such effects must have been organization offices. States to Iran that do not fall within the definition of ‘‘agricultural commodity’’ actually used abroad by such persons or (a) Specific licenses may be issued on contained in paragraph (c) of this by other family members arriving from a case–by–case basis authorizing section, provided such exportation is the same foreign household, must not be transactions necessary for the pursuant to an export sales contract and intended for any other person or for establishment and operation of news the conditions contained in paragraphs sale, and must not be otherwise bureaus in Iran by United States (a)(1) and (a)(2) of this section are met. prohibited from importation. organizations whose primary purpose is the gathering and dissemination of news § 560.521 Diplomatic pouches. § 560.525 Exportation of certain legal services. to the general public. All transactions in connection with (a) The provision of the following (b) Transactions that may be the importation into the United States legal services to the Government of Iran authorized include but are not limited from Iran, or the exportation from the or to a person in Iran, and receipt of to those incident to the following: United States to Iran, of diplomatic payment therefor, are authorized: (1) Leasing office space and securing pouches and their contents are (1) Provision of legal advice and related goods and services; authorized. (2) Hiring support staff; counselling on the requirements of and (3) Purchasing Iranian–origin goods § 560.522 Allowable payments for compliance with the laws of any for use in the operation of the office; overflights of Iranian airspace. jurisdiction within the United States, and Payments to Iran of charges for provided that such advice and (4) Paying fees related to the operation services rendered by the Government of counselling is not provided to facilitate of the office in Iran. Iran in connection with the overflight of transactions that would violate any of (c) Specific licenses may be issued on Iran or emergency landing in Iran of the prohibitions contained in this part; a case–by–case basis authorizing aircraft owned by a United States person (2) Representation when a person in transactions necessary for the or registered in the United States are Iran or the Government of Iran has been establishment and operation of news authorized. named as a defendant in or otherwise bureaus in the United States by Iranian made a party to domestic United States organizations whose primary purpose is § 560.523 Importation of information and legal, arbitration, or administrative the gathering and dissemination of news informational materials. proceedings; to the general public. (a) In addition to transactions relating (3) Initiation of domestic United (d) The number assigned to such to information or informational States legal, arbitration, or specific licenses should be referenced in materials that are exempted from administrative proceedings in defense of Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations 47071 property interests of the Government of (2) It was impossible for the United time as may be required, complete Iran that were in existence prior to May States person to determine at the time information relative to any transaction, 7, 1995, or acquired thereafter in a of entry into the transaction, given all regardless of whether such transaction transaction not inconsistent with the circumstances of the transaction, that is effected pursuant to license or prohibitions contained in this part; the goods would be of Iranian origin or otherwise, subject to the provisions of (4) Representation before any federal would be owned or controlled by the this part. Such reports may be required or state agency with respect to the Government of Iran. to include the production of any books imposition, administration, or (b) Trading in commodities destined of account, contracts, letters or other enforcement of United States sanctions for Iran or the Government of Iran. With papers, connected with any such against Iran; respect to § 560.204, specific licenses transaction or property, in the custody (5) Initiation and conduct of legal may be issued on a case–by–case basis or control of the persons required to proceedings, in the United States or to authorize certain trading by United make such reports. Reports with respect abroad, including administrative, States persons in commodities of U.S. or to transactions may be required either judicial and arbitral proceedings and third–country origin destined for Iran or before or after such transactions are proceedings before international the Government of Iran, or transactions completed. The Director of Foreign tribunals (including the Iran–United incidental to such trading, where: Assets Control may, through any person States Claims Tribunal in The Hague (1) It was impossible for the United or agency, conduct investigations, hold and the International Court of Justice): States person to determine at the time hearings, administer oaths, examine (i) To resolve disputes between the of entry into the transaction, given all witnesses, receive evidence, take Government of Iran and the United circumstances of the transaction, that depositions, and require by subpoena States or a United States national; the goods would be for delivery to Iran the attendance and testimony of (ii) Where the proceeding is or to the Government of Iran; witnesses and the production of all contemplated under an international (2) The United States person did not books, papers, and documents relating agreement; or contract with a person in Iran or the to any matter under investigation, (iii) Where the proceeding involves Government of Iran; and regardless of whether any report has the enforcement of awards, decisions, or (3) The United States person did not been required or filed in connection orders resulting from legal proceedings initiate the nomination of the therewith. within the scope of paragraph (a)(5)(i) or commodity’s destination as Iran or the (a)(5)(ii) of this section, provided that Government of Iran. § 560.603 Reports on oil transactions any transaction, unrelated to the engaged in by foreign affiliates. § 560.527 Rescheduling existing loans. provision of legal services or the (a) Requirement for reports. Reports Specific licenses may be issued on a payment therefor, that is necessary or are required to be filed in the manner case–by–case basis for rescheduling related to the execution of an award, prescribed in this section with respect loans or otherwise extending the decision or order resulting from such to all reportable transactions, as defined maturities of existing loans, and for legal proceeding, or otherwise necessary in paragraph (f) of this section, engaged charging fees or interest at commercially for the conduct of such proceeding, and in by the foreign affiliates of a United reasonable rates, in connection which would otherwise be prohibited States person. Reports are due within therewith, provided that no new funds by this part requires a specific license in fifteen days after the end of each or credits are thereby transferred or accordance with §§ 560.510 and calendar quarter. The first report must extended to Iran or the Government of 560.801; cover the period beginning June 6, 1995, Iran. (6) Provision of legal advice and and ending September 30, 1995. Reports counselling in connection with § 560.528 Aircraft safety. must be filed covering each three– settlement or other resolution of matters Specific licenses may be issued on a month period thereafter. described in paragraph (a)(5) of this case–by–case basis for the exportation (b) Who must report. Reports are section; and and reexportation of goods, services, required to be filed by any United States (7) Provision of legal services in any and technology to insure the safety of person whose foreign affiliate engaged other context in which prevailing civil aviation and safe operation of in a reportable transaction during the United States law requires access to U.S.–origin commercial passenger prior calendar quarter. A single United legal counsel at public expense. aircraft. States entity within a consolidated or (b) The provision of any other legal affiliated group may be designated to services to a person in Iran or the Subpart FÐReports report on each foreign affiliate of the Government of Iran, not otherwise United States members of the group. authorized in or exempted by this part, § 560.601 Required records. Such centralized reporting may be done requires the issuance of a specific Every person engaging in any by the United States person who owns license. transaction subject to the provisions of or controls, or has been delegated this part must keep a full and accurate § 560.526 Commodities trading and related authority to file on behalf of, the record of each such transaction in transactions. remaining United States persons in the which that person engages, regardless of group. (a) Trading in Iranian–origin whether such transaction is effected commodities. With respect to § 560.206, pursuant to license or otherwise, and (c) What must be reported. specific licenses may be issued on a such record must be available for (1) Part I of the report must include case–by–case basis to authorize certain examination for at least 2 years after the the following information with respect commodities trading by a United States date of such transaction. to United States persons with a foreign person in Iranian–origin goods, or affiliate: transactions incidental to such trading, § 560.602 Reports to be furnished on (i) Its name and address; where: demand. (1) No party to the transaction with Every person is required to furnish (ii) Its principal place of business; the United States person is a person in under oath, in the form of reports or (iii) For entities, its state of Iran or the Government of Iran, and otherwise, from time to time and at any incorporation; and 47072 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations (iv) The name, corporate title, and 1500 Pennsylvania Avenue, NW–– (b) Attention is directed to 18 U.S.C. telephone number of the individual to Annex, Washington, DC 20220. Reports 1001, which provides that whoever, in contact concerning the report. may be submitted by facsimile any matter within the jurisdiction of any (2) Part II of the report must include transmission at 202–622–1657. A copy department or agency of the United the following information with respect must be retained for the reporter’s States, knowingly and willfully falsifies, to the foreign affiliate: records. conceals or covers up by any trick, (i) Its name and address; (e) Whom to contact. Blocked Assets scheme, or device a material fact, or (ii) The country of its incorporation Division, Office of Foreign Assets makes any false, fictitious or fraudulent and its principal place of business; Control, Department of the Treasury, statements or representation or makes or (iii) Its entity type (e.g., corporation, 1500 Pennsylvania Avenue, NW–– uses any false writing or document partnership, limited liability company, Annex, Washington, DC 20220, knowing the same to contain any false, etc.); telephone: 202–622–2440. fictitious or fraudulent statement or (iv) Its relationship to the reporting (f) Definitions. For the purposes of entry, may be fined not more than United States person, including this section: $10,000 or imprisoned not more than 5 percentage of direct and indirect (1) The term ‘‘foreign affiliate’’ means years, or both. ownership; a person or entity (other than a United (c) Violations of this part may also be (v) The name, title, and nationality of subject to relevant provisions of the principal corporate officers; and States person as defined in § 560.314) which is organized or located outside of Customs laws and other applicable (vi) A description of the manner and laws. degree to which the United States the United States, and which is owned person exercises control over the foreign or controlled by a United States person § 560.702 Detention of shipments. affiliate’s oil–related transactions. The or persons; and Import shipments into the United description must include any written or (2) The term ‘‘reportable transaction’’ States of Iranian–origin goods in verbal directions or instructions issued includes any purchase, sale, or swap, or violation of § 560.201 and export by the United States person to the the provision of services related to such shipments from the United States of foreign affiliate concerning such purchase, sale, or swap, such as goods destined for Iran in violation of transactions, any requirements for prior financing, lifting, transporting, insuring, §§ 560.202 or 560.204 shall be detained. approval by the United States person processing, transforming, or No such import, export, or reexport will concerning such transactions, and the incorporating, related to: be permitted to proceed, except as frequency of, and the nature of (i) Iranian–origin crude oil or natural specifically authorized by the Secretary information contained in, written or gas; or of the Treasury. Unless licensed, such verbal reports by the foreign affiliate to (ii) Crude oil or natural gas and shipments are subject to penalty or the United States person in which these involving Iran or the Government of seizure and forfeiture action, under the transactions are described, aggregated, Iran. Customs laws or other applicable or summarized. provisions of law, depending on the (3) Part III of the report must include Subpart GÐPenalties circumstances. the following information with respect § 560.701 Penalties. to each reportable transaction (a § 560.703 Prepenalty notice. separate part III must be submitted for (a) Attention is directed to § 206 of the (a) When required. If the Director of each reportable transaction): International Emergency Economic the Office of Foreign Assets Control has (i) The nature of transaction (e.g., Powers Act (50 U.S.C. 1705), which reasonable cause to believe that there purchase, sale, swap); provides that a civil penalty of not to has occurred a violation of any (ii) A description of the product, exceed $10,000 may be imposed on any provision of this part or a violation of technology, or service involved; person who violates any license, order, the provisions of any license, ruling, (iii) The name of the Iranian or third or regulation issued under the regulation, order, direction or country party involved in the International Emergency Economic instruction issued by or pursuant to the transaction; Powers Act, and that whoever willfully direction or authorization of the (iv) The currency and amount of the violates any license, order, or regulation Secretary of the Treasury pursuant to transaction (and corresponding United issued under the International this part or otherwise under the States dollar value of the transaction, if Emergency Economic Powers Act may, International Emergency Economic not conducted in United States dollars); upon conviction, be fined not more than Powers Act, and the Director determines (v) The division or branch of the $50,000, or, if a natural person, may be that further proceedings are warranted, foreign affiliate involved in the imprisoned for not more than 10 years, he may issue to the person concerned a negotiating and executing of the or both; and any officer, director, or notice of his intent to impose a transaction; agent of any corporation who knowingly monetary penalty. The prepenalty (vi) The name, corporate title, and participates in such violation may be notice may be issued whether or not nationality of each employee engaged in punished by a like fine, imprisonment, another agency has taken any action the transaction; and or both. Section 206 of the International with respect to this matter. (vii) How the transaction is reflected Emergency Economic Powers Act is (b) Contents—(1) Facts of violation. in the report or reports as required by applicable to violations of any provision The prepenalty notice will describe the paragraph (c)(2)(vi) of this section. If the of this part and to violations of the violation, specify the laws and transaction is aggregated with other provisions of any license, ruling, regulations allegedly violated, and state transactions, an explanation must be regulation, order, direction, or the amount of the proposed monetary provided for all the components in the instruction issued by or pursuant to the penalty. aggregate report. direction or authorization of the (2) Right to make presentations. The (d) Where to report. Reports must be Secretary of the Treasury pursuant to prepenalty notice also shall inform the filed with the Compliance Programs this part or otherwise under the person of his right to make a written Division, Office of Foreign Assets International Emergency Economic presentation within 30 days of mailing Control, Department of the Treasury, Powers Act. of the notice as to why a monetary Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations 47073 penalty should not be imposed, or, if the Office of Foreign Assets Control not for a denial by correspondence or imposed, why it should be in a lesser to grant applications for specific personal interview. amount than proposed. licenses authorizing transactions to (5) Reports under specific licenses. As which the provisions of an outstanding a condition for the issuance of any § 560.704 Presentation responding to general license are applicable. Persons license, the licensee may be required to prepenalty notice. availing themselves of certain general file reports with respect to the (a) Time within which to respond. The licenses may be required to file reports transaction covered by the license, in named person shall have 30 days from and statements in accordance with the such form and at such times and places the date of mailing of the prepenalty instructions specified in those licenses. as may be prescribed in the license or notice to make a written presentation to Failure to file such reports or statements otherwise. the Director. will nullify the authorization to such (6) Issuance of license. Licenses will (b) Form and contents of the written person provided by the general license. be issued by the Office of Foreign Assets presentation. The written presentation (b) Specific licenses—(1) General Control acting on behalf of the Secretary need not be in any particular form, but course of procedure. Transactions of the Treasury, or licenses may be shall contain information sufficient to subject to the prohibitions contained in issued by the Secretary of the Treasury indicate that it is in response to the this part which are not authorized by acting directly or through any prepenalty notice. It should contain general license may be effected only specifically designated person, agency, responses to the allegations in the under specific licenses. or instrumentality. prepenalty notice and set forth the (2) Applications for specific licenses. (c) Address. License applications, reasons why the person believes the Applications for specific licenses to reports, and inquiries should be penalty should not be imposed or, if engage in any transactions prohibited by addressed to the appropriate section or imposed, why it should be in a lesser or pursuant to this part may be filed by individual within the Office of Foreign amount than proposed. letter with the Office of Foreign Assets Assets Control, or to the Director, at the Control. Any person having an interest § 560.705 Penalty notice. following address: Office of Foreign in a transaction or proposed transaction Assets Control, Department of the (a) No violation. If, after considering may file an application for a license any presentations made in response to Treasury, 1500 Pennsylvania Avenue, authorizing such transaction, but the NW––Annex, Washington, DC 20220. the prepenalty notice and any relevant applicant for a specific license is facts, the Director determines that there required to make full disclosure of all § 560.802 Decisions. was no violation by the person named parties in interest to the transaction so The Office of Foreign Assets Control in the prepenalty notice, he shall that a decision on the application may will advise each applicant of the promptly notify the person in writing of be made with full knowledge of all decision respecting filed applications. the determination and that no monetary relevant facts and so that the identity The decision of the Office of Foreign penalty will be imposed. and location of the persons who know (b) Violation. If, after considering any Assets Control acting on behalf of the about the transaction may be easily Secretary of the Treasury with respect to presentations made in response to the ascertained in the event of inquiry. prepenalty notice, the Director an application shall constitute final (3) Information to be supplied. The agency action. determines that there was a violation by applicant must supply all information the person named in the prepenalty specified by relevant instructions and/or § 560.803 Amendment, modification, or notice, he may issue a written notice of forms, and must fully disclose the revocation. the imposition of the monetary penalty names of all the parties who are The provisions of this part and any to that person. concerned with or interested in the rulings, licenses, whether general or § 560.706 Referral for administrative proposed transaction. If the application specific, authorizations, instructions, collection measures or to United States is filed by an agent, the agent must orders, or forms issued hereunder may Department of Justice. disclose the name of his principal(s). be amended, modified, or revoked at In the event that the person named Such documents as may be relevant any time. shall be attached to each application as does not pay the penalty imposed § 560.804 Rulemaking. pursuant to this part or make payment a part of such application except that (a) All rules and other public arrangements acceptable to the Director documents previously filed with the documents are issued by the Secretary within 30 days of the mailing of the Office of Foreign Assets Control may, of the Treasury upon recommendation written notice of the imposition of the where appropriate, be incorporated by of the Director of the Office of Foreign penalty, the matter may be referred for reference. Applicants may be required Assets Control. In general, rulemaking administrative collection measures or to to furnish such further information as is by the Office of Foreign Assets Control the United States Department of Justice deemed necessary to a proper involves foreign affairs functions of the for appropriate action to recover the determination by the Office of Foreign United States, and for that reason is penalty in a civil suit in a Federal Assets Control. Any applicant or other exempt from the requirements under the district court. party in interest desiring to present additional information or discuss or Administrative Procedure Act (5 U.S.C. Subpart HÐProcedures argue the application may do so at any 553) for notice of proposed rulemaking, time before or after decision. opportunity for public comment, and § 560.801 Licensing. Arrangements for oral presentation delay in effective date. Wherever (a) General licenses. General licenses should be made with the Office of possible, however, it is the practice of have been issued authorizing under Foreign Assets Control. the Office of Foreign Assets Control to appropriate terms and conditions (4) Effect of denial. The denial of a receive written submissions or hold certain types of transactions which are license does not preclude the reopening informal consultations with interested subject to the prohibitions contained in of an application or the filing of a parties before the issuance of any rule this part. All such licenses in effect on further application. The applicant or or other public document. the date of publication are set forth in any other party in interest may at any (b) Any interested person may subpart E of this part. It is the policy of time request explanation of the reasons petition the Director of the Office of 47074 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations Foreign Assets Control in writing for the the description, quantity and value of Department of the Treasury, 1500 issuance, amendment, or repeal of any the merchandise to be entered, Pennsylvania Avenue, NW––Annex, rule. withdrawn or otherwise dealt with. This Washington, DC 20220 or by calling notation must be so placed and so 202/622–2480. § 560.805 Delegation by the Secretary of written that there will exist no the Treasury. possibility of confusing it with anything Subpart IÐPaperwork Reduction Act Any action which the Secretary of the placed on the license at the time of its § 560.901 Paperwork Reduction Act notice. Treasury is authorized to take pursuant issuance. If the license in fact authorizes to Executive Order 12613, Executive the entry, withdrawal, or other The information collection Order 12957, Executive Order 12959, transaction with regard to the requirements in §§ 560.601, 560.602, and any further Executive orders merchandise, the appropriate Customs and 560.801 have been approved by the relating to the national emergency officer, or other authorized Customs Office of Management and Budget and declared in Executive Order 12957 may employee, shall verify the notation by assigned control number 1505–0106. be taken by the Director, Office of signing or initialing it after first assuring Dated: August 23, 1995. Foreign Assets Control, or by any other himself that it accurately describes the R. Richard Newcomb, person to whom the Secretary of the merchandise it purports to represent. Director, Office of Foreign Assets Control. Treasury has delegated authority so to The license shall thereafter be returned Approved: August 28, 1995. act. to the person presenting it and the John P. Simpson, § 560.806 Customs procedures: Goods additional copy of the entry, withdrawal or other appropriate document shall be Deputy Assistant Secretary (Regulatory, Tariff specified in § 560.201. and Trade Enforcement). forwarded by the appropriate Customs (a) With respect to goods specified in officer to the Office of Foreign Assets [FR Doc. 95–22387 Filed 9–6–95; 5:01 pm] § 560.201, and not otherwise licensed or Control. BILLING CODE 4810±25±F excepted from the scope of that section, (d) If it is unclear whether an entry, appropriate Customs officers shall not withdrawal or other action affected by accept or allow any: this section requires a specific license ENVIRONMENTAL PROTECTION (1) Entry for consumption or from the Office of Foreign Assets AGENCY warehouse (including any appraisement Control, the appropriate Customs officer entry, any entry of goods imported in may withhold any action thereon and 40 CFR Part 52 the mails, regardless of value, and any shall advise such person to [CA 137±1±7051a; FRL±5262±2] informal entries); communicate directly with the Office of (2) Entry for immediate exportation; Foreign Assets Control to request that Approval and Promulgation of (3) Entry for transportation and instructions be sent to the Customs Implementation Plans; California State exportation; officer to authorize him to take action Implementation Plan Revision, Mojave (4) Withdrawal from warehouse; with regard thereto. Desert Air Quality Management District (5) Admission, entry, transfer or withdrawal to or from a foreign trade § 560.807 Rules governing availability of AGENCY: Environmental Protection zone; or information. Agency (EPA). (6) Manipulation or manufacture in a (a) The records of the Office of ACTION: Direct final rule. warehouse or in a foreign trade zone. Foreign Assets Control which are (b) Customs officers may accept or required by 5 U.S.C. 552 to be made SUMMARY: EPA is taking direct final allow the importation of Iranian–origin available to the public shall be made action on revisions to the California goods under the procedures listed in available in accordance with the State Implementation Plan. The paragraph (a) if: definitions, procedures, payment of revisions concern negative declarations (1) A specific license pursuant to this fees, and other provisions of the from the Mojave Desert Air Quality part is presented; or Regulations on the Disclosure of Management District (MDAQMD) for (2) Instructions authorizing the Records of the Office of the Secretary two source categories that emit volatile transaction are received from the Office and of other bureaus and offices of the organic compounds (VOC): Asphalt Air of Foreign Assets Control. Department of Treasury issued pursuant Blowing and Vacuum Producing (c) Whenever a specific license is to 5 U.S.C. 552 and published at 31 CFR Devices or Systems. The MDAQMD has presented to an appropriate Customs part 1. certified that these source categories are officer in accordance with this section, (b) The records of the Office of not present in the District and this one additional legible copy of the entry, Foreign Assets Control required by the information is being added to the withdrawal or other appropriate Privacy Act (5 U.S.C. 552a) to be made federally approved State document with respect to the available to an individual shall be made Implementation Plan. The intended merchandise involved must be filed available in accordance with the effect of approving these negative with the appropriate Customs officers at definitions, procedures, requirements declarations is to meet the requirements the port where the transaction is to take for payment of fees, and other of the Clean Air Act, as amended in place. Each copy of any such entry, provisions of the Regulations on 1990 (CAA or the Act). In addition, the withdrawal or other appropriate Disclosure of Records of the final action on these negative document, including the additional Departmental Offices and of other declarations serves as a final copy, must bear plainly on its face the bureaus and offices of the Department of determination that the finding of number of the license pursuant to which the Treasury issued under 5 U.S.C. 552a nonsubmittal for these source categories it is filed. The original copy of the and published at 31 CFR part 1. has been corrected and that on the specific license must be presented to the (c) Any form issued for use in effective date of this action, any Federal appropriate Customs officers in respect connection with the Iranian Implementation Plan (FIP) clock is of each such transaction and must bear Transactions Regulations may be stopped. Thus, EPA is finalizing the a notation in ink by the licensee or obtained in person or by writing to the approval of these revisions into the person presenting the license showing Office of Foreign Assets Control, California SIP under provisions of the Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations 47075 CAA regarding EPA action on SIP Management Area (AQMA). 43 FR 8964, information. This notice addresses submittals, SIPs for national primary 40 CFR 81.305. Because this area was EPA’s direct-final action for the and secondary ambient air quality unable to meet the statutory attainment MDAQMD negative declarations for standards and plan requirements for date of December 31, 1982, California Asphalt Air Blowing and Vacuum nonattainment areas. requested under section 172 (a)(2), and Producing Devices or Systems. The DATES: This action is effective on EPA approved, an extension of the submitted negative declarations certify November 13, 1995 unless adverse or attainment date to December 31, 1987. that there are no VOC sources in these critical comments are received by (40 CFR 52.222). On May 26, 1988, EPA source categories located inside October 11, 1995. If the effective date is notified the Governor of California, MDAQMD’s portion of the Southeast delayed, a timely notice will be pursuant to section 110(a)(2)(H) of the Desert AQMA. VOCs contribute to the published in the Federal Register. 1977 Act, that the above district’s production of ground level ozone and ADDRESSES: Copies of the submitted portion of the California SIP was smog. These negative declarations were negative declarations are available for inadequate to attain and maintain the adopted as part of MDAQMD’s effort to public inspection at EPA’s Region IX ozone standard and requested that meet the requirements of section office and also at the following locations deficiencies in the existing SIP be 182(b)(2) of the CAA. corrected (EPA’s SIP-Call). On during normal business hours. EPA Evaluation and Action November 15, 1990, the Clean Air Act Rulemaking Section (A–5–3), Air and Amendments of 1990 were enacted. In determining the approvability of a Toxics Division, U.S. Environmental Pub. L. 101–549, 104 Stat. 2399, negative declaration, EPA must evaluate Protection Agency, Region IX, 75 codified at 42 U.S.C. 7401–7671q. In the declarations for consistency with the Hawthorne Street, San Francisco, CA amended section 182(b)(2) of the CAA, requirements of the CAA and EPA 94105 Congress statutorily adopted the regulations, as found in section 110 of Air Docket (6102), U.S. Environmental requirement that nonattainment areas the CAA and 40 CFR part 51 Protection Agency, 401 M Street SW., submit reasonably available control (Requirements for Preparation, Washington, DC 20460 technology (RACT) rules for all major Adoption, and Submittal of California Air Resources Board, sources of VOC and for all VOC sources Implementation Plans). Stationary Source Division, Rule covered by a Control Techniques In Board Resolution No. 94–26, the Evaluation Section, 2020 L Street, Guideline document by November 15, District rescinded Rule 470, Asphalt Air Sacramento, CA 92123–1095 1992.2 Blowing. Asphalt Air Blowing Mojave Desert Air Quality Management Section 182(b)(2) applies to areas Operations are typically conducted at District (formerly San Bernardino designated as nonattainment prior to refineries, and there are no refineries County Air Pollution Control District), enactment of the amendments and located in MDAQMD. MDAQMD’s 15428 Civic Drive, Suite 200, classified as moderate or above as of the emission inventory has also revealed Victorville, CA 92392–2382 date of enactment. The Southeast Desert that there are no sources of VOC FOR FURTHER INFORMATION CONTACT: Julie AQMA is classified as severe; 3 emissions from this source category. In A. Rose, Rulemaking Section (A–5–3), therefore, this area was subject to the Board Resolution No. 94–38, the District Air and Toxics Division, U.S. RACT catch-up requirement and the rescinded Rule 465, Vacuum Producing Environmental Protection Agency, November 15, 1992 deadline. Devices or Systems and certified that Region IX, 75 Hawthorne Street, San The negative declaration for Asphalt MDAQMD’s emission inventory has Francisco, CA 94105, Telephone: (415) Air Blowing was adopted on October 26, revealed that there are no sources of 744–1184. 1994 and submitted by the State of VOC emissions from this source California on December 20, 1994 and category located within the MDAQMD’s SUPPLEMENTARY INFORMATION: the negative declaration for Vacuum jurisdiction. Applicability Producing Devices or Systems was EPA has evaluated these negative declarations and has determined that The revisions being approved as adopted on December 21, 1994 and they are consistent with the CAA, EPA additional information for the California submitted by the State of California for regulations, and EPA policy. SIP include two negative declarations the MDAQMD on December 29, 1994. MDAQMD’s negative declarations for from the MDAQMD regarding the The submitted negative declarations Asphalt Air Blowing and Vacuum following source categories: (1) Asphalt were found to be complete on January Producing Devices or Systems are being Air Blowing and (2) Vacuum Producing 3, 1995 pursuant to EPA’s completeness approved under section 110(k)(3) of the Devices or Systems. These negative criteria that are set forth in 40 CFR part 4 CAA as meeting the requirements of declarations were submitted by the 51 Appendix V and are being finalized section 110(a) and Part D. Therefore, if California Air Resources Board (CARB) for approval into the SIP as additional this direct final action is not withdrawn, to EPA on December 20, 1994 and 2 Mojave Desert Air Quality Management District on November 13, 1995, any FIP clock is December 29, 1994, respectively. did not make the required SIP submittals by stopped. Background November 15, 1992. On January 15, 1993, the EPA Nothing in this action should be made a finding of failure to make a submittal On March 3, 1978, EPA promulgated pursuant to section 179(a)(1), which started an 18- construed as permitting or allowing or a list of ozone nonattainment areas month sanction clock. The negative declarations establishing a precedent for any future being acted on in this direct final rulemaking were implementation plan. Each request for under the provisions of the Clean Air submitted in response to the EPA finding of failure Act, as amended in l977 (1977 Act or revision to the state implementation to submit. plan shall be considered separately in pre-amended Act), that included the 3 Southeast Desert Air Quality Management Area portions of San Bernardino County Air retained its designation of nonattainment and was light of specific technical, economic, Pollution Control District 1 within the classified by operation of law pursuant to sections and environmental factors and in 107(d) and 181(a) upon the date of enactment of the Southeast Desert Air Quality relation to relevant statutory and CAA. See 55 FR 56694 (November 6, 1991). regulatory requirements. 4 EPA adopted the completeness criteria on 1 On July 1, 1993, the San Bernardino County Air February 16, 1990 (55 FR 5830) and, pursuant to EPA is publishing this notice without Pollution Control District was renamed the Mojave section 110(k)(1)(A) of the CAA, revised the criteria prior proposal because the Agency Desert Air Quality Management District. on August 26, 1991 (56 FR 42216). views this as a noncontroversial 47076 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations amendment and anticipates no adverse Through submission of this state Processing and Manufacturing were comments. However, in a separate implementation plan or plan revision, submitted on July 13, 1994 and adopted document in this Federal Register the State and any affected local or tribal on May 25, 1994. publication, the EPA is proposing to governments have elected to adopt the (ii) Asphalt Air Blowing was approve the SIP revision should adverse program provided for under Part D of submitted on December 20, 1994 and or critical comments be filed. This the Clean Air Act. These rules may bind adopted on October 26, 1994. action will be effective November 13, State, local, and tribal governments to (iii) Vacuum Producing Devices or 1995, unless, by no later than October perform certain actions and also require Systems was submitted on December 29, 11, 1995, adverse or critical comments the private sector to perform certain 1994 and adopted on December 21, are received. duties. The negative declarations being 1994. If the EPA receives such comments, approved by this action will impose no [FR Doc. 95–22148 Filed 9–8–95; 8:45 am] this action will be withdrawn before the new requirements because affected BILLING CODE 6560±50±W effective date by publishing a sources are already subject to these subsequent notice that will withdraw regulations under State law. Therefore, the final action. All public comments no additional costs to State, local, or 40 CFR Part 52 received will then be addressed in a tribal governments or to the private subsequent final rule based on this sector result from this action. EPA has [CT±18±1±6482a; A±1±FRL±5271±3] action serving as a proposed rule. The also determined that this [proposed or Approval and Promulgation of Air EPA will not institute a second final] action does not include a mandate comment period on this action. Any Quality Implementation that may result in estimated costs of PlansÐConnecticut; PM10 Attainment parties interested in commenting on this $100 million or more to State, local, or action should do so at this time. If no Plan and Contingency Measures for tribal governments in the aggregate or to New Haven such comments are received, the public the private sector. is advised that this action will be The OMB has exempted this action AGENCY: Environmental Protection effective November 13, 1995. from review under Executive Order Agency (EPA). Regulatory Process 12866. ACTION: Direct final rule. List of Subjects in 40 CFR Part 52 Under the Regulatory Flexibility Act, SUMMARY: EPA is approving a State 5 U.S.C. 600 et seq., EPA must prepare Environmental protection, Air Implementation Plan (SIP) revision a regulatory flexibility analysis pollution control, Hydrocarbons, submitted by the State of Connecticut to assessing the impact of any proposed or Incorporation by reference, satisfy certain federal requirements for final rule on small entities. 5 U.S.C. 603 Intergovernmental relations, Ozone, the New Haven initial PM10 and 604. Alternatively, EPA may certify Reporting and recordkeeping nonattainment area. The purpose of this that the rule will not have a significant requirements, Volatile organic action is to bring about the attainment impact on a substantial number of small compounds. of the national ambient air quality entities. Small entities include small Dated July 10, 1995. standards (NAAQS) for particulate businesses, small not-for-profit matter with an aerodynamic diameter enterprises and government entities Felicia Marcus, Regional Administrator. less than or equal to a nominal 10 with jurisdiction over population of less micrometers (PM10). EPA is also than 50,000. Subpart F of Part 52, Chapter I, Title approving reasonable available control Because this action does not create 40 of the Code of Federal Regulations is measures (RACM) and contingency any new requirements but simply amended as follows: measures for the New Haven initial includes additional information into the PM10 moderate nonattainment area as SIP, I certify that it does not have a PART 52Ð[AMENDED] established in this SIP revision, since significant impact on any small entities. Connecticut has demonstrated Moreover, due to the nature of the Subpart FÐCalifornia implementation of RACM will attain Federal-state relationship under the 1. The authority citation for Part 52 and maintain the PM10 NAAQS. CAA, preparation of a regulatory continues to read as follows: Additionally, EPA is approving flexibility analysis would constitute Connecticut’s adoption of the PM10 Federal inquiry into the economic Authority: 42 U.S.C. 7401–7671q. NAAQS and emergency episode reasonableness of state action. The CAA 2. Section 52.220 is amended by regulation. This action is being taken forbids EPA to base its actions removing paragraph (c)(198)(ii). under the Clean Air Act. concerning SIPs on such grounds. 3. Subpart F is amended by adding DATES: This final rule is effective Union Electric Co. v. U.S. E.P.A., 427 § 52.222 to read as follows: U.S. 246, 256–66 (S. Ct. 1976); 42 U.S.C. November 13, 1995, unless notice is 7410 (a)(2). § 52.222 Negative declarations. received by October 11, 1995 that (a) The following air pollution control adverse or critical comments will be Unfunded Mandates districts submitted negative declarations submitted. If the effective date is Under Sections 202, 203, and 205 of for volatile organic compound source delayed, timely notice will be published the Unfunded Mandates Reform Act of categories to satisfy the requirements of in the Federal Register. 1995 (‘‘Unfunded Mandates Act’’), section 182 of the Clean Air Act, as ADDRESSES: Comments may be mailed to signed into law on March 22, 1995, EPA amended. The following negative Susan Studlien, Acting Director, Air, must undertake various actions in declarations are approved as additional Pesticides and Toxics Management association with proposed or final rules information to the State Implementation Division, EPA-New England, JFK that include a Federal mandate that may Plan. Federal Building (AAA), Boston, MA result in estimated costs of $100 million (1) Mojave Desert Air Quality 02203–2211. Copies of the documents or more to the private sector or to State, Management District. relevant to this action are available for local, or tribal governments in the (i) Natural Gas and Gasoline public inspection by appointment aggregate. Processing Equipment and Chemical during normal business hours at the Air, Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations 47077 Pesticides and Toxics Management precursors except where the D, Subparts 1 and 4 of the Act and Division, EPA-New England, One Administrator determines that such elaborated upon in the General Congress Street, 10th floor, Boston, MA; sources do not contribute significantly Preamble. Air and Radiation Docket and to PM10 levels which exceed the Section 110(k) of the Act sets out Information Center, US Environmental NAAQS in the area. provisions governing EPA’s review of Protection Agency, 401 M Street, SW, Some provisions were due at a later SIP submittals. (See 57 FR 13565–66.) (LE–131), Washington, DC 20460; and date. States with initial moderate PM10 Specific requirements and the rationale the Bureau of Air Management, nonattainment areas were required to for EPA’s proposed action are detailed Department of Environmental submit a permit program for the in the Technical Support Document Protection, State Office Building, 79 Elm construction and operation of new and (TSD), dated March 27, 1995, Street, Hartford, CT 06106–1630. modified major stationary sources of accompanying this approval action and FOR FURTHER INFORMATION CONTACT: PM10 by June 30, 1992. [See § 189(a).] are summarized, but not restated, here Matthew B. Cairns, (617) 565–4982. Such States also must submit in the following paragraphs. Interested contingency measures by November 15, parties should consult the TSD or SUPPLEMENTARY INFORMATION: 1993—which become effective without Connecticut’s submittals for details on Background further action by the State or the aspects of the New Haven SIP. EPA—upon a determination by EPA that Procedural Background Part D, Subparts 1 and 4 of Title I of the area has failed to achieve RFP or to the Clean Air Act Amendments of 1990 attain the PM10 NAAQS by the The Act requires States to observe (hereafter referred to as ‘‘the Act’’) set applicable statutory deadline. [See certain procedural requirements in out air quality planning requirements § 172(c)(9) and 57 FR 13543–44.] developing implementation plans and for moderate PM10 nonattainment areas. plan revisions for submission to EPA. The EPA has issued a ‘‘General Summary of Connecticut’s SIP Revision Section 110(a)(2) of the Act provides Preamble’’ describing EPA’s preliminary On March 24, 1994, the State of that each implementation plan views on how EPA intends to review Connecticut submitted a formal revision submitted by a State must be adopted SIPs and SIP revisions submitted under to its State Implementation Plan (SIP). after reasonable notice and public Title I of the Act, including those State This SIP revision consists of 7 consent hearing. Section 110(l) of the Act submittals containing moderate PM10 orders and corresponding compliance similarly provides that each revision to nonattainment area SIP requirements. plans, which contain enforceable an implementation plan submitted by a [See, generally, 57 FR 13498 (April 16, control measures to reduce the re- State under the Act must be adopted by 1992) and 57 FR 18070 (April 28, entrainment of fugitive emissions from such State after reasonable notice and 1992).] Because EPA is describing its roads in New Haven. The public hearing. Section 172(c)(9) of the interpretations here only in broad terms, implementation of these control Act also requires that plan provisions the reader should refer to the General measures by the end of 1994 will reduce for nonattainment areas meet the Preamble for a more detailed discussion PM10 emissions by 157 tons below the applicable provisions of § 110(a)(2). of the interpretations of Title I advanced uncontrolled levels. Accordingly, CT EPA must also determine whether a in this approval and the supporting DEP has adopted reasonable available submittal is complete and therefore rationale. control measures (RACM) for PM10 and warrants further EPA review and action. By November 15, 1991, States through dispersion modeling has (See § 110(k)(1) and 57 FR 13565.) EPA’s containing initial moderate PM10 demonstrated that these control completeness criteria for SIP submittals nonattainment areas were required to measures are sufficient to expeditiously are set out at 40 CFR Part 51, Appendix submit, among other things, the attain PM10 NAAQS in New Haven. As V (1991), as amended by 57 FR 42216 following items. [See §§ 172(c), 188, and required, the road dust control measures (August 26, 1991). EPA attempts to 189 of the Act.] implemented through the consent make completeness determinations • Provisions to assure that reasonably orders also assure maintenance of the within 60 days of receiving a submittal. available control measures (RACM)— 24-hour PM10 NAAQS 3 years beyond However, a submittal is deemed including such reductions in emissions the December 31, 1994 statutory complete by operation of law if EPA from existing sources in the area as may attainment date. Additionally, does not make a completeness be obtained through the adoption, at a Connecticut’s SIP revision provides for determination by 6 months after receipt minimum, of reasonably available the implementation of contingency of the submittal. control technology (RACT)—shall be measures, which were due to EPA by The State of Connecticut held public implemented no later than December November 15, 1993. CT DEP submitted hearings on August, 20, 1993, October 10, 1993; a supplement on May 20, 1994, which 18, 1993, December 29, 1993, and • Either a demonstration, including relies on a conservative strategy from January 28, 1994 to entertain public air quality modeling, that the plan will one of the consent orders to satisfy the comment on the various components of provide for attainment as expeditiously requirements for § 172(c)(9) contingency the PM10 attainment plan, consent as practicable but no later than measures. This submittal demonstrates orders, and compliance plans proposed December 31, 1994 or a demonstration that the City of New Haven’s controls for New Haven. The Commissioner of that attainment by that date is will go beyond RACM and these excess CT DEP (the Governor’s designee) impracticable; reductions will serve as Connecticut’s submitted the plans and consent orders • Quantitative milestones which are contingency measures. to EPA on March 24, 1994 as a proposed to be achieved every 3 years and which These submittals complete the revision to the SIP. On May 20, 1994, demonstrate reasonable further progress attainment plan and contingency the Commissioner further submitted (RFP) toward attainment by December measures for New Haven by meeting the proposed PM10 contingency measures 31, 1994; and applicable requirements to demonstrate for New Haven. • Provisions to assure that the control attainment of the PM10 NAAQS by On March 18, 1993, the State of requirements applicable to major December 31, 1994 and maintenance of Connecticut held a public hearing to stationary sources of PM10 also apply to those standards for 3 years beyond that. amend its air quality standards and major stationary sources of PM10 These requirements are outlined in Part emergency episode regulations 47078 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations concerning PM10. The CT DEP adopted unpaved areas in their vicinity are added 463 tons more. EPA is satisfied the amendments upon filing with the chronically dragged out onto area streets that Connecticut’s inventory is Secretary of State on April 23, 1993, and and are re-entrained by local traffic, sufficiently accurate and comprehensive the EPA received them as a proposed contributing to high levels of airborne for determining the adequacy of the revision to the SIP on March 16, 1995. PM10 and therefore exceedences at New Haven attainment demonstration EPA reviewed all submittals to nearby monitors. Corroborating CT consistent with the requirements in determine completeness in accordance DEP’s observations and conclusions, § 172(c)(3) and § 110(a)(2)(k). Therefore, with criteria outlined in 40 CFR Part 51 Midwest Research Institute (MRI) made EPA is approving this emissions Appendix V and as amended by 57 FR an independent general assessment of inventory, the details of which are 42216 (August 26, 1991). In letters dated the Stiles Street area, as presented in a embodied in the TSD. May 12, 1994, July 2, 1994, and April revised final report titled RACM/RACT 5, 1995, EPA-New England informed the Recommendations for an Approvable Connecticut Governor’s designee that SIP Revision: Revised Final Report As noted, the initial moderate PM10 the respective submittals were (September 10, 1993). nonattainment areas were required to determined complete and explained CT DEP submitted an emissions submit provisions to assure that RACM/ how the review process would proceed. inventory for baseyear 1990. Due to the RACT are implemented no later than localized and unique nature of the December 10, 1993. (See §§ 172(c)(1) Accurate Emissions Inventory complex fugitive dust sources, a micro- and 189(a)(1)(C).) The General Preamble Section 172(c)(3) of the Act requires scale inventory was developed for this contains a detailed discussion of EPA’s that nonattainment plan provisions section of New Haven, while the interpretation of the RACM/RACT include a comprehensive, accurate, and remainder of the inventory was requirement. (See 57 FR 13539–45 and current inventory of actual emissions developed on a larger scale from county 13560–61.) from all sources of relevant pollutants in or town-wide data. Moreover, CT DEP attributed the highest PM10 the nonattainment area. The emissions Connecticut DEP’s dispersion modeling contributions in the New Haven area to inventory should also include a confirms what its inventory shows: mud and dirt from unpaved areas being comprehensive, accurate, and current point sources do not contribute dragged out onto area streets and re- inventory of allowable emissions in the significantly to PM10 NAAQS violations entrained by local traffic. Also, frequent area. Because such inventories are in this airshed. EPA considers control travel across private unpaved storage necessary to an area’s attainment measures which do not expedite areas and emissions from loading and demonstration, the emissions attainment, or affect sources that unloading of shredded scrap metal inventories must be received with the contribute to PM10 levels, unreasonable contribute to excessively high ambient attainment SIP submission. (See 57 FR even though technologically and PM10 levels in the area. 13539.) economically feasible. Accordingly, CT DEP negotiated and CT DEP determined that the PM10 Entrainment of dust by vehicular executed a set of 7 consent orders and nonattainment problem in New Haven traffic contributed 2407 tons of the 1990 compliance plans to implement RACM was a local problem in the area around baseyear actual PM10 emissions, which for PM10 area sources in New Haven. the Stiles Street and Yankee Gas totalled 2990 tons. Point sources These orders and their effective dates monitoring sites. Mud and dirt from the contributed 120 tons and area sources are as outlined below. CONSENT ORDERS FOR NEW HAVEN INITIAL MODERATE PM10 NONATTAINMENT AREA Order No. State of Connecticut vs. Effective date 8073 ...... City of New Haven ...... September 24, 1993. 8074 ...... Waterfront Enterprises, Inc...... November 5, 1993. 8075 ...... Laydon Construction ...... September 21, 1993. 8076 ...... United Illuminating Company ...... December 2, 1993. 8076c ...... M. J. Metals, Inc...... June 18, 1993. 8078 ...... New Haven Terminal, Inc...... November 15, 1993. 8079 ...... Yankee Gas Services Company ...... September 24, 1993. Specifically, the control measures • All open storage lots will be • All paved private travel lanes and adopted accomplish the following. covered with gravel to a minimum city streets in the Stiles Street area will • All unpaved private industrial depth of 2 inches. be put on a maintenance plan, which • travel lanes and unpaved public roads All areas not used for travel, includes periodic street sweeping. in the Stiles Street area will be storage, or parking (or any other active Each consent order requires a eliminated. use) will be mulched and vegetated or schedule and written plan detailing covered with gravel and rendered • control measures designed to reduce All paved private travel lanes will inaccessible to vehicular travel. PM10 emissions for each party’s be delineated with concrete rails or • Any significant piles of sand, scrap responsibility. CT DEP included these other effective borders for the purpose metal, or other erodible materials will orders and plans in the March 24, 1994 of eliminating off-pavement travel and be covered, sheltered with a wind break, submittal and EPA will incorporate reducing the transfer of exposed soil to and/or operated in conjunction with a them into Connecticut’s SIP. Approval adjacent road surfaces. wet suppression system. of the SIP will make these consent • Private travel roads will be posted • Segments of some public roads in orders and compliance plans federally with speed limit and directional signing the area will be lined with guard rails enforceable. EPA is therefore approving to reduce additional fugitive emissions or other barriers to prevent further off- the control strategy as meeting RACM/ and vehicle miles traveled (VMT). pavement travel. RACT requirements. Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations 47079 Demonstration demonstrates that PM10 nonattainment Enforceability Issues As noted, initial moderate PM10 in New Haven is a micro-scale fugitive All measures and other elements in nonattainment areas were to submit a dust problem. EPA agrees that gaseous the SIP must be enforceable by the State demonstration (including air quality emissions, such as VOC, SO2, and NO2, and EPA. (See §§ 172(c)(6) and modeling) showing that the plan will do not contribute to PM10 levels above 110(a)(2)(A) and 57 FR 13556.) The EPA provide for attainment as expeditiously the NAAQS in New Haven. criteria addressing the enforceability of as practicable but no later than Consequently, stationary sources in SIPs and SIP revisions were stated in a December 31, 1994. [See § 189(a)(1)(B) New Haven need no further emission September 23, 1987 memorandum (with controls for possible PM10 precursors. of the Act.] CT DEP submitted an attachments) from J. Craig Potter, The TSD accompanying this notice attainment demonstration based on Assistant Administrator for Air and contains a further discussion of the data dispersion modeling in accordance with Radiation, et al. (See 57 FR 13541.) and analyses addressing the EPA’s ‘‘Guideline on Air Quality Nonattainment area plan provisions contribution of possible precursor Modeling (Revised)’’ (GAQM) (40 CFR must also contain a program that sources in this area. Part 51 Appendix W) to model New provides for enforcement of the control Haven for a determination of PM10 Quantitative Milestones and Reasonable measures and other elements in the SIP. design concentrations. Further Progress (See § 110(a)(2)(C).) The particular control measures The 24-hour PM10 NAAQS is 150 Section 171(1) of the Act defines micrograms per cubic meter (µg/m3), contained in the SIP are summarized reasonable further progress (RFP) as above under the section headed RACM/ and the standard is attained when the such annual incremental reductions in expected number of days per calendar RACT. These control measures are emissions of the relevant air pollutant as defined and detailed in the compliance year with a 24-hour average are required by Part D or may µ 3 plans required under each negotiated concentration above 150 g/m is equal reasonably be required by the to or less than one. [See 40 CFR 50.6.] consent order. Approval of this SIP Administrator for the purpose of submittal and incorporation by Based on modeling 5 years of ensuring attainment of the applicable representative meteorological data and reference will make the consent orders, NAAQS by the applicable date. The along with the control measures projecting growth on a controlled PM10 nonattainment area plan revisions emissions inventory for 1994, the 24- perscribed and contained therein, for demonstrating attainment must contain New Haven federally enforceable. hour design concentration for New quantitative milestones which are to be Haven was predicted as 135 µg/m3. This achieved every 3 years until the area is Contingency Measures demonstrates that implementation of redesignated attainment and which As provided in § 172(c)(9) of the Act, RACM prescribed for New Haven will demonstrate RFP toward attainment by all moderate nonattainment area SIPs attain the 24-hour PM10 NAAQS. The December 31, 1994. (See § 189(c) of the that demonstrate attainment must annual PM10 NAAQS is attained when Act.) include contingency measures. (See the expected annual arithmetic mean In implementing RFP for this initial generally 57 FR 13543–44.) These concentration is less than or equal to 50 moderate area, EPA has reviewed the measures were required to be submitted µ 3 g/m . The predicted annual design attainment demonstration and control by November 15, 1993 for the initial µ 3 concentration of 46 g/m demonstrates strategy for the area to determine moderate nonattainment areas. These that New Haven will also attain the whether annual incremental reductions measures must take effect without annual PM10 NAAQS. different from those provided in the SIP further action by the State or EPA, upon CT DEP’s submittal further projected should be required in order to ensure a determination by EPA that the area emissions for New Haven inventory to attainment of the PM10 NAAQS by has failed to make RFP or attain the 1997 in order to demonstrate December 31, 1994. [See § 171(1).] Even PM10 NAAQS by the applicable maintenance. Further dispersion though Connecticut’s PM10 SIP does statutory deadline. modeling indicates that the control not require that all measures required Connecticut’s May 20, 1994 strategy, summarized above in the for attainment be fully implemented supplemental submittal for New Haven section titled RACT/RACM, will effective December 1, 1993, CT DEP’s addressed contingency measures maintain air quality levels less than the dispersion modeling aptly confirms that required under § 172(c)(9), since the PM10 NAAQS at least through implementation of RACM will bring submittal on March 24, 1994 did not. It December 31, 1997. This demonstration about attainment by December 31, 1994, relies on a conservative strategy through meets the EPA requirement for a the statutory attainment date for initial the consent order and compliance plan minimum 3-year maintenance moderate PM10 nonattainment areas. for the City of New Haven. This projection beyond the statutory (See § 188(c)(1).) EPA keys the first submittal demonstrates that the City of attainment deadline. The TSD provides milestone to the SIP revision containing New Haven is controlling PM10 more details on EPA’s review of the control measures which will result in emissions beyond RACM. CT DEP did maintenance demonstration and the emission reductions (57 FR 13539) and, not consider (i.e., take credit for) these control strategy used. since the PM10 attainment date is less additional measures in the 1994 than 3 years from the actual submittal PM10 Precursors attainment year or 1997 maintenance date of CT DEP’s SIP revision, EPA is year modeling demonstrations. The control requirements applicable accepting CT DEP’s SIP revision as its Specifically, these measures consist of to major stationary sources of PM10 also first quantitative milestone for New the following: apply to major stationary sources of Haven. Subsequently, until New Haven • Installing granite curbs along PM10 precursors unless EPA determines is redesignated to attainment, Waterfront Street between Forbes such sources do not contribute Connecticut’s SIP commits CT DEP to Avenue and Alabama Street; significantly to PM10 levels in excess of submit quantitative milestone and RFP • Planting vegetation in barren areas the NAAQS in that area. [See § 189(e) of reports to EPA every 3 years. EPA is between Waterfront Street and the I–95 the Act.] therefore approving Connecticut’s exit ramp to the east, including new CT DEP’s analysis of air quality and approach to quantitative milestones and trees to act as permanent barriers from emissions data for New Haven RFP. illegal parking; 47080 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations • Reconstructing Stiles Street, monitoring site in the nonattainment document in this Federal Register including installation of sewers, catch- area in the year preceding the extension publication, EPA is proposing to basins, curbs, and sidewalks on both year, the area may apply for, and obtain approve the SIP revision should adverse sides of the street; a 1-year extension of the attainment or critical comments be filed. This • Installing granite curbing along both date. (EPA may grant a total of two 1- action will be effective November 13, sides of Connecticut Avenue from the year extensions of the attainment date to 1995 unless adverse or critical edge of existing curbing north to Albia a qualifying area.) Based on air quality comments are received by October 11, Street and south to connect with the data for 1992–94, New Haven did not 1995. existing curbing; and meet the December 31, 1994 attainment If the EPA receives such comments, • Repaving Alabama Street from deadline, mainly because of a delay in this action will be withdrawn before the Waterfront Street to its end at the east, implementing RACM. However, since effective date by simultaneously including installation of sewers, catch- mid-1994, when the implementation of publishing a subsequent notice that will basins, curbs, handicapped curb cuts at New Haven’s prescribed control withdraw the final action. All public the corners, and vegetation between measures were mostly underway and in comments received will then be curb and lot lines, and fencing where some cases complete, New Haven has addressed in a subsequent final rule necessary. not seen further exceedences of the based on this action serving as a Contingency emissions reductions PM10 NAAQS. Actually, there has been proposed rule. The EPA will not should be approximately equal to the a dramatic decrease in monitored PM10 institute a second comment period on emissions reductions necessary to levels at the Yankee Gas monitor since this action. Any parties interested in demonstrate RFP for one year or 25 then. On March 31, 1995, Connecticut commenting on this action should do so percent for the initial moderate DEP applied for a 1-year extension of at this time. If no such comments are nonattainment areas. (See 57 FR 13543– the attainment deadline for New Haven, received, the public is advised that this 4.) CT DEP’s contingency measures and EPA is granting the extension in a action will be effective on November 13, submittal estimates the emissions separate notice elsewhere in today’s 1995. reductions due to these measures to be Federal Register. This, however, does Under the Regulatory Flexibility Act, 84 tons per year. Since total emission not preclude EPA from approving the 5 USC § 600 et seq., EPA must prepare reductions required to demonstrate attainment plan and contingency a regulatory flexibility analysis attainment for New Haven by December measures for New Haven. assessing the impact of any proposed or 31, 1994 are 157 tpy, the estimated 84 final rule on small entities. 5 USC tpy emissions reduction (or 53.5 Final Action §§ 603 and 604. Alternatively, EPA may percent) from the control measures EPA is approving the SIP revisions certify that the rule will not have a found in the control plan for the City of submitted to the EPA on March 24 and significant impact on a substantial New Haven will exceed one year or 25 May 20, 1994. These revisions include number of small entities. Small entities percent of RFP. 7 consent orders (listed previously in include small businesses, small not-for- EPA finds that CT DEP’s contingency the table in the section titled RACM/ profit enterprises, and government measures for New Haven fulfill RACT) and compliance plans which the entities with jurisdiction over § 172(c)(9) requirements. CT DEP negotiated and executed to populations of less than 50,000. bring about attainment of the PM10 Under §§ 202, 203, and 205 of the Other SIP Requirements NAAQS for the New Haven initial Unfunded Mandates Reform Act of 1995 CT DEP has amended Sections 22a– moderate PM10 nonattainment area. (‘‘Unfunded Mandates Act’’), signed 174–24(f) and –24(g) ‘‘Connecticut These orders and plans impose RACM into law on March 22, 1995, EPA must primary and secondary ambient air and delineate contingency measures for undertake various actions in association quality standards for particulate matter’’ New Haven. Among other things, the with proposed or final rules that include and 22a–174–6(a) and –6(b) ‘‘Air State of Connecticut has demonstrated a Federal mandate that may result in Pollution’’ emergency episode that, with the implementation of RACM, estimated costs of $100 million or more procedures.’’ These regulations now the New Haven initial moderate PM10 to the private sector, or to State, local, reflect the PM10 NAAQS and contain the nonattainment area attains the PM10 or tribal governments in the aggregate. PM10 alert, warning and emergency NAAQS and will maintain air quality Through submission of this State levels that appear in EPA’s ‘‘Example levels below the NAAQS at least implementation plan revision, the State Regulations for Prevention of Air through December 31, 1997. and any affected local or tribal Pollution Emergency Episodes’’ EPA is also approving two governments have elected to adopt the (Appendix L to Part 51). There only amendments to the Regulations of program provided for under § 110 of the exist two outstanding definitions which Connecticut State Agencies concerning Clean Air Act. These rules may bind Connecticut should adopt to complete abatement of air pollution: adoption of State, local and tribal governments to all § 110 requirements: ‘‘particulate the PM10 NAAQS in amended Sections perform certain actions and also require matter emissions’’ and ‘‘PM10 22a–174–24(f) and –24(g) ‘‘Connecticut the private sector to perform certain emissions,’’ but their absence here does primary and secondary ambient air duties. To the extent that the rules being not preclude EPA’s approval of all else quality standards for particulate matter’’ approved by this action will impose no detailed above. and emergency episodes for PM10 in new requirements; such sources are Under § 188 of the Act, if an initial amended Sections 22a–174–6(a) and already subject to these regulations moderate nonattainment area does not –6(b) ‘‘ ‘Air Pollution’’ emergency under State law. Accordingly, no meet the December 31, 1994 attainment episode procedures’’, both received by additional costs to State, local, or tribal deadline, the area is normally ‘‘bumped EPA on March 16, 1995 and effective in governments, or to the private sector, up’’ to a serious non-attainment area the State of Connecticut on July 7, 1993. result from this action. EPA has also and must implement additional control EPA is publishing this action without determined that this action does not measures and must also submit another prior proposal because the Agency include a mandate that may result in SIP revision. However, if an area can views this as a noncontroversial estimated costs of $100 million or more show, among other things, that the area amendment and anticipates no adverse to State, local, or tribal governments in had no more than one exceedance at any comments. However, in a separate the aggregate or to the private sector. Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations 47081 SIP approvals under § 110 and Connecticut was approved by the Director of (G) State Order No. 8076c: State of subchapter I, Part D of the CAA do not the Federal Register on July 1, 1982. Connecticut vs. M. J. Metals, Inc. create any new requirements, but Dated: May 26, 1995. (effective June 18, 1993). simply approve requirements that the John P. DeVillars, (H) State Order No. 8078: State of State is already imposing. Therefore, Regional Administrator, EPA-New England. Connecticut vs. New Haven Terminal, because the federal SIP-approval does Inc. (effective November 15, 1993) and Part 52 of chapter I, title 40 of the not impose any new requirements, I attached plan titled ‘‘Fugitive Dust Code of Federal Regulations is amended certify that it does not have a significant Control Plan (Revised January 19, impact on any small entities affected. as follows: 1994).’’ Moreover, due to the nature of the PART 52Ð[AMENDED] (I) State Order No. 8079: State of federal-state relationship under the Connecticut vs. Yankee Gas Services CAA, preparation of a regulatory 1. The authority citation for part 52 Company (effective September 24, 1993) flexibility analysis would constitute continues to read as follows: and attached plan titled ‘‘Revised federal inquiry into the economic Authority: 42 USC 7401–7671q Compliance Plan for Consent Order No. reasonableness of State action. The CAA 8079 (August 31, 1993).’’ forbids EPA to base its actions Subpart HÐConnecticut (J) Letter from the Connecticut concerning SIPs on such grounds. Department of Environmental Protection Union Electric Co. v. USEPA, 427 US 2. Section 52.370 is amended by dated March 4, 1994 (received March 246, 256–66 (S.Ct. 1976); 42 USC § 7410 adding paragraph (c)(68) to read as 16, 1995) submitting two amendments (a)(2). follows: to the Regulations of Connecticut State This action has been classified as a § 52.370 Identification of plan. Agencies concerning abatement of air Table 2 action by the Regional pollution: amended Sections 22a–174– Administrator under the procedures * * * * * * 24(f) and –24(g) ‘‘Connecticut primary published in the Federal Register on (c) * * * and secondary ambient air quality January 19, 1989 (54 FR 2214–2225), as (68) Revisions to the State standards for particulate matter’’ and revised by an October 4, 1993, Implementation Plan submitted by the amended Sections 22a–174–6(a) and memorandum from Michael H. Shapiro, Connecticut Department of –6(b) ‘‘ ‘Air Pollution’ emergency Acting Assistant Administrator for Air Environmental Protection on March 24, episode procedures’’ (both effective July and Radiation. A future notice will 1994, May 20, 1994, and March 4, 1994. 7, 1993). inform the general public of these (i) Incorporation by reference. (K) Amended Regulations of tables. The Office of Management and (A) Letter from the Connecticut Connecticut State Agencies: amended Budget (OMB) has exempted this action Department of Environmental Protection Sections 22a–174–24(f) and –24(g) from review under Executive Order dated March 24, 1994 submitting a ‘‘Connecticut primary and secondary 12866. revision to the Connecticut State ambient air quality standards for Nothing in this action should be Implementation Plan. particulate matter’’ and amended construed as permitting or allowing or (B) Letter from the Connecticut Sections 22a–174–6(a) and –6(b) ‘‘ ‘Air establishing a precedent for any future Department of Environmental Protection Pollution’ emergency episode request for revision to any State dated May 20, 1994 submitting a procedures’’ (both effective July 7, implementation plan. Each request for supplemental revision to the 1993). revision to the State implementation Connecticut State Implementation Plan. (ii) Additional materials. plan shall be considered separately in (C) State Order No. 8073: State of (A) An attainment plan and light of specific technical, economic, Connecticut vs. City of New Haven demonstration which outlines and environmental factors and in (effective September 24, 1993) and Connecticut’s control strategy and for relation to relevant statutory and attached plan titled ‘‘Remedial Action attainment and maintenance of the regulatory requirements. Plan for Prevention of Airborne PM10 NAAQS, implements and meets Under § 307(b)(1) of the Clean Air Particulate Matter and Fugitive RACM and RACT requirements, and Act, petitions for judicial review of this Discharge of Visible Emissions in the provides contingency measures for New action must be filed in the United States Alabama Street/East Shore Parkway Haven. Court of Appeals for the appropriate Area of New Haven.’’ (B) Nonregulatory portions of the circuit by November 13, 1995. Filing a (D) State Order No. 8074: State of submittal. petition for reconsideration by the Connecticut vs. Waterfront Enterprises, Administrator of this final rule does not Inc. (effective November 5, 1993) and [FR Doc. 95–22130 Filed 9–8–95; 8:45 am] affect the finality of this rule for the attached plan titled ‘‘Proposed BILLING CODE 6560±50±P purposes of judicial review nor does it Operation Plan in Response to extend the time within which a petition Unilateral Order (September 20, 1993).’’ 40 CFR Part 52 for judicial review may be filed, and (E) State Order No. 8075: State of shall not postpone the effectiveness of Connecticut vs. Laydon Construction, [DE22±1±7160a, DC19±1±7159a, MD36±1± such rule or action. This action may not (effective September 21, 1993) and 7161a, PA48±1±7162a, VA42±1±7163a; FRL± be challenged later in proceedings to attached plan titled ‘‘Plan for Control of 5291±8] enforce its requirements. (See Fugitive Emissions of PM10 (September Approval and Promulgation of Air § 307(b)(2)). 21, 1993).’’ Quality Implementation Plans; (F) State Order No. 8076: State of List of Subjects in 40 CFR Part 52 Delaware, the District of Columbia, Connecticut vs. United Illuminating Environmental protection, Air Maryland, Pennsylvania, Virginia; Company (effective December 2, 1993) Revisions to the State Implementation pollution control, Incorporation by and attached plan titled ‘‘Remediation reference, Particulate matter, Reporting Plans (SIPs) Addressing Ozone Plan for Fugitive Emissions: Alabama Monitoring and recordkeeping requirements. Street and Connecticut Avenue, New Note: Incorporation by reference of the Haven, Connecticut (November 19, AGENCY: Environmental Protection State Implementation Plan for the State of 1993).’’ Agency (EPA). 47082 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations ACTION: Direct final rule. SUPPLEMENTARY INFORMATION: these states have since submitted I. Summary of State Submittals revisions and adopted implementation SUMMARY: EPA is approving a revision to schedules for PAMS in all affected the ozone State Implementation Plans SIP revisions incorporating PAMS areas. These submittals have been (SIPs) for Delaware, the District of into the ambient air quality monitoring reviewed by the EPA and are intended Columbia (the District), Maryland, networks of State or Local Air to satisfy the requirements of 40 CFR Pennsylvania and Virginia. This action Monitoring Stations (SLAMS) and section 58.40(a). Since network is based upon revision requests which National Air Monitoring Stations descriptions may change annually, they (NAMS) were submitted to EPA from were submitted by these states to satisfy are not part of the SIP as recommended the following state agencies on the the requirements of the Clean Air Act by the Guideline for the Implementation following days: (Act), as amended November 15, 1990, of the Ambient Air Monitoring (1) Delaware’s Department of Natural and the Photochemical Assessment Regulations 40 CFR 58. However, the Resources & Environmental Control network description is negotiated and Monitoring Stations (PAMS) submitted a PAMS SIP revision on regulations. The PAMS regulations approved during an annual review as March 24, 1994; required by 40 CFR section 58.25 and required affected states to provide for (2) The District of Columbia’s the establishment and maintenance of section 58.36, respectively, and the Department of Consumer and revision codified at 40 CFR section an enhanced ambient air quality Regulatory Affairs submitted a PAMS monitoring network in the form of 58.46. SIP revision on January 14, 1994; The PAMS SIP revisions outlined PAMS by November 12, 1993. (3) Maryland’s Department of the above are intended to meet the Environment submitted a PAMS SIP DATES: This final rule is effective requirements of section 182(c)(1) of the revision on March 24, 1994; November 13, 1995 unless adverse Act and affect compliance with the (4) Pennsylvania’s Department of comments are received by October 11, PAMS regulations, codified at 40 CFR Environmental Resources (now known 1995. If the effective date is delayed, part 58, as promulgated on February 12, as the Pennsylvania Department of timely notice will be published in the 1993. Environmental Protection) submitted a Federal Register (FR). Public hearings on the PAMS SIP PAMS SIP revision on September 23, revisions were held on the following ADDRESSES: Written comments should 1994; and be addressed to Marcia L. Spink, (5) Virginia’s Department of dates: Associate Director, Air Programs, Environmental Quality submitted a (1) Delaware—November 18, 1994; Mailcode 3AT00, U.S. Environmental PAMS SIP revision on November 23, (2) the District—January 4, 1994; Protection Agency, Region III, 841 1994. These states will establish and (3) Maryland—November 4, 8, 9 and 10, Chestnut Building, Philadelphia, maintain PAMS as part of their overall 1994; Pennsylvania 19107. Copies of the ambient air quality monitoring (4) Pennsylvania—August 1, and 9, documents relevant to this action are networks. 1994; and available for public inspection during Section 182(c)(1) of the Act and the (5) Virginia—August 15, 1994. normal business hours at the Air, General Preamble (57 FR 13515) require None of the states received comment Radiation, and Toxics Division, U.S. that the EPA promulgate rules for on the PAMS revisions during the Environmental Protection Agency, enhanced monitoring of ozone, oxides public hearings or public comment Region III, 841 Chestnut Building, of nitrogen (NOX), and volatile organic periods. compounds (VOC) no later than 18 Philadelphia, Pennsylvania 19107; and II. Analysis of State Submittals the Delaware Department of Natural months after the date of the enactment Resources & Environmental Control, 89 of the Act. In addition, the Act requires The PAMS SIP revisions will provide Kings Highway, P.O. Box 1401, Dover, that, following the promulgation of the Delaware, the District, Maryland, Delaware 19903; District of Columbia rules relating to enhanced ambient Pennsylvania, and Virginia with the Department of Consumer and monitoring, states must commence authority to establish and operate the Regulatory Affairs, 2100 Martin Luther actions to adopt and implement PAMS sites, secure State funds for King Avenue, SE., Washington, DC programs based on these rules, to PAMS and provide the EPA with the 20020; Maryland Department of the improve the monitoring of ambient authority to enforce the implementation Environment, 2500 Broening Highway, concentrations of ozone, NOX, and VOC; of PAMS, since their implementation is Baltimore, Maryland, 21224; and to improve the monitoring of required by the Act. Pennsylvania Department of emissions of NOX and VOC. The criteria used to review the Environmental Protection, P.O. Box The final PAMS rule was promulgated proposed SIP revision are derived from 8468, 400 Market Street, Harrisburg, by the EPA on February 12, 1993 (58 FR the PAMS regulations, codified at 40 CFR part 58, the Guideline for the Pennsylvania 17105; Department of 8452). Section 58.40(a) of the revised Implementation of the Ambient Air Public Health, Air Management rule requires states with serious and Monitoring Regulations 40 CFR Part 58 Services, 321 University Avenue, above areas to submit a PAMS network (EPA–450/4–79–038, Office of Air Philadelphia, Pennsylvania 19104; description, including a schedule for Quality Planning and Standards, Virginia Department of Environmental implementation, to the Administrator November 1979), the September 2, 1993 Quality, 629 East Main Street, within six months after promulgation or memorandum from G. T. Helms entitled Richmond, Virginia, 23219. by August 12, 1993. Further, section 58.20(f) requires these states to provide Final Boilerplate Language for the FOR FURTHER INFORMATION CONTACT: for the establishment and maintenance PAMS SIP Submittal (Helms boilerplate Catherine L. Magliocchetti, Ozone/CO & of a PAMS network within nine months memorandum), the Act and the General Mobile Sources Section, Mailcode after promulgation of the final rule or by Preamble. The September 2, 1993 Helms 3AT21, U.S. Environmental Protection November 12, 1993. boilerplate memorandum stipulates that Agency, Region III, 841 Chestnut While EPA recognizes that none of the the PAMS SIP, at a minimum, must: Building, Philadelphia, Pennsylvania above states met either of the deadlines, (a) Enable the monitoring of non- 19107, (215) 597–6863. EPA considers this point moot, since criteria pollutants (such as NOX, nitric Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations 47083 oxide, and speciated VOC including the state agencies as outlined under the not impose any new requirements, I carbonyls) and meteorological ADDRESSES Section of this FR notice. certify that it does not have a significant parameters, in addition to the impact on any small entities affected. III. Final Action monitoring of criteria pollutants (such Moreover, due to the nature of the as ozone and nitrogen dioxide); EPA is approving revisions to the Federal-State relationship under the (b) Provide a copy of the approved (or ozone SIPs for PAMS in Delaware, the Act, preparation of a regulatory proposed) PAMS network description, District of Columbia, Maryland, flexibility analysis would constitute including the phase-in schedule, for Pennsylvania and Virginia. The EPA is Federal inquiry into the economic public inspection during the public publishing this action without prior reasonableness of State action. The Act notice and/or comment period provided proposal because the Agency views this forbids the EPA to base its actions for in the SIP revision or, alternatively, as a noncontroversial amendment and concerning SIPs on such grounds provide information to the public upon anticipates no adverse comments. (Union Electric Co. v. U.S. E.P.A., 427 request concerning the State’s plans for However, in a separate document in the U.S. 246, 256–66 (1976); 42 U.S.C. implementing the rules; FR publication, the EPA is proposing to 7410(a)(2)). (c) Make reference to the fact that approve the SIP revision should adverse Under Section 202 of the Unfunded PAMS will become a part of the State or comments be received. Thus, the action Mandates Reform Act of 1995 local air monitoring stations (SLAMS) will be effective November 13, 1995 (‘‘Unfunded Mandates Act’’), signed network; and unless, by no later than October 11, into law on March 22, 1995, EPA must 1995, adverse or critical comments are (d) Require revisions to the statement prepare a budgetary impact statement to received. that SLAMS will employ Federal accompany any proposed or final notice If such comments are received, this reference methods (FRM) or equivalent that includes a Federal mandate that action will be withdrawn before the may result in estimated costs to State, methods inasmuch as PAMS sampling effective date by publishing a will be conducted using methods local, or tribal governments in the subsequent notice which will withdraw aggregate; or to the private sector, of approved by the EPA which are not the final action. All public comments FRM or equivalent. $100 million or more. Under section will then be addressed in a subsequent 205, EPA must select the most cost- The PAMS SIP revisions for Delaware, final rule based on this action serving as effective and least burdensome the District, Maryland, Pennsylvania, a proposed rule. The EPA will not alternative that achieves the objectives and Virginia provide that each state will institute a second comment period on of the rule and is consistent with implement PAMS as required in 40 CFR this action. Any parties interested in statutory requirements. Section 203 Part 58, as amended February 12, 1993. commenting on this action should do so requires EPA to establish a plan for This program is required in all ozone at this time. If no comments are informing and advising any small nonattainment areas designated as received, the public is advised that this governments that may be significantly serious, severe, or extreme. The states action will be effective November 13, or uniquely impacted by the rule. will also implement these regulations in 1995. EPA has determined that the approval any existing ozone nonattainment area The EPA has reviewed this request for action promulgated does not include a reclassified to serious, severe, or revision of the federally-approved SIP Federal mandate that may result in extreme, or any newly designated ozone for conformance with the provisions of estimated costs of $100 million or more nonattainment areas classified as the Clean Air Act Amendments. The to either State, local, or tribal serious or above. The PAMS stations EPA has determined that this action governments in the aggregate, or to the will become a part of the existing conforms with those requirements. private sector. This Federal action NAMS/SLAMS network and will Nothing in this action should be approves pre-existing requirements monitor ambient levels of ‘‘criteria construed as permitting, allowing, or under State or local law, and imposes pollutants,’’ ‘‘non-criteria pollutants,’’ establishing a precedent for any future no new Federal requirements. and meteorological parameters. request for revision to any SIP. The EPA Accordingly, no additional costs to Each state will develop its PAMS shall consider each request for revision State, local or tribal governments, or to network design and establish to the SIP in light of specific technical, the private sector, result from this monitoring sites pursuant to 40 CFR economic, and environmental factors action. Part 58 in accordance with an approved and in relation to relevant statutory and This action has been classified as a network description and as negotiated regulatory requirements. Table 3 action for signature by the with the EPA through the 105 grant Under the Regulatory Flexibility Act, Regional Administrator under the process on an annual basis. Also, each 5 U.S.C. 600 et seq., the EPA must procedures published in the Federal state has begun implementing its PAMS prepare a regulatory flexibility analysis Register on January 19, 1989 (54 FR network as required in 40 CFR Part 58. assessing the impact of any proposed or 2214–2225), as revised by a July 10, All of the PAMS SIP revisions final rule on small entities (5 U.S.C. 603 1995 memorandum from Mary Nichols, mentioned also include provisions to and 604). Alternatively, the EPA may Assistant Administrator for Air and meet quality assurance requirements as certify that the rule will not have a Radiation. The Office of Management contained in 40 CFR Part 58, Appendix significant impact on a substantial and Budget (OMB) has exempted this A. All of the states also assure that the number of small entities. Small entities regulatory action from E.O. 12866 PAMS monitors will meet monitoring include small businesses, small not-for- review. methodology requirements contained in profit enterprises, and government Under section 307(b)(1) of the Act, 40 CFR Part 58, Appendix C. These entities with jurisdiction over petitions for judicial review of this states’ SIP revisions also assure that populations of less than 50,000. Direct Final PAMS approval action must their PAMS networks will be phased in SIP approvals under section 110 and be filed in the U.S. Court of Appeals for over a period of five years as required Subchapter I, Part D, of the Act do not the appropriate circuit by November 13, in section 58.44. The states’ PAMS SIP create any new requirements, but 1995. Filing a petition for submittals and the EPA’s technical simply approve requirements that the reconsideration by the Administrator of support document are available for State is already imposing. Therefore, this final rule does not affect the finality viewing at the EPA Region III Office and because the Federal SIP-approval does of this rule for the purposes of judicial 47084 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations review, nor does it extend the time 11, 1995 and made it part of the District Photochemical Assessment Monitoring within which a petition for judicial of Columbia SIP. As with all Stations (PAMS) Program on September review may be filed, and shall not components of the SIP, the District of 11, 1995 and made it part of the Virginia postpone the effectiveness of such rule Columbia must implement the program SIP. As with all components of the SIP, or action. This action may not be as submitted and approved by EPA. Virginia must implement the program as challenged later in proceedings to submitted and approved by EPA. enforce its requirements (see section Subpart VÐMaryland [FR Doc. 95–22158 Filed 9–8–95; 8:45 am] 307(b)(2)). 4. Section 52.1080 is added to read as BILLING CODE 6560±50±P List of Subjects in 40 CFR Part 52 follows: Environmental protection, Air § 52.1080 Photochemical Assessment 40 CFR Part 52 pollution control, Hydrocarbons, Monitoring Stations (PAMS) Program. Incorporation by reference, Nitrogen On March 24, 1994 Maryland’s [FRL±5291±5] dioxide, Ozone, Volatile organic Department of the Environment compounds. submitted a plan for the establishment Approval and Promulgation of Air Dated: August 18, 1995. and implementation of a Photochemical Quality Implementation Plans; W. Michael McCabe, Assessment Monitoring Stations Commonwealth of Pennsylvania; Regional Administrator, Region III. (PAMS) Program as a state Disapproval of the Enhanced Motor 40 CFR part 52 is amended as follows: implementation plan (SIP) revision, as Vehicle Inspection and Maintenance required by section 182(c)(1) of the Program PART 52Ð[AMENDED] Clean Air Act. EPA approved the Photochemical Assessment Monitoring AGENCY: Environmental Protection 1. The authority citation for part 52 Stations (PAMS) Program on September Agency (EPA). continues to read as follows: 11, 1995 and made it part of Maryland ACTION: Final rule. Authority: 42 U.S.C. 7401–7671q. SIP. As with all components of the SIP, SUMMARY: EPA hereby gives notice that Maryland must implement the program pursuant to its authority under Clean Subpart IÐDelaware as submitted and approved by EPA. Air Act (the Act) section 110(k)(4), 42 2. Section 52.430 is added to read as Subpart NNÐPennsylvania U.S.C. 7410(k)(3), in an April 13, 1995 follows: letter EPA notified Pennsylvania that 5. Section 52.2035 is added to read as the conditional approval of the § 52.430 Photochemical Assessment follows: Pennsylvania enhanced Inspection and Monitoring Stations (PAMS) Program. Maintenance (I/M) State On March 24, 1994 the Delaware § 52.2035 Photochemical Assessment Monitoring Stations (PAMS) Program. Implementation Plan (SIP) revision had Department of Natural Resources & been converted to a disapproval. The On September 23, 1994 Environmental Control submitted a plan letter triggered the 18-month timeclock Pennsylvania’s Department of for the establishment and for the mandatory application of Environmental Resources (now known implementation of a Photochemical sanctions under section 179(a) of the as the Department of Environmental Assessment Monitoring Stations Act and the 24-month timeclock for the Protection) submitted a plan for the (PAMS) Program as a state Federal Implementation Plan (FIP) establishment and implementation of a implementation plan (SIP) revision, as under section 110(c)(1). This also serves Photochemical Assessment Monitoring required by section 182(c)(1) of the to amend the C.F.R. to note the Stations (PAMS) Program as a state Clean Air Act. EPA approved the conversion of the conditional approval implementation plan (SIP) revision, as Photochemical Assessment Monitoring to a disapproval. Stations (PAMS) Program on September required by section 182(c)(1) of the EFFECTIVE DATE: September 11, 1995. 11, 1995 and made it part of the Clean Air Act. EPA approved the Delaware SIP. As with all components Photochemical Assessment Monitoring FOR FURTHER INFORMATION CONTACT: Mrs. of the SIP, Delaware must implement Stations (PAMS) Program on September Kelly L. Bunker, (215) 597– 4554. the program as submitted and approved 11, 1995 and made it part of SUPPLEMENTARY INFORMATION: On August by EPA. Pennsylvania SIP. As with all 31, 1994 a final rule was published in components of the SIP, Pennsylvania the Federal Register (59 FR 44936) Subpart JÐDistrict of Columbia must implement the program as which conditionally approved the submitted and approved by EPA. 3. Section 52.480 is added to read as November 3, 1993 Pennsylvania SIP follows: submittal for a centralized, test-only Subpart WÐVirginia enhanced I/M program. The first two § 52.480 Photochemical Assessment 6. Section 52.2426 is added to read as conditions of the conditional approval Monitoring Stations (PAMS) Program. follows: were required to be fulfilled by On January 14, 1994 the District of December 31, 1994. The first two Columbia’s Department of Consumer § 52.2426 Photochemical Assessment conditions for approvability were as and Regulatory Affairs submitted a plan Monitoring Stations (PAMS) Program. follows: for the establishment and On November 23, 1994 Virginia’s (1) by December 31, 1994, the implementation of a Photochemical Department of Environmental Quality Commonwealth was required to submit Assessment Monitoring Stations submitted a plan for the establishment to EPA as a SIP revision, the (PAMS) Program as a state and implementation of a Photochemical Pennsylvania Bulletin notice which implementation plan (SIP) revision, as Assessment Monitoring Stations certified that the enhanced I/M program required by section 182(c)(1) of the (PAMS) Program as a state was required in order to comply with Clean Air Act. EPA approved the implementation plan (SIP) revision, as federal law, certified the geographic Photochemical Assessment Monitoring required by section 182(c)(1) of the areas which were subject to the Stations (PAMS) Program on September Clean Air Act. EPA approved the enhanced I/M program, and certified the Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations 47085 commencement date of the enhanced I/ substantive review is required for such were revisions to the permit M program and a determination. The Agency is the only requirements for major sources of air (2) by December 31, 1994, the judge of whether or not it has received pollution, including revisions to the Commonwealth was required to submit the SIP revision to meet the conditions general definitions, the permit to EPA as a SIP amendment, the of the conditional approval. Because requirements, and the exemptions. As a amendments to the Pennsylvania I/M there is nothing on which to comment, supplement to this submittal, on July regulation, 67 Pa Code § 178.202–205, notice and comment rulemaking are 15, 1994, the State also submitted a which require EPA approval prior to unnecessary. request that the recodification of the implementation of any alternate purge entire air pollution control rule for List of Subjects in 40 CFR Part 52 test procedure and incorporate the Nashville/Davidson County be approved transient emission standards for Tier 1 Environmental protection, Air as part of the SIP. vehicles, the Phase 2 standards for all pollution control, Ozone. DATES: This final rule will be effective vehicle types and model years, and the Dated: August 2, 1995. November 13, 1995 unless adverse or transient and evaporative purge test W. Michael McCabe, critical comments are received by procedures found in the final version of Regional Administrator, Region III. October 11, 1995. If the effective date is the EPA document entitled ‘‘High-Tech delayed, timely notice will be published I/M Test Procedures, Emission 40 CFR part 52 is amended as follows: in the Federal Register. Standards, Quality Control ADDRESSES: Written comments on this Requirements, and Equipment PART 52Ð[AMENDED] action should be addressed to Karen C. Specifications’’, EPA-AA-EPSD-IM–93– 1. The authority citation for part 52 Borel, at the EPA Regional Office listed 1, April 1994. continues to read as follows: The proposed rulemaking stated that below. Copies of the documents relative if the Commonwealth did not submit, by Authority: 42 U.S.C. 7401–7671q. to this action are available for public December 31, 1994, a SIP revision in inspection during normal business Subpart NNÐPennsylvania response to the first two conditions of hours at the following locations. The interested persons wanting to examine the approval action, the conditional 2. Section 52.2023 is amended by these documents should make an approval would convert to a adding paragraph (j) to read as follows: disapproval. EPA has not received a SIP appointment with the appropriate office revision which fulfills the first two § 52.2023 Approval status. at least 24 hours before the visiting day. conditions of the August 31, 1994 * * * * * Air and Radiation Docket and conditional approval. EPA notified the (j) The conditionally approved Information Center (Air Docket 6102), Commonwealth by an April 13, 1995 Pennsylvania enhanced I/M SIP revision U.S. Environmental Protection letter that the conditional approval of (59 FR 44936) submitted on November Agency, 401 M Street, SW, the Pennsylvania enhanced I/M SIP had 3, 1993 by the Pennsylvania Department Washington, DC 20460 been converted to a full disapproval of Environmental Resources was Environmental Protection Agency, pursuant to section 110(k)(4) of the converted to a disapproval by an April Region 4 Air Programs Branch, 345 Clean Air Act (the Act). This action 13, 1995 letter from EPA to Courtland Street, NE, Atlanta, Georgia taken on April 13, 1995 started both the Pennsylvania. 30365 18 and subsequent 6 month sanctions Bureau of Environmental Health clocks and the 24-month FIP clock. The § 52.2026 [Removed and Reserved] Services, Metropolitan Health Commonwealth must submit and EPA 3. Section 52.2026 is removed and Department, Nashville-Davidson must take rulemaking action to approve reserved. County, 311—23rd Avenue, North, Nashville, Tennessee 37203 an enhanced I/M SIP by October 13, [FR Doc. 95–22332 Filed 9–8–95; 8:45 am] FOR FURTHER INFORMATION CONTACT: 1996 and April 13, 1997, respectively, BILLING CODE 6560±50±P in order to halt these sanctions and FIP Karen C. Borel, Regulatory Planning and clocks. Development Section, Air Programs EPA believes that the good cause 40 CFR Part 52 Branch, Air, Pesticides & Toxics exception to the notice and comment Management Division, Region 4 rulemaking requirement applies to this [TN±126±6580a; FRL±5282±8] Environmental Protection Agency, 345 Courtland Street, NE, Atlanta, Georgia rulemaking action. [Administrative Approval and Promulgation of Procedure Act (APA) section 553(a)(B)]. 30365 The telephone number is 404/ Implementation Plans; Tennessee: Section 553(a)(B) of the APA provides 347–3555 x4197. Reference file TN– Approval of Revisions to Permit that the Agency need not provide notice 126–1–6580a. Requirements and an opportunity for comment if the SUPPLEMENTARY INFORMATION: The State Agency, for good cause, determines that AGENCY: Environmental Protection of Tennessee through the Tennessee notice and comment are ‘‘impracticable, Agency (EPA). Department of Environment and unnecessary, or contrary to the public ACTION: Direct final rule. Conservation submitted revisions to the interest.’’ In the present circumstance, Nashville/Davidson County portion of notice and comment are unnecessary. SUMMARY: EPA is approving revisions to the Tennessee SIP to EPA on November The conversion of the conditional the permit requirements for major 12, 1993. EPA found these submittals to approval to a disapproval does not sources of air pollution for the be complete on January 21, 1994. require any judgment on the part of the Nashville/Davidson County portion of Agency. The issue is clear that the the Tennessee State Implementation A. Permit Requirement Revisions Agency must state whether or not it has Plan (SIP). EPA is also approving the Nashville/Davidson County officially received any SIP revision by the recodification of this chapter. On adopted proposed amendments to the required date from the Commonwealth November 12, 1993, the State submitted Chapter 10.56, ‘‘Air Pollution Control’’ in response to the conditions set forth revisions to the Nashville/Davidson of the Metropolitan Code of Laws on in the conditional approval of the portion of the Tennessee SIP on behalf September 14, 1993. These regulatory Commonwealth’s enhanced I/M SIP. No of Nashville/Davidson County. These revisions to their Chapter 10.56 change 47086 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations the permit requirements for major air Section 10.56.040—Operating Permit Clean Air Act, as amended in 1990 pollution sources. EPA is approving all Paragraph (A) was deleted and (CAA). This new definition will be used of the following revisions except where replaced with a new paragraph (A). All in the issuance of synthetic minor it is specifically noted that the proposed references to ‘‘temporary operating operating permits. revision is not receiving action. permits’’ have been changed to Section 10.56.290—Measurement and Section 10.56.010—Definitions ‘‘construction permits’’ in this new Reporting of Emissions paragraph. A minor revision was made Definitions of ‘‘act,’’ ‘‘administrator,’’ to paragraph (B) to limit the operating The old title, ‘‘Measurement of Air ‘‘major source,’’ ‘‘permitted allowable permit to five (5) years, and paragraphs Contaminants,’’ was deleted and the emission,’’ and ‘‘volatile organic (C) through (F) were added. Paragraph new title was added. Subparagraph compounds,’’ were added. The (C) requires that applications for 10.56.290.B.3 was added to provide the definition of ‘‘major stationary source’’ operating permits be filed by the requirements for notification of was deleted. operators of any sources that were compliance tests. A definition for ‘‘Regulated Pollutant’’ operating prior to the effective date of Section 10.56.290.E—Emissions has been added. However, in response this regulation. Paragraph (D) grants Statement to comments from the EPA this authority to the Metropolitan Board of In this paragraph Nashville/Davidson proposed definition is being revised by Health to specify any additional County requires an annual emissions the State in accordance with their May permitting requirements. Paragraph (E) report from all permitted facilities in 30, 1995, letter from Mr. John Walton, states that any application for a major accordance with the permitting Technical Secretary of the Tennessee source operating permit is also subject requirements of Sections 10.56.020 and Air Pollution Control Board, to Mr. to objection and comment by the EPA 10.56.040. In these sections, all sources Doug Neeley, Chief of the Air Programs Administrator. Paragraph (F) declares that emit any regulated air pollutant are Branch of the Region 4 EPA. Therefore, that an operating permit application required to obtain a permit. action on the addition of this definition may be declared final eighteen (18) will be taken in future rulemaking. months after its receipt, if there has not Section 10.56.310—Severability been any action by the Director. Section 10.56.020—Construction This section was added to the SIP to Permits Section 10.56.050—Exemptions address severability. In this new section Nashville has proposed to delete the it is stated that all other provisions of Paragraphs (I) through (M) were this ordinance will remain in full force added to clarify the requirements of entire Section 10.56.050 [paragraphs (A) through (D)] and replace it with and effect in the case where a court their permit program. Paragraph (I) declares another section limits the operating time of the new or proposed paragraphs (A) and (B). The new paragraph (A) restates the same unconstitutional, illegal, or modified source to the time specified unenforceable. within the permit, but not to exceed one exemptions that were previously hundred and eighty (180) days. It also covered in the deleted paragraphs (A) B. Recodification through (D). The new paragraph (B) requires that the Director be notified of On July 15, 1994, the State submitted the startup date within five (5) working states that such quantities of air contaminants which adversely affect the a request that the recodification of the days of the startup. Paragraph (J) entire air pollution control rule for requires that all of the compliance public shall not be discharged from any source, regardless of the exemptions Nashville/Davidson County be approved testing required by the construction as part of the SIP. The Code of Laws of permit must be done in accordance with listed in the previous paragraph. Proposed paragraphs (C), (D), and (E) the Metropolitan Government of the requirements of the SIP and the test Nashville and Davidson County, results must be submitted to the were withdrawn by the State in their letter of May 30, 1995, from Mr. Walton Tennessee was recodified from Chapter Director as required by the SIP. Any Four, Subchapter One, into new Chapter failure to demonstrate compliance will to Mr. Neeley in response to comments from the EPA. 10.56, on August 21, 1991. In this be sufficient grounds for the Director to document EPA is approving the require changes in the installation Section 10.56.080—Permit Fees recodification. before an operating permit will be Nashville has deleted the section on Final Action granted. Paragraph (K) gives the Director permit fees in its entirety. The proposed the right to observe any compliance replacement Section 10.56.080 was EPA is fully approving the submitted tests and to inspect the installation and withdrawn by the State in their letter of revisions to the Nashville/Davidson operation of the equipment. Paragraph May 30, 1995, from Mr. Walton to Mr. County portion of the Tennessee SIP, (L) grants the EPA Administrator the Neeley in response to comments from with the exception of the definition of right to objection and comment on any the EPA. ‘‘regulated pollutant’’ in Section application for a construction permit for 10.56.010 on which action is not being a major source. Paragraph (M) states that Section 10.56.120.B.6—Complaint taken in this rulemaking. EPA is also eighteen (18) months after receipt of a Notice—Hearings Procedure fully approving the recodification of the complete application for a construction The length of time to enter a final Air Pollution Control section of the permit the application is considered order or determination, after final Nashville/Davidson County portion of final, and becomes the permit, if there argument, was changed from sixty days the Tennessee SIP, as submitted on July has been no action by the Director. to ninety days. 15, 1994. EPA has not reviewed the substance of the remaining regulations, Section 10.56.030—Temporary Section 10.56.210—Hazardous Air other than those submitted for revision Operating Permit Pollutants on November 12, 1993. These rules were This section was deleted. All of the The definition was deleted, and a new approved into the SIP in previous requirements previously contained in definition was added. The new section rulemakings. The EPA is now merely this section were moved to Sections defines ‘‘Hazardous Air Pollutants’’ in approving the renumbering system 10.56.020 and 10.56.040. accordance with Section 112 of the submitted by the State. The EPA’s Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations 47087 approval of the renumbering system at Nothing in this action shall be certain duties. To the extent that the this time does not imply any position construed as permitting or allowing or rules being approved by this action will with respect to the approvability of the establishing a precedent for any future impose no new requirements; such substantive rules. To the extent EPA has request for a revision to any State sources are already subject to these issued any SIP calls to the State with implementation plan. Each request for regulations under State law. respect to the adequacy of any of the revision to the State implementation Accordingly, no additional costs to rules subject to this recodification, EPA plan shall be considered separately in State, local, or tribal governments, or to will continue to require the State to light of specific technical, economic, the private sector, result from this correct any such rule deficiencies and environmental factors and in action. EPA has also determined that despite EPA’s approval of this relation to relevant statutory and this final action does not include a recodification. regulatory requirements. mandate that may result in estimated The EPA is publishing this action Under the Regulatory Flexibility Act, costs of $100 million or more to State, without prior proposal because the 5 U.S.C. 600 et seq., EPA must prepare local, or tribal governments in the Agency views this as a noncontroversial a regulatory flexibility analysis aggregate or to the private sector. amendment and anticipates no adverse assessing the impact of any proposed or comments. However, in a separate final rule on small entities. 5 U.S.C. 603 List of Subjects in 40 CFR Part 52 document in this Federal Register and 604. Alternatively, EPA may certify Air pollution control, Carbon publication, the EPA is proposing to that the rule will not have a significant monoxide, Incorporation by reference, approve the SIP revision should adverse impact on a substantial number of small Nitrogen dioxide, Ozone, Particulate or critical comments be filed. This entities. Small entities include small matter, Reporting and recordkeeping action will be effective November 13, businesses, small not-for-profit requirements. 1995 unless, within 30 days of its enterprises, and government entities Dated: August 9, 1995. publication, adverse or critical with jurisdiction over populations of comments are received. less than 50,000. Patrick M. Tobin, If the EPA receives such comments, Acting Regional Administrator. this action will be withdrawn before the SIP Actions Part 52 of chapter I, title 40, Code of effective date by publishing a SIP approvals and partial approvals Federal Regulations, is amended as subsequent document that will under section 110 and subchapter I, part follows: withdraw the final action. All public D of the CAA do not create any new comments received will then be requirements, but simply approve PART 52Ð[AMENDED] addressed in a subsequent final rule requirements that the State is already 1. The authority citation for part 52 based on the separate proposed rule. imposing. Therefore, because the continues to read as follows: The EPA will not institute a second Federal SIP-approval does not impose comment period on this action. Any any new requirements, I certify that it Authority: 42 U.S.C. 7401–7671q. parties interested in commenting on this does not have a significant impact on Subpart RRÐTennessee action should do so at this time. If no any small entities affected. Moreover, such comments are received, the public due to the nature of the Federal-State 2. Section 52.2220 is amended by is advised that this action will be relationship under the CAA, preparation adding paragraph (c)(131) to read as effective November 13, 1995. of a regulatory flexibility analysis would follows: Under section 307(b)(1) of the Act, 42 constitute Federal inquiry into the U.S.C. 7607(b)(1), petitions for judicial economic reasonableness of State § 52.2220 Identification of plan. review of this action must be filed in the action. The CAA forbids EPA to base its * * * * * United States Court of Appeals for the actions concerning SIPs on such (c) * * * appropriate circuit by November 13, grounds. Union Electric Co. v. U.S. (131) On November 12, 1993, the 1995. Filing a petition for E.P.A., 427 U.S. 246, 256–66 (S.Ct. State submitted revisions to the reconsideration by the Administrator of 1976); 42 U.S.C. section 7410(a)(2) and Nashville/Davidson County portion of this final rule does not affect the finality 7410(k)(3). the Tennessee State Implementation of this rule for purposes of judicial Plan (SIP) on behalf of Nashville/ review nor does it extend the time Unfunded Mandates Davidson County. These were revisions within which a petition for judicial Under Sections 202, 203, and 205 of to the permit requirements for major review may be filed, and shall not the Unfunded Mandates Reform Act of sources of air pollution, including postpone the effectiveness of such rule 1995 (‘‘Unfunded Mandates Act’’), revisions to the general definitions, the or action. This action may not be signed into law on March 22, 1995, EPA permit requirements, and the challenged later in proceedings to must undertake various actions in exemptions. As a supplement to this enforce its requirements. (See section association with proposed or final rules submittal, on July 15, 1994, the State 307(b)(2) of the Act, 42 U.S.C. that include a Federal mandate that may also submitted a request that the 7607(b)(2)). result in estimated costs of $100 million recodification of the entire air pollution This action has been classified as a or more to the private sector, or to State, control rule for Nashville/Davidson Table 3 action for signature by the local, or tribal governments in the County be approved as part of the SIP. Regional Administrator under the aggregate. These revisions and recodification procedures published in the Federal Through submission of this State incorporate changes to Nashville’s Register on January 19, 1989 (54 FR implementation plan or plan revision, Chapter 10.56, which was previously 2214–2225), as revised by a July 10, the State and any affected local or tribal Chapter 4–1–1, which are required in 1995 memorandum from Mary Nichols, governments have elected to adopt the the Clean Air Act as amended in 1990 Assistant Administrator for Air and program provided for under Section 110 and 40 CFR part 51, subpart I. Radiation. The Office of Management of the Clean Air Act. These rules may (i) Incorporation by reference. and Budget (OMB) has exempted this bind State, local and tribal governments Code of Laws of the Metropolitan regulatory action from E.O. 12866 to perform certain actions and also Government of Nashville and Davidson review. require the private sector to perform County, Tennessee, Chapter 10.56, Air 47088 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations Pollution Control, effective November States Environmental Protection to comply with the 15 percent periodic 10, 1993, except for the following parts: Agency, Region 5, Air and Radiation reduction requirement of the Act; and 3) (A) Section 10.56.010, the definition Division, 77 West Jackson Boulevard, the requirement to comply with the of ‘‘regulated pollutant’’; Chicago, Illinois 60604. post-1996 periodic reduction and (B) Section 10.56.040, Paragraph (F); A copy of this SIP revision is attainment requirements of the Act. (C) Section 10.56.050, Paragraphs (C), available for inspection at the following As noted in the January 10, 1995, (D) and (E); location: Office of Air and Radiation proposal, the USEPA would not take (D) Section 10.56.080. (OAR) Docket and Information Center final action on the second element until (ii) Other material. None. (Air Docket 6102), room M1500, United the State has submitted a complete 15 [FR Doc. 95–22145 Filed 9–8–95; 8:45 am] States Environmental Protection percent ROP plan. On July 13, 1995, the Agency, 401 M Street SW., Washington, State of Wisconsin submitted a 15 BILLING CODE 6560±50±P D.C. 20460, (202) 260–7548. percent ROP plan with fully enforceable FOR FURTHER INFORMATION CONTACT: rules that have been subject to public 40 CFR Part 52 Michael G. Leslie, Regulation hearing. No TCMs were utilized in the Development Section (AT–18J), Air ROP plan to meet the 15 percent [WI55±02±7015; FRL±5289±5] Toxics and Radiation Branch, Air and reduction in emissions. On July 18, Radiation Division, United States 1995, the USEPA determined that this Approval of the State Implementation ROP plan was complete. Plan; Wisconsin Environmental Protection Agency, Region 5, 77 West Jackson Boulevard, II. Final Rulemaking Action AGENCY: Environmental Protection Chicago, Illinois 60604, Telephone In this action, USEPA is approving Agency. Number (312) 353–6680. the second element of the VMT offset ACTION: Final rule. SUPPLEMENTARY INFORMATION: SIP revision submitted by the State of SUMMARY: On January 10, 1995, the I. Background Information Wisconsin. The third element of the Wisconsin VMT offset SIP will also be United States Environmental Protection Section 182(d)(1)(A) of the Act Agency (USEPA) proposed approval of the subject of a future rulemaking. requires States that contain severe ozone This action has been classified as a the State Implementation Plan (SIP) nonattainment areas to adopt revision request for the Milwaukee Table 3 action by the Regional transportation control measures and Administrator under the procedures ozone nonattainment area (Kenosha, transportation control strategies to offset Milwaukee, Ozaukee, Racine, published in the Federal Register on growth in emissions from growth in January 19, 1989 (54 FR 2214–2225), as Washington, and Waukesha counties), VMT or number of vehicle trips and to as submitted by the State of Wisconsin. revised by an October 4, 1993, attain reductions in motor vehicle memorandum from Michael H. Shapiro, The purpose of the revision is to offset emissions (in combination with other any growth in emissions from growth in Acting Assistant Administrator for Air measures) as needed to comply with the and Radiation. The Office of vehicle miles traveled (VMT), or Act’s RFP milestones and attainment number of vehicle trips, and to attain Management and Budget (OMB) has requirements. The requirements for exempted this regulatory action from reduction in motor vehicle emissions, in establishing a VMT Offset program are combination with other measures, as Executive Order 12866 review. set forth in 182(d)(1)(A) and discussed Nothing in this action should be needed to comply with Reasonable in the General Preamble to Title I of the construed as permitting or allowing or Further Progress (RFP) milestones of the Act (57 FR 13498 April 16, 1992). establishing a precedent for any future Clean Air Act (Act). Wisconsin As described in the proposal, section request for revision to any SIP. Each submitted the implementation plan 182(d)(1)(A) sets forth three elements request for revision to any SIP shall be revision to satisfy the statutory that must be met by a VMT Offset SIP. considered separately in light of specific mandates, found in section 182 of the Under USEPA’s alternative technical, economic, and environmental Act, which requires the State to submit interpretation, the three required factors and in relation to relevant a SIP revision that identifies and adopts elements of section 182(d)(1)(A) are statutory and regulatory requirements. specific enforceable Transportation separable, and can be divided into three Under the Regulatory Flexibility Act, Control Measures (TCM) to offset any separate submissions that could be 5 U.S.C. 600 et seq., USEPA must growth in emissions from growth in submitted on different dates. Section prepare a regulatory flexibility analysis VMT, or number of vehicle trips, in 179(a) of the Act, in establishing how assessing the impact of any proposed or severe ozone nonattainment areas. The USEPA would be required to apply final rule on small entities. 5 U.S.C. 603 USEPA received no public comments on mandatory sanctions if a State fails to and 604. Alternatively, USEPA may the above proposed approval. On May 5, submit a full SIP, also provides that the certify that the rule will not have a 1995, USEPA finalized the first element sanctions clock starts if a State fails to significant economic impact on a of the VMT offset program for the submit one or more SIP elements, as substantial number of small entities. Milwaukee area. This rule finalizes the determined by the Administrator. The Small entities include small businesses, approval of the second element of the USEPA believes that this language small not-for-profit enterprises, and VMT offset program for the Milwaukee provides USEPA the authority to government entities with jurisdiction area. determine that the different elements of over populations of less than 50,000. EFFECTIVE DATE: This action will be the SIP submissions are separable. The SIP approvals under section 110 effective October 11, 1995. Moreover, given the continued timing and subchapter I, part D, of the Act do ADDRESSES: Copies of the SIP revision, problems addressed above, USEPA not create any new requirements, but public comments and USEPA’s believes it is appropriate to allow States simply approve requirements that the responses are available for inspection at to separate the VMT Offset SIP into State is already imposing. Therefore, the following address: (It is three elements, each to be submitted at because the Federal SIP approval does recommended that you telephone different times: (1) The initial not impose any new requirements, I Michael Leslie at (312) 353–6680 before requirement to submit TCMs that offset certify that it does not have a significant visiting the Region 5 Office.) United growth in emissions; (2) the requirement impact on small entities affected. Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations 47089 Moreover, due to the nature of the § 52.2585 Control strategy: Ozone. public inspection during normal Federal-State relationship under the * * * * * business hours at the following Act, preparation of a regulatory (h) Approval—On November 15, locations. The interested persons flexibility analysis would constitute 1993, the Wisconsin Department of wanting to examine these documents Federal inquiry into the economic Natural Resources submitted a revision should make an appointment with the reasonableness of State action. The Act to the ozone State Implementation Plan. appropriate office at least 24 hours forbids USEPA to base its actions The submittal pertained to a plan for before the visiting day. concerning SIPs on such grounds. forecasting VMT in the severe ozone Air and Radiation Docket and Union Electric Co. v. USEPA, 427 U.S. nonattainment area of southeastern Information Center (Air Docket 6102), 246, 256–66 (1976). Wisconsin and demonstrated that U.S. Environmental Protection Under section 307(b)(1) of the Act, Transportation Control Measures would Agency, 401 M Street SW., petitions for judicial review of this not be necessary to meet the 15 percent Washington, DC 20460 action must be filed in the United States Rate-of-Progress milestone. Environmental Protection Agency, Court of Appeals for the appropriate [FR Doc. 95–22144 Filed 9–8–95; 8:45 am] Region 4, Air Programs Branch, 345 circuit by November 13, 1995. Filing a Courtland Street NE., Atlanta, GA BILLING CODE 6560±50±P petition for reconsideration by the 30365 Administrator of this final rule does not Commonwealth of Kentucky, Natural affect the finality of this rule for the 40 CFR Parts 52 and 81 Resources and Environmental purposes of judicial review nor does it Protection Cabinet, Department for extend the time within which a petition [KY±069±3±6904a; FRL±5277±2] Environmental Protection, Division for judicial review may be filed, and for Air Quality, 803 Schenkel Lane, Approval and Promulgation of shall not postpone the effectiveness of Frankfort, KY 40601. Implementation Plans and Designation such rule or action. This action may not FOR FURTHER INFORMATION CONTACT: of Areas for Air Quality Planning be challenged later in proceedings to Purposes; Commonwealth of Kentucky Scott Southwick of the EPA Region 4 enforce its requirements. (See Section Air Programs Branch at (404) 347–3555 307(b)(2)). AGENCY: Environmental Protection extension 4207 and at the above Under Sections 202, 203, and 205 of Agency (EPA). address. Reference file KY–69–3–6904. the Unfunded Mandates Reform Act of ACTION: Direct final rule. SUPPLEMENTARY INFORMATION: On 1995 (Unfunded Mandates Act), signed November 15, 1990, the Clean Air Act into law on March 22, 1995, EPA must SUMMARY: On November 13, 1992, the Amendments of 1990 (CAAA) were assess whether various actions Commonwealth of Kentucky through enacted. (Pub. L. 101–549, 104 Stat. undertaken in association with the Natural Resources and 2399, codified at 42 U.S.C. 7401–7671q). proposed or final regulations include a Environmental Protection Cabinet Under section 107(d)(1), in conjunction Federal mandate that may result in (Cabinet), submitted a maintenance plan with the Governor of Kentucky, EPA estimated costs of $100 million or more and a request to redesignate the designated the Lexington area as to the private sector, or to State, local, Lexington, Owensboro, Paducah, and nonattainment because the area violated Edmonson County areas from or tribal governments in the aggregate. the O3 standard during the period from EPA’s final action will relieve nonattainment to attainment for ozone 1987 through 1989 (See 56 FR 56694 requirements otherwise imposed under (O3). Under the Clean Air Act (CAA), (Nov. 6, 1991) and 57 FR 56762 (Nov. the Clean Air Act and, hence does not designations can be changed if sufficient 30, 1992), codified at 40 CFR 81.318). impose any federal intergovernmental data are available to warrant such The Lexington marginal O3 mandate, as defined in section 101 of changes and the redesignation request nonattainment area (nonattainment the Unfunded Mandates Act. This satisfies the criteria set forth in the area) more recently has ambient action also will not impose a mandate CAA. In this action, EPA is approving monitoring data that show no violations that may result in estimated costs of the redesignation to attainment of the of the O3 National Ambient Air Quality $100 million or more to either State, Lexington area (Fayette and Scott Standards (NAAQS), during the period local, or tribal governments in the counties) and the associated from 1989 through 1991. In addition, aggregate, or to the private sector. maintenance plan because it meets the there have been no violations reported maintenance plan and redesignation List of Subjects in 40 CFR Part 52 for the 1992, 1993, or 1994 O3 seasons. requirements. EPA has approved the Therefore, in an effort to comply with Environmental protection, Air requests to redesignate to attainment the amended CAA and to ensure pollution control, Ozone. and maintenance plans for the continued attainment of the NAAQS, on Dated: August 17, 1995. Owensboro, Edmonson County and November 13, 1992, the Cabinet Paducah areas. In this action, EPA is Valdas V. Adamkus, submitted for parallel processing an O3 also approving the 1990 base year Regional Administrator. maintenance SIP for the nonattainment inventory for the Lexington marginal O3 area and requested redesignation of the 40 CFR part 52, is amended as nonattainment area. nonattainment area to attainment with follows: DATES: This final rule is effective respect to the O3 NAAQS and EPA November 13, 1995 unless adverse or PART 52Ð[AMENDED] found the request complete. On critical comments are received by November 24, 1992, the Cabinet 1. The authority citation for part 52 October 11, 1995. If the effective date is submitted the Marginal Ozone continues to read as follows: delayed, timely notice will be published Nonattainment Areas Projection in the Federal Register. Authority: 42 U.S.C 7401–7671q. Inventory 1990–2004 as an amendment ADDRESSES: Written comments on this to the SIP. On January 15, 1993, July 16, Subpart YYÐWisconsin action should be addressed to Scott 1993, February 28, 1994, August 29, Southwick, at the EPA Regional Office 1994, and June 14, 1995, the Cabinet 2. Section 52.2585 is amended by listed below. Copies of the documents submitted revisions addressing public adding paragraph (h) to read as follows: relative to this action are available for and/or EPA comments on the 47090 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations redesignation request, maintenance 1. The Area Must Have Attained the O3 fulfilled the applicable requirements of plan, and projection inventory. NAAQS part D. Under part D, an area’s On May 7, 1993, Region 4 determined The Cabinet’s request is based on an classification indicates the requirements that the information received from the analysis of quality assured ambient air to which it will be subject. Subpart 1 of part D sets forth the basic nonattainment Cabinet constituted a complete quality monitoring data which is requirements applicable to all redesignation request under the general relevant to the maintenance plan and to nonattainment areas, classified as well completeness criteria of 40 CFR 51, the redesignation request. Ambient air quality monitoring data for calendar as nonclassifiable. Subpart 2 of part D appendix V, sections 2.1 and 2.2. establishes additional requirements for However, for purposes of determining year 1989 through calendar year 1991 show an expected exceedance rate of O3 nonattainment areas classified under what requirements are applicable for table 1 of section 181(a). The Lexington less than 1.0 per year of the O3 NAAQS redesignation purposes, EPA believes it in the marginal nonattainment area. (See nonattainment area was classified as is necessary to identify when the 40 CFR 50.9 and appendix H.) In marginal (See 56 FR 56694, codified at Cabinet first submitted a redesignation addition, there were no violations 40 CFR 81.318). The Commonwealth of request that meets the completeness Kentucky submitted their request for reported for the 1992, 1993, and 1994 O3 criteria. EPA noted in a previous policy seasons and there have been no redesignation of the marginal memorandum that parallel processing violations to date in 1995. Because the nonattainment area prior to November requests for submittals under the nonattainment area has complete 15, 1992. Therefore, in order to be amended CAA, including redesignation quality-assured data showing no redesignated to attainment, the submittals, would not be determined violations of the standard over the most Commonwealth of Kentucky must meet complete. See ‘‘State Implementation recent consecutive three calendar year the applicable requirements of subpart 1 Plan (SIP) Actions Submitted in period, the area has met the first of part D, specifically sections 172(c) Response to Clean Air Act (Act) statutory criterion of attainment of the and 176, but is not required to meet the applicable requirements of subpart 2 of Deadlines,’’ Memorandum from John O3 NAAQS. The Commonwealth of Calcagni to Air Programs Division Kentucky has committed to continue part D, which became due on or after November 15, 1992. Directors, Regions I–X, dated October monitoring the nonattainment area in 28, 1992 (Memorandum). The rationale accordance with 40 CFR 58. B1. Subpart 1 of Part D for this conclusion was that the parallel 2. The Area Has Met All Applicable Under section 172(b), the section processing exception to the Requirements Under Section 110, and 172(c) requirements are applicable as completeness criteria (40 CFR Part 51, Part D of the Act determined by the Administrator, but no appendix V, section 2.3) was not On January 25, 1980, August 7, 1981, later than three years after an area has intended to extend statutory due dates November 24, 1981, November 30, 1981, been designated to nonattainment. EPA for mandatory submittals. (See and March 30, 1983, EPA fully has not determined that these Memorandum at 3–4). However, since approved Kentucky’s SIP as meeting the requirements were applicable to O3 requests for redesignation are not requirements of section 110(a)(2) and nonattainment areas on or before mandatory submittals under the CAA, part D of the 1977 CAA (45 FR 6092, 46 November 13, 1992, the date that the EPA believed it appropriate to change FR 40188, 46 FR 57486, 46 FR 58080, Commonwealth of Kentucky submitted its policy with respect to redesignation and 48 FR 13168). The approved control a complete redesignation request for the submittals to conform to the existing strategy did not result in attainment of marginal nonattainment area. Therefore, the Commonwealth of Kentucky was not completeness criteria (58 FR 38108 (July NAAQS for O3. Additionally, the 15, 1993)). Therefore, EPA believes, the amended CAA revised section required to meet these requirements for purposes of redesignation. The parallel processing exception to the 182(a)(2)(A), 110(a)(2) and, under part Lexington area currently has a fully completeness criteria may be applied to D, revised section 172 and added new approvable New Source Review (NSR) redesignation request submittals, at least requirements for all nonattainment areas. Therefore, for purposes of program which was last revised on June until such time as the EPA decides to 23, 1994 (59 FR 32343). Upon revise that exception. The Cabinet redesignation, to meet the requirement that the SIP contain all applicable redesignation of the area to attainment, submitted a redesignation request and a the Prevention of Significant maintenance plan on November 13, requirements under the CAA, EPA reviewed the Kentucky SIP to ensure Deterioration (PSD) provisions 1992. When the maintenance plan that it contains all measures due under contained in part C of title I are became state effective on June 14, 1995, the amended CAA prior to or at the time applicable. On January 25, 1978; the Commonwealth of Kentucky no the Commonwealth of Kentucky September 1, 1989; November 6, 1989; longer needed parallel processing for submitted its redesignation request. November 13, 1989; November 28, 1989; the redesignation request and February 7, 1990; and June 23, 1994, the maintenance plan. A. Section 110 Requirements EPA approved revisions to the The Kentucky redesignation request Although section 110 was amended Commonwealth of Kentucky’s PSD for the nonattainment areas meets the by the CAA of 1990, the Kentucky SIP program (43 FR 3360, 54 FR 36307, 54 FR 46613, 54 FR 47211, 54 FR 48887, five requirements of section 107(d)(3)(E) for the marginal nonattainment area meets the requirements of amended 55 FR 4169 and 59 FR 32343). for redesignation to attainment. The Section 176(c) of the CAA requires following is a brief description of how section 110(a)(2). A number of the requirements did not change in states to revise their SIPs to establish the Commonwealth of Kentucky has substance and, therefore, EPA believes criteria and procedures to ensure that fulfilled each of these requirements. that the pre-amendment SIP met these Federal actions, before they are taken, Because the maintenance plan is a requirements. conform to the air quality planning critical element of the redesignation goals in the applicable state SIP. The request, EPA will discuss its evaluation B. Part D Requirements requirement to determine conformity of the maintenance plan under its Before the nonattainment area may be applies to transportation plans, analysis of the redesignation request. redesignated to attainment, it must have programs and projects developed, Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations 47091 funded or approved under Title 23 EPA was required to classify O3 emissions statement program is not a U.S.C. or the Federal Transit Act nonattainment areas according to the requirement for the Lexington area. (‘‘transportation conformity’’), as well as severity of their problem. On November (4) New Source Review (NSR) to all other Federal actions (‘‘general 6, 1991 (56 FR 56694), the Lexington conformity’’). Section 176 further area was designated as marginal O3 The CAA required all classified provides that the conformity revisions nonattainment. Because this area is nonattainment areas to meet several to be submitted by states must be marginal, the area must meet section requirements regarding NSR, including consistent with Federal conformity 182(a) of the CAA. EPA has analyzed provisions to ensure that increased regulations that the CAA required EPA the SIP and determined that it is emissions of VOCs compounds will not to promulgate. Congress provided for consistent with the requirements of result from any new or major source the state revisions to be submitted by amended section 182. Below is a modifications and a general offset rule. November 15, 1992, one year after the summary of how the area has meet the A SIP revision incorporating these date for promulgation of final EPA requirements of these sections. requirements was due November 15, conformity regulations which were due 1992. This request to redesignate was (1) Emissions Inventory November 15, 1991. When that date submitted prior to the November 15, passed without such promulgation, The CAA required an inventory of all 1992, NSR deadline. Therefore, the NSR EPA’s General Preamble for the actual emissions from all sources as program is not a requirement for the Implementation of Title I informed described in section 172(c)(3) by Lexington area. states that its conformity regulations November 15, 1992. On November 13, would establish a submittal date [see 57 1992, the Cabinet submitted an emission 3. The Area Has a Fully Approved SIP FR 13498, 13557 (April 16, 1992)]. inventory on the Lexington area. This Under Section 110(k) of the CAA The EPA promulgated final emission inventory is being approved in Based on the approval of provisions transportation conformity regulations on this notice. under the pre-amended CAA and EPA’s November 24, 1993, (58 FR 62188) and (2) Reasonably Available Control prior approval of SIP revisions under general conformity regulations on Technology (RACT) the amended CAA, EPA has determined November 30, 1993 (58 FR 63214). that Kentucky has a fully approved O3 These conformity rules require that The CAA also amended section SIP under section 110(k) for the states adopt both transportation and 182(a)(2)(A), in which Congress marginal nonattainment areas, which general conformity provisions in the SIP statutorily adopted the requirement that also meets the applicable requirements for areas designated nonattainment or O3 nonattainment areas fix their of section 110 and part D as discussed subject to a maintenance plan approved deficient Reasonably Available Control above. under CAA section 175A. Pursuant to Technology (RACT) rules for O3. Areas section 51.396 of the transportation designated nonattainment before 4. The Air Quality Improvement Must conformity rule and section 51.851 of amendment of the CAA and which Be Permanent and Enforceable the general conformity rule, the retained that designation and were Several control measures have come Commonwealth of Kentucky is required classified as marginal or above as of into place since the nonattainment area to submit a SIP revision containing enactment are required to meet the violated the O3 NAAQS. Of these transportation conformity criteria and RACT Fix-ups requirement. The control measures, the reduction of fuel procedures consistent with those Lexington area was not designated volatility from 11.4 psi to 8.6 psi, as established in the Federal rule by nonattainment prior to 1990 and was measured by the Reid Vapor Pressure November 25, 1994. Similarly, Kentucky classified as marginal O3 nonattainment (RVP), and fleet turnover produced the is required to submit a SIP revision pursuant to the 1990 CAA. Therefore, most significant decreases in VOC containing general conformity criteria this area is not subject to the RACT fix- emissions. The table below summarizes and procedures consistent with those up requirement. However, Kentucky total emissions for VOCs. The difference established in the Federal rule by chose to apply RACT on all major between 1988 and 1990 are actual December 1, 1994. Because the sources which commenced on or after permanent and enforceable emission Commonwealth requested redesignation the effective date of a particular RACT reductions which are responsible for the of the Lexington area prior to the rule. Kentucky submitted VOC RACT recent air quality improvement in the deadline for these submittals, they are SIP revisions through the Cabinet to areas. The VOC emissions in the base not applicable requirements under EPA on February 12, 1992; October 20, year are not artificially low due to local section 107(d)(3)(E)(v) and, thus, do not 1992; February 17, 1993; and March 4, economic downturn. affect approval of this redesignation 1993. Action was taken December 12, request. 1993, to approve the SIP revision REDUCTIONS IN VOC EMISSIONS FROM On February 24, 1994, the submitted on February 12, 1992. Action 1988 TO 1990 Commonwealth of Kentucky revised was taken June 23, 1994, to approve the their maintenance plan to commit to SIP revisions submitted on October 20, VOCs (tpd) revise the SIP by November 25, 1994, to 1992, February 17, 1993, and March 4, MSA be consistent with the final Federal 1993. 1988 1990 1990± regulations on conformity. In addition, 1988 (3) Emissions Statements the Division for Air Quality and the Lexington ...... 86.31 63.79 22.52 Kentucky Transportation Cabinet are The CAA required that the SIP be cooperating in adopting regulations revised by November 15, 1992, to require stationary sources of oxides of 5. The Area Must Have a Fully consistent with the final conformity Approved Maintenance Plan Pursuant regulation. nitrogen (NOX) and VOCs to provide the State with a statement showing actual to Section 175A of the CAA B2. Subpart 2 of Part D emissions each year. This request to Section 175A of the CAA sets forth The CAA was amended on November redesignate was submitted prior to the the elements of a maintenance plan for 15, 1990, Pub. L. 101–549, 104 Stat. November 15, 1992, emissions areas seeking redesignation from 2399, codified at 42 U.S.C. 7401–7671q. statement deadline. Therefore, the nonattainment to attainment. The plan 47092 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations must demonstrate continued attainment marginal nonattainment area because The Commonwealth of Kentucky of the applicable NAAQS for at least ten EPA finds that the Commonwealth of submittal contains the detailed years after the Administrator approves a Kentucky’s submittal meets the inventory data and summaries by redesignation to attainment. Eight years requirements of section 175A. county and source category. This after the redesignation, the State must A. Emissions Inventory—Base Year comprehensive base year emissions submit a revised maintenance plan Inventory inventory was submitted in the SIP Air which demonstrates attainment for the Pollutant Inventory Management On November 13, 1992, the ten years following the initial ten-year System (SAMS) format. Finally, this period. To provide for the possibility of Commonwealth of Kentucky submitted comprehensive inventories of VOC, inventory was prepared in accordance future NAAQS violations, the with EPA guidance. A summary of the NOX, and CO emissions for the maintenance plan must contain Lexington marginal nonattainment area. base year and projected maintenance contingency measures, with a schedule The inventories included biogenic, area, year inventories for the Lexington area for implementation, adequate to assure stationary, and mobile sources using is included in this notice for VOCs and prompt correction of any air quality 1990 as the base year for calculations to NOX. The CO and the biogenic VOC problems. demonstrate maintenance. The 1990 values are shown below and are a part In this notice, EPA is approving the inventory is considered representative of the 1990 base year emission Commonwealth of Kentucky’s of attainment conditions because the O3 inventory. This notice is approving the maintenance plan for the Lexington NAAQS was not violated during 1990. base year inventory. CO EMISSION INVENTORY SUMMARY FOR 1990 [Tons per day] Non- Point Area Mobile road Total Lexington ...... 0.0 3.52 265.19 57.40 326.11 BIOGENIC EMISSION INVENTORY SUMMARY FOR 1990 [Tons per day] Biogenic Lexington 1990 Emissions ...... 24.1 B. Demonstration of Maintenance—Projected Inventories Below, totals for VOC and NOX emissions were projected from the 1990 base year out to 2004. These projected inventories were prepared in accordance with EPA guidance. As indicated in the following tables, increases in VOC and NOX emissions are projected in the Lexington nonattainment area. LEXINGTON VOC EMISSION INVENTORY SUMMARY [Tons per day] 1990 1993 1996 1999 2002 2004 Point ...... 12.39 12.63 17.77 17.21 16.85 16.68 Area ...... 14.36 14.53 14.71 14.88 15.06 15.18 Nonroad ...... 11.06 11.21 11.36 11.51 11.66 11.77 Mobile ...... 25.98 24.86 24.38 24.69 25.13 26.03 Total ...... 63.79 63.23 68.22 68.29 68.70 69.66 LEXINGTON NOX Emission Inventory Summary [Tons per day] 1990 1993 1996 1999 2002 2004 Point ...... 1.98 2.01 2.03 2.05 2.07 2.09 Area ...... 0.34 0.34 0.35 0.35 0.36 0.36 Nonroad ...... 8.16 8.27 8.39 8.50 8.62 8.70 Mobile ...... 22.06 21.23 20.98 20.95 20.85 21.71 Total ...... 32.54 31.85 31.75 31.85 31.90 32.86 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations 47093 VOC AND NOX PROJECTED contains a contingency to implement The EPA is publishing this action EMISSIONS CHANGES RACT on existing major sources in the without prior proposal because the area where the violation occurred Agency views this as a noncontroversial VOCs NOX within ninety (90) days. RACT was not amendment and anticipates no adverse required for this nonattainment area comments. However, in a separate Lexington ...... 9.20% 0.98% because it was designated as a marginal document in this Federal Register nonattainment area pursuant to the publication, the EPA is proposing to Because there were increases in VOC CAA. EPA finds that the contingency approve the SIP revision should adverse and NOX emissions, Kentucky was measures provided in the or critical comments be filed. This required to model to demonstrate Commonwealth of Kentucky’s submittal action will be effective November 13, maintenance of the O3 standard despite meet the requirements of section 1995 unless, by October 11, 1995, emissions growth. The Empirical 175A(d) of the CAA. adverse or critical comments are Kinetics Modeling Approach (EKMA) received. was the model used. EKMA models E. Subsequent Maintenance Plan If the EPA receives such comments, Nonmethane Organic Compounds Revisions this action will be withdrawn before the (NMOC) and NMOC data were available In accordance with section 175A(b) of effective date by publishing a in 1989. For this reason, the model was the CAA, the Commonwealth of subsequent document that will run using meteorological data from June Kentucky has agreed to submit a revised withdraw the final action. All public 23, June 26, and July 18, 1989. These maintenance SIP eight years after the comments received will then be days correspond to the highest ozone marginal nonattainment areas addressed in a subsequent final rule monitor readings for which on-site redesignate to attainment. Such revised based on this action serving as a NMOC were available. The EKMA SIP will provide for maintenance for an proposed rule. The EPA will not modeling projected O3 values of 0.106 additional ten years. institute a second comment period on parts per million (ppm) for June 23, this action. Any parties interested in 1989, .116 ppm for July 26, 1989, and Final Action commenting on this action should do so .064 ppm for July 18, 1995. EPA is approving Lexington’s O at this time. If no such comments are The modeling indicated that the 3 maintenance plan because it meets the received, the public is advised that this future mix of emissions produced ozone requirements of section 175A. The EPA action will be effective November 13, levels below the federal O3 standard. is redesignating the Lexington 1995. Thus, the analysis indicated that the Under section 307(b)(1) of the CAA, nonattainment area to attainment for O Lexington area should continue to 3 42 U.S.C. 7607 (b)(1), petitions for because the Commonwealth of maintain the standard throughout the judicial review of this action must be Kentucky has demonstrated compliance maintenance period. filed in the United States Court of with the requirements of section Appeals for the appropriate circuit by C. Verification of Continued Attainment 107(d)(3)(E) for redesignation. In November 13, 1995. Filing a petition for addition, EPA is approving the 1990 Continued attainment of the O3 reconsideration by the Administrator of NAAQS in the marginal nonattainment base year emission inventory for the this final rule does not affect the finality areas depends, in part, on the Lexington nonattainment area. Nothing of this rule for purposes of judicial Commonwealth of Kentucky’s efforts in this action should be construed as review nor does it extend the time toward tracking indicators of continued permitting or allowing or establishing a within which a petition for judicial attainment during the maintenance precedent for any future request for review may be filed, and shall not period. The Commonwealth of revision to any SIP. Each request for postpone the effectiveness of such rule Kentucky’s contingency plan is revision to the SIP shall be considered or action. This action may not be triggered by two indicators, the separately in light of specific technical, challenged later in proceedings to emissions inventory for interim years economic, and environmental factors enforce its requirements. (See section exceeding the baseline emission and in relation to relevant statutory and 307(b)(2) of the Act, 42 U.S.C. 7607 inventory by more than 10% or an air regulatory requirements. (b)(2).) quality violation. As stated in the The O3 SIP is designed to satisfy the The OMB has exempted these actions maintenance plan, the Cabinet will be requirements of part D of the CAA and from review under Executive Order developing these emissions inventories to provide for attainment and 12866. every three years beginning in 1996. maintenance of the O3 NAAQS. This Nothing in this action shall be These periodic inventories will help to final redesignation should not be construed as permitting or allowing or verify continued attainment. interpreted as authorizing the establishing a precedent for any future Commonwealth of Kentucky to delete, request for a revision to any SIP. Each D. Contingency Plan alter, or rescind any of the VOC or NOX request for revision to the SIP shall be The level of VOC and NOX emissions emission limitations and restrictions considered separately in light of specific in the nonattainment area will largely contained in the approved O3 SIP. technical, economic, and environmental determine its ability to stay in Changes to O3 SIP VOC regulations factors and in relation to relevant compliance with the O3 NAAQS in the rendering them less stringent than those statutory and regulatory requirements. future. Despite the Commonwealth’s contained in the EPA approved plan Under the Regulatory Flexibility Act, best efforts to demonstrate continued cannot be made unless a revised plan 5 U.S.C. 600 et seq., EPA must prepare compliance with the NAAQS, the for attainment and maintenance is a regulatory flexibility analysis ambient air pollutant concentrations submitted to and approved by EPA. assessing the impact of any proposed or may exceed or violate the NAAQS. Unauthorized relaxations, deletions, final rule on small entities. 5 U.S.C. 603 Therefore, the Commonwealth of and changes could result in both a and 604. Alternatively, EPA may certify Kentucky has provided contingency finding of nonimplementation (section that the rule will not have a significant measures with a schedule for 173(b) of the CAA) and in a SIP impact on a substantial number of small implementation in the event of a future deficiency call made pursuant to section entities. Small entities include small O3 air quality problem. The plan 110(a)(2)(H) of the CAA. businesses, small not-for-profit 47094 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations enterprises, and government entities local, or tribal governments in the (i) Incorporation by reference. with jurisdiction over populations of aggregate or to the private sector. (A) Commonwealth of Kentucky less than 50,000. List of Subjects Attainment Demonstration and Ten Redesignation of an area to attainment Year Maintenance Plan for all areas under section 107(d)(3)(E) of the CAA 40 CFR Part 52 designated Marginal Nonattainment for does not impose any new requirements Environmental protection, Air Ozone. The effective date is January 15, on small entities. Redesignation is an pollution control, Carbon monoxide, 1993. action that affects the status of a Hydrocarbons, Incorporation by (B) Table 6–6 Biogenic Emissions geographical area and does not impose reference, Intergovernmental relations, Fayette County, Kentucky. The effective any regulatory requirements on sources. Nitrogen dioxide, Ozone, Reporting and date is January 15, 1993. The Administrator certifies that the recordkeeping requirements. (C) Table 6–7 Biogenic Emissions, approval of the redesignation request Scott, Kentucky. The effective date is 40 CFR Part 81 will not affect a substantial number of January 15, 1993. small entities. Air pollution control. (ii) Other material. (A) February 28, 1994, letter from Unfunded Mandates Dated: August 8, 1995. John E. Hornback, Director, Division for R.F. McGhee, Under Sections 202, 203, and 205 of Air Quality to Mr. Doug Neeley, Chief, Acting Regional Administrator. the Unfunded Mandates Reform Act of Air Programs Branch. 1995 (‘‘Unfunded Mandates Act’’), Chapter I, title 40, Code of Federal (B) October 4, 1994, letter from Phillip signed into law on March 22, 1995, EPA Regulations, is amended as follows: J. Shepherd, Secretary, Natural must undertake various actions in Resources and Environmental association with proposed or final rules PART 52Ð[AMENDED] Protection Cabinet to John H. that include a Federal mandate that may 1. The authority citation for part 52 Hankinson, Regional Administrator, result in estimated costs of $100 million continues to read as follows: U.S. EPA Region 4. or more to the private sector, or to State, Authority: 42 U.S.C. 7401–7671q. (C) January 15, 1993, letter from local, or tribal governments in the Phillip J. Shepherd, Secretary, Natural aggregate. Subpart SÐKentucky Resources and Environmental Through submission of this state Protection Cabinet to Patrick M. Tobin, 2. Section 52.920 is amended by implementation plan or plan revision, Acting Regional Administrator, U.S. adding paragraph (c)(76) to read as the State and any affected local or tribal EPA Region 4. follows: governments have elected to adopt the * * * * * program provided for under Section 107 § 52.920 Identification of plan. PART 81Ð[AMENDED] of the Clean Air Act. These rules may * * * * * bind State, local and tribal governments (c) * * * 1. The authority citation for part 81 to perform certain actions and also (76) The maintenance plan and for the continues to read as follows: require the private sector to perform Lexington area which include Fayette certain duties. To the extent that the and Scott Counties submitted by the Authority: 42.U.S.C. 7401–7671q. rules being approved by this action will Commonwealth of Kentucky Natural 2. In section 81.318, the ozone table impose no new requirements; such Resources and Environmental is amended by removing the Lexington- sources are already subject to these Protection Cabinet on November 13, Fayette Area and its entries in the first regulations under State law. 1992, November 24, 1992, March 10, alphabetical listing and by adding in Accordingly, no additional costs to 1993, July 16, 1993, March 3, 1994, and alphabetical order entries for ‘‘Fayette State, local, or tribal governments, or to August 29, 1994, September 28, 1994 County’’ and ‘‘Scott County’’ to the the private sector, result from this and June 14, 1995, as part of the second listing of counties to read as action. EPA has also determined that Kentucky SIP. The 1990 Baseline follows: this final action does not include a Emission Inventory for the Lexington mandate that may result in estimated area which include Fayette and Scott § 81.318 Kentucky. costs of $100 million or more to State, Counties. * * * * * KENTUCKY-OZONE Designated area Designation Classification Date 1 Type Date 1 Type Rest of state Unclassifiable/Attainment ******* Fayette County ...... November 13, 1995. ******* Scott County ...... November 13, 1995. ******* 1 This date is November 15, 1990, unless otherwise noted. Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations 47095 [FR Doc. 95–22156 Filed 9–8–95; 8:45 am] the American Society for Testing and which they would not normally be BILLING CODE 6560±50±P Materials (ASTM) Method D 2369–81, exposed and over estimate potential which the Environmental Protection emissions. Agency believed would apply to all The EPA does not agree with the 40 CFR Part 60 coatings. However, that method was not commenter’s argument that these steps [AD±FRL±5287±7] applicable to ultraviolet (UV) radiation- over estimate potential emissions. The cured coatings and this amendment to purpose of the cure test is to ensure that Standards of Performance for New Method 24 will incorporate ASTM the coating is properly cured before Stationary Sources Appendix AÐ Method D 5403–93, which does contain being placed in the oven. If the coating Reference Methods; Amendments to those procedures. is not properly cured before being Method 24 for the Determination of This rulemaking does not impose placed in the oven, the emissions will Volatile Matter Content, Water Content, emission measurement requirements be biased high. The purpose of placing Density, Volume Solids, and Weight beyond those specified in the current the cured coating in the oven is to Solids of Surface Coatings regulation, nor does it change any determine the VOC emissions that will emission standard. Rather, the be emitted over time. Even after a AGENCY: Environmental Protection rulemaking would simply amend an Agency (EPA). coating is cured under normal existing test method associated with procedures, VOC are released during the ACTION: Final rule. emission measurement requirements life time of the coating. that would apply irrespective of this SUMMARY: This rule establishes rulemaking. Two commenters were concerned that procedures for the determination of EPA looks at this modification to volatile matter content, density, volume II. Public Participation Method 24 as a complete ‘‘fix it’’ for the solids, and water content for non thin The opportunity to hold a public test method. They both noted section film ultraviolet radiation-cured coatings. hearing on February 8, 1995 at 10 a.m. 1.4 of ASTM D 5403–93 which states Method 24 refers to the American was present in the proposal notice, but that the method may not be applicable Society for Testing and Materials no one desired to make an oral to radiation curable materials wherein (ASTM) procedures for the presentation. The public comment the volatile material is water. determination of volatile matter content, period was from January 9, 1995 to The EPA is not trying to imply that density, volume solids, weight solids, March 7, 1995. this modification makes Method 24 and water content of surface coatings. perfect. The EPA recognizes the This ASTM method excluded ultraviolet III. Significant Comments and Changes to the Proposed Rulemaking limitations of ASTM D 5403–93 as radiation-cured coatings which was not stated in Section 1 of the method and EPA’s intent. Therefore, EPA is revising Seven comment letters were received also its limitations with respect to thin Method 24 to apply to non thin film from the proposal rulemaking. The film radiation cured coating as ultraviolet radiation-cured coatings. major comments and responses are previously discussed in this preamble. EFFECTIVE DATE: September 11, 1995. summarized in this preamble. However, Method 24 is the best method Three comments believe that ASTM D The incorporation by reference of currently available for determining the 5403–93 is not applicable to thin film certain publications listed in the VOC content of coatings and inks. The UV cured coatings and inks. They noted regulation is approved by the Director of EPA is always investigating new ways to that to meet the minimum sample size the Federal Register as of September 11, improve its current test methods requirement of 0.2 grams, at the coatings 1995. including Method 24. recommended thickness, the substrate ADDRESSES: Docket. Docket No. A–94– 37, containing material relevant to this would be too large to weigh on normal IV. Administrative Requirements laboratory balances. They requested that rulemaking, is available for public A. Docket inspection and copying between 8:30 the method be modified to state this a.m. and Noon, and 1:30 and 3:30 p.m., limitation. The docket is an organized and The EPA agrees that the method Monday through Friday, at EPA’s Air complete file for all information should be modified to state that ASTM Docket Section, Room M1500, First submitted or otherwise considered by D 5403–93 is not applicable to thin film Floor, Waterside Mall, Gallery 1, 401 M EPA in the development of this UV cured coatings and inks. For this Street, SW., Washington, DC 20460. A proposed rulemaking. The principle method a thin film UV cured coating or reasonable fee may be charged for purposes of the docket are: (1) To allow ink is one which will not allow the copying. interested parties to identify and locate tester to apply at least 0.2 g of coating documents so that they can effectively FOR FURTHER INFORMATION CONTACT: to the substrate at the supplier Candace Sorrell at (919) 541–1064, participate in the rulemaking process recommended film thickness. Revisions and (2) to serve as the record in case of Source Characterization Group A (MD– have been made to add the equation 19), Emissions, Monitoring, and judicial review (except for interagency used to determine if ASTM D 5403–93 review materials). Analysis Division, US Environmental is applicable. The revisions also include Protection Agency, Research Triangle the requirement of a minimum size [Section 307(d)(7)(A)]. Park, North Carolina 27711. substrate before a coating can be B. Executive Order 12866 SUPPLEMENTARY INFORMATION: classified thin film for this method. One commenter requested that the Under Executive Order 12866 (58 FR I. The Rulemaking cure test at 50 percent exposure and the 51735 (October 4, 1993)), the Agency Method 24 was intended to be used oven drying portion of ASTM D 5403– must determine whether a regulatory for measuring volatile organic 93 be deleted from the proposed Method action is ‘‘significant’’ and therefore compounds content of all coatings that 24 amendments for UV cured coatings. subject to Office of Management and are intended for either ambient or The commenter believes that these steps Budget (OMB) review and the baking film foundation. When Method should be deleted because they expose requirements of this Executive Order. 24 was published in 1980 it referenced the cured coatings to conditions to The Order defines ‘‘significant 47096 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations regulatory action’’ as one that is likely effective, or least burdensome approved September 11, 1995 for to result in a rule that may: alternative. Because small governments Method 24 of Appendix A. (1) Have an annual effect on the will not be significantly or uniquely * * * * * economy of $100 million or more or affected by this rule, the Agency is not 3. In Method 24 of Appendix A, adversely affect in a material way the required to develop a plan with regard Section 3.1 is amended by removing the economy, a sector of the economy, to small governments. words ‘‘For all other coatings analyzed productivity, competition, jobs, the D. Regulatory Flexibility Act as follows’’: environment, public health or safety, or 4. In Method 24 of Appendix A, State, local, or tribal governments or The Regulatory Flexibility Act (RFA) Sections 3.2, 3.3, 3.4, 3.5, 3.6, 3.7 are communities; of 1980 requires the identification of redesignated as Sections 3.3, 3.4, 3.5, (2) create a serious inconsistency or potentially adverse impacts of Federal 3.6, 3.7, 3.8, respectively. otherwise interfere with an action taken regulations upon small business 5. In Method 24 of Appendix A, or planned by another agency; entities. The Act specifically requires Equations 24–1 through 24–4 are (3) materially alter the budgetary the completion of an RFA analysis in redesignated as Equations 24–2 through impact of entitlements, grants, user fees, those instances where small business 24–5, respectively. or loan programs, or the rights and impacts are possible. Because this 6. In Method 24 of Appendix A, obligation of recipients thereof; or rulemaking imposes no adverse (4) raise novel legal or policy issues newly redesignated Section 3.8.1, last economic impacts, an analysis has not sentence, ‘‘Section 3.4’’ is revised to arising out of legal mandates, the been conducted. Pursuant to the President’s priorities, or the principles read ‘‘Section 3.5’’. provision of 5 U.S.C. 605(b), I hereby 7. In Method 24 of Appendix A, set forth in the Executive Order. certify that the promulgated rule will Pursuant to the terms of Executive newly redesignated Section 3.8.2, not have an impact on small entities Order 12866, it has been determined second sentence, ‘‘Section 3.3’’ is because no additional costs will be that this rule is not ‘‘significant’’ revised to read ‘‘Section 3.4’’. incurred. because none of the listed criteria apply 8. In Method 24 of Appendix A, to this action. Consequently, this action E. Paperwork Reduction Act newly redesignated Section 3.8.2, third was not submitted to OMB for review sentence, ‘‘Section 3.4’’ is revised to This rule does not change any under Executive Order 12866. read ‘‘Section 3.5’’. information collection requirements 9. In Method 24 of Appendix A, C. Unfunded Mandates Act subject to Office of Management and newly redesignated Section 3.8.2.4, last Section 202 of the Unfunded Budget under the Paperwork Reduction sentence, ‘‘Equation 24–1’’ is revised to Mandates Reform Act of 1995 Act of 1980, 44 U.S.C. 3501 et seq. read ‘‘Equation 24–2’’. (‘‘Unfunded Mandates Act’’) (signed List of Subjects in 40 CFR Part 60 10. In Method 24 of Appendix A, into law on March 22, 1995) requires Sections 2.6, 3.2 and 3.9 are added to that the Agency prepare a budgetary Environmental protection, Air read as follows: impact statement before promulgating a pollution control, Incorporation by * * * * * rule that includes a Federal mandate reference, Intergovernmental relations, 2. * * * that may result in expenditure by State, Surface coating of metal furniture, 2.6 ASTM D 5403–93 Standard Test local, and tribal governments, in Automotive and light duty truck surface Methods for Volatile Content of aggregate, or by the private sector of coating operations, Graphic arts Radiation Curable Materials $100 million or more in any one year. industry publications rotogravure (incorporated by reference—see § 60.17). printing, Pressure sensitive tape and Section 204 requires the Agency to * * * * * label surface coating, Industrial surface establish a plan for obtaining input from 3.2 Non Thin-film Ultraviolet coating, Large appliances, Metal coil and informing, educating, and advising Radiation-cured Coating. To determine surface coating, Beverage can surface any small governments that may be volatile content of non thin-film coating industry, Flexible vinyl and significantly or uniquely affected by the ultraviolet radiation-cured (UV urethane coating and printing, Plastic rule. radiation-cured) coatings, follow the parts for business machine coatings Under section 205 of the Unfunded procedures in Section 3.9. Determine industry, Incorporation by reference, Mandates Act, the Agency must identify water content, density and solids Reporting and recordkeeping and consider a reasonable number of content of the UV-cured coatings requirements. regulatory alternatives before according to Sections 3.4, 3.5, and 3.6, promulgating a rule for which a Dated: August 23, 1995. respectively. The UV-cured coatings are budgetary impact statement must be Carol M. Browner, coatings which contain unreacted prepared. The Agency must select form Administrator. monomers that are polymerized by those alternatives the least costly, most exposure to ultraviolet light. To cost-effective, or least burdensome 40 CFR part 60 is amended as follows: determine if a coating or ink can be alternative that achieves the objectives 1. The authority citation for part 60 classified as a thin-film UV cured of the rule, unless the Agency explains continues to read as follows: coating or ink, use the following why this alternative is not selected or Authority: 42 U.S.C. 7401–7601. equation: the selection of this alternative is C=F A D Eq. 24–1 inconsistent with law. 2. In § 60.17 of Subpart A, by adding Because this proposed rule is a paragraph (a)(63) to read as follows: Where: estimated to result in the expenditure by A=Area of substrate, in 2, cm 2. § 60.17 Incorporation by reference. State, local, and tribal governments or C=Amount of coating or ink added to the private sector of less than $100 * * * * * the substrate, g. million in any one year, the Agency has (a) * * * D=Density of coating or ink, g/in 3 (g/ not prepared a budgetary impact (63) ASTM D 5403–93 Standard Test cm 3) statement or specifically addressed the Methods for Volatile Content of F=Manufacturer’s recommended film selection of the least costly, most cost- Radiation Curable Materials. IBR thickness, in (cm). Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations 47097 If C is less than 0.2 g and A is greater Information Center, US Environmental monitoring sites in the nonattainment than or equal to 35 in 2 (225 cm 2) then Protection Agency, 401 M Street, SW., area and entered into the Aerometric the coating or ink is considered a thin- (LE–131), Washington, DC 20460; and Information Retrieval System (AIRS). film UV radiation-cured coating for the Bureau of Air Management, This data will be reviewed to determine determining applicability of ASTM D Department of Environmental the area’s air quality status in 5403–93. Protection, State Office Building, 79 Elm accordance with EPA guidance at 40 Note: As noted in Section 1.4 of ASTM D Street, Hartford, CT 06106–1630. CFR Part 50, Appendix K. 5403–93, this method may not be applicable FOR FURTHER INFORMATION CONTACT: According to Appendix K, attainment to radiation curable materials wherein the Matthew B. Cairns, (617) 565–4982. of the annual PM10 standard is volatile material is water. For all other achieved when the annual arithmetic coatings not covered by Sections 3.1 or 3.2 SUPPLEMENTARY INFORMATION: mean PM10 concentration is equal to or analyze as follows: Background less than 50 µg/m3. Attainment of the 24-hour standard is determined by * * * * * Clean Air Act Requirements and EPA 3.9 UV-cured Coating’s Volatile calculating the expected number of Actions Concerning Designation and exceedances of the 150 µg/m3 limit per Matter Content. Use the procedure in Classification ASTM D 5403–93 (incorporated by year. The 24-hour standard is attained reference—see § 60.17) to determine the On the date of enactment of the Clean when the expected number of volatile matter content of the coating Air Act Amendments of 1990 (herein exceedances is 1.0 or less. A total of 3 except the curing test described in after referred to as ‘‘the Act’’), PM10 consecutive years of clean air quality NOTE 2 of ASTM D 5403–93 is areas meeting the qualifications of data is generally necessary to show required. § 107(d)(4)(B) of the Act were attainment of the 24-hour and annual designated nonattainment by operation * * * * * standards for PM10. A complete year of of law. [See generally, 42 USC section air quality data, as referred to in 40 CFR [FR Doc. 95–21527 Filed 9–8–95; 8:45 am] 7407(d)(4)(B).] These areas included all Part 50, Appendix K, is comprised of all BILLING CODE 6560±50±P former Group I areas and any other areas 4 calendar quarters with each quarter violating the PM10 standards prior to containing data from at least 75 percent January 1, 1989. On October 31, 1990 of the scheduled sampling days. 40 CFR Part 81 (55 FR 45799), EPA redefined a Group Under § 188(b)(2) a moderate area [CT±22±1±7078a; A±1±FRL±5271±5] I area for Connecticut as the City of New shall be reclassified as serious by Haven; the remainder of the state was operation of law after the statutory Clean Air Act Promulgation of designated as Group III. Subsequently, attainment date if the Administrator Reclassification of PM10 Nonattainment after enactment of the Act on November determines that the area has failed to AreasÐConnecticut; Approval of 1± 15, 1990, New Haven was designated attain the NAAQS. Under § 188(b)(2)(B) Year Extension of Attainment Date for moderate nonattainment for PM10 in 56 of the Act, the EPA must publish a New Haven FR 11101 (March 15, 1991). All other notice in the Federal Register areas not designated nonattainment at identifying those areas which failed to AGENCY: Environmental Protection enactment were designated attain the standard and must be Agency (EPA). unclassifiable. reclassified as serious by operation of ACTION: Direct final rule. States containing areas which were law. designated as moderate nonattainment SUMMARY: EPA is fully approving by operation of law under § 107(d)(4)(B) Application for a 1-year Extension of Connecticut’s request for a 1-year were required to develop and submit the Attainment Date extension of the attainment date for the SIPs to provide for the attainment of the If the State does not have the New Haven PM10 nonattainment area. PM10 NAAQS. Under § 189(a)(2), those necessary number of consecutive clean This action is based on monitored air SIP revisions were to be submitted years of data to show attainment of the quality data for the national ambient air within 1 year of enactment of the Act NAAQS, a State may apply for an quality standard for PM10 during the (November 15, 1991). The SIP revisions extension of the attainment date. years 1992–94. This action is being were to provide for implementation of Pursuant to § 188(d) of the Act, a State taken under the Clean Air Act. reasonable available control measures/ may apply for and EPA may grant a 1- DATES: This final rule is effective technology (RACM/RACT) by December year extension of the attainment date if November 13, 1995, unless notice is 10, 1993 and attainment of the PM10 the State has: (1) complied with the received by October 11, 1995 that NAAQS by December 31, 1994. requirements and commitments adverse or critical comments will be pertaining to the applicable submitted. If the effective date is Reclassification as Serious implementation plan for the area, and delayed, timely notice will be published Nonattainment (2) the area has measured no more than in the Federal Register. EPA has the responsibility, under 1 exceedance of the 24-hour PM10 ADDRESSES: Comments may be mailed to §§ 179(c) and 188(b)(2) of the Act, of standard in the year preceding the Susan Studlien, Acting Director, Air, determining within 6 months after extension year, and the annual mean Pesticides and Toxics Management December 31, 1994 whether initial concentration of PM10 in the area for Division, EPA-New England, JFK moderate PM10 nonattainment areas such year is less than or equal to the Federal Building (AAA), Boston, MA have attained the NAAQS. Section standard. If the State does not have the 02203–2211. Copies of the documents 179(c)(1) of the Act provides that these requisite number of years of clean air relevant to this action are available for determinations are to be based upon an quality data to show attainment and public inspection by appointment area’s ‘‘air quality as of the attainment does not apply or does not qualify for during normal business hours at the Air, date,’’ and § 188(b)(2) is consistent with an attainment date extension, the area Pesticides and Toxics Management this requirement. EPA will make the will be reclassified as serious by Division, EPA-New England, One determinations of whether an area’s air operation of law. Congress Street, 10th floor, Boston, MA; quality is meeting the PM10 NAAQS Section 188(d) of the Act provides Air and Radiation Docket and based upon air quality data gathered at that the Administrator ‘‘may’’ extend 47098 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations the attainment date for areas that meet for a 1-year extension of the attainment 1995 unless adverse or critical the minimum requirements specified date. The rationale for EPA’s approval comments are received by October 11, above. The provision does not dictate or action are detailed in the Technical 1995. compel that EPA grant extensions to Support Document (TSD), dated June If the EPA receives such comments, such areas. In exercising this 13, 1995. In summary, Connecticut has this action will be withdrawn before the discretionary authority for PM10 fulfilled the specific elements of that effective date by simultaneously nonattainment areas, EPA will examine guidance as follows: publishing a subsequent notice that will the air quality planning progress made A. Connecticut is implementing the withdraw the final action. All public in the moderate area. EPA will be EPA-approved PM10 SIP. comments received will then be disinclined to grant an attainment date B. New Haven has monitored no more addressed in a subsequent final rule extension unless a State has, in than 1 exceedance during 1994, the year based on this action serving as a substantial part, addressed its moderate preceding the extension year.1 proposed rule. The EPA will not PM10 planning obligations for the area. C. Connecticut has demonstrated that institute a second comment period on In order to determine whether the State RACT/RACM, embodied in 7 consent this action. Any parties interested in has substantially met these planning orders, have been adopted and commenting on this action should do so requirements the EPA will review the submitted in the form of a SIP revision at this time. If no such comments are States application for the attainment and are being implemented for New received, the public is advised that this date extension to determine whether the Haven. Furthermore, real emissions action will be effective on November 13, State has: (1) Adopted and substantially reductions have been achieved.2 1995. implemented control measures Connecticut’s extension request states Under Executive Order 12866, 58 FR submitted to address the requirement that indeed the area recorded no 51735 (October 4, 1993) EPA is required for implementing RACM/RACT in the exceedances of the PM10 NAAQS in to determine whether regulatory actions moderate nonattainment area; and (2) 1994, and is complying with the are significant and therefore should be that reasonable further progress is being applicable state implementation plan. subject to OMB review, economic met for the area. RFP for PM10 For further details regarding analysis, and the requirements of the nonattainment areas is determined to be Connecticut’s extension request and Executive Order. The Executive Order linear emissions reductions made on an how it meets EPA’s requirements, the defines a ‘‘significant regulatory action’’ annual basis which will provide reader should refer to the TSD dated as one that is likely to result in a rule progress toward the eventual attainment June 13, 1995. that may meet at least one of the four of the NAAQS in the area. Final Action criteria identified in section 3(f), If an extension is granted, at the end including, under paragraph (1), that the of the extension year, EPA will again EPA is approving an extension of the rule may ‘‘have an annual effect on the determine whether the area has attained PM10 attainment date for New Haven, economy of $100 million or more or the PM10 NAAQS. If the State still does Connecticut to December 31, 1995. adversely affect, in a material way, the EPA is publishing this action without not have 3 consecutive years of clean air economy, a sector of the economy, prior proposal because the Agency quality data, it may apply for a second productivity, competition, jobs, the views this as a noncontroversial 1-year extension of the attainment date. environment, public health or safety, or amendment and anticipates no adverse In order to qualify for the second 1-year State, local, or tribal governments or comments. However, in a separate extension of the attainment date, the communities.’’ document in this Federal Register State must satisfy the same The Agency has determined that the publication, EPA is proposing to requirements listed above for the first attainment date extension proposed approve the SIP revision should adverse extension. In addition, EPA will today would result in none of the effects or critical comments be filed. This consider the State’s PM10 planning identified in section 3(f). Attainment action will be effective November 13, progress for the area in a manner similar date extensions under § 188(d) of the to its evaluation of the first extension Act do not impose any new 1 A review of the PM10 air quality data for New requirements on any sectors of the request. However, EPA may grant no Haven shows air quality monitors for this area more than two 1-year extensions of the monitored 4 exceedances of the 24-hour PM10 economy; nor do they result in a attainment date to a single NAAQS during the 3-year period from 1992 to materially adverse impact on State, nonattainment area. [See § 188(d) of the 1994. All exceedances occurred in 1993 at the local, or tribal governments or Yankee Gas monitor site (AIRS Site ID 09–009– Act]. 0021). The area did not have any exceedances of the communities. Under the Regulatory Flexibility Act, Summary of Connecticut’s Extension PM10 NAAQS in 1994. 2 Section 189(c) requires that Part D SIPs include 5 U.S.C. 600 et seq., EPA must prepare Request quantitative milestones to document RFP towards a regulatory flexibility analysis On March 31, 1995, the Connecticut attainment. Every 3 years until EPA redesignates an assessing the impact of any proposed or area to attainment, States must report on whether Department of Environmental Protection milestones have been met. Connecticut’s SIP final rule on small entities. 5 U.S.C. 603 (Connecticut DEP) submitted a request commits CT DEP to submit quantitative milestone and 604. Alternatively, EPA may certify for a 1-year extension of the attainment and RFP reports to EPA every 3 years. For initial that the rule will not have a significant date for the New Haven initial moderate moderate PM10 nonattainment areas, the emissions impact on a substantial number of small reductions made between SIP submittal and the PM10 nonattainment area. attainment date will satisfy the first quantitative entities. Small entities include small EPA’s Air Quality Strategies and milestone. (See General Preamble 57 FR 13539.) businesses, small not-for-profit Standards Division (AQSSD) has Since EPA believes it is reasonable to key the first enterprises, and government entities prepared a guidance titled ‘‘Criteria for milestone to the SIP revision containing control with jurisdiction over populations of measures which will result in emission reductions Granting 1–Year Nonattainment Area and since the PM10 attainment date was less than less than 50,000. Attainment Dates, Making Attainment 3 years from the actual submittal date of CT DEP’s Under §§ 202, 203, and 205 of the Determinations, and Reporting on SIP revision, CT DEP submitted—and EPA is Unfunded Mandates Reform Act of 1995 Quantitative Milestones’’ (November 14, accepting—the emissions reductions associated (‘‘Unfunded Mandates Act’’), signed with the New Haven PM10 Attainment Plan SIP 1994 memorandum from AQSSD revision (submitted to EPA on March 22, 1994) as into law on March 22, 1995, EPA must Director Sally Shaver) which outlines meeting RFP and the first quantitative milestone for assess whether various actions how to assess the adequacy of requests New Haven. (See TSD dated March 27, 1995.) undertaken in association with Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations 47099 proposed or final regulations that and environmental factors and in EFFECTIVE DATE: October 1, 1995. include a Federal mandate that may relation to relevant statutory and FOR FURTHER INFORMATION CONTACT: Mr. result in estimated costs of $100 million regulatory requirements. Joseph Le Cren, (202) 358–0444. or more to the private sector, or to State, Under § 307(b)(1) of the Clean Air local, or tribal governments in the Act, petitions for judicial review of this SUPPLEMENTARY INFORMATION: aggregate. action must be filed in the United States Background EPA has determined, as discussed Court of Appeals for the appropriate earlier, that the finding that is the circuit by November 13, 1995. Filing a On May 25, 1995, a proposed rule to subject of this final action of failure to petition for reconsideration by the amend the NFS to add coverage on attain and grant a 1-year extension does Administrator of this final rule does not NASA’s Ombudsman Program was not impose any federal intergovernment affect the finality of this rule for the published in the Federal Register (60 mandate, as defined in section 101 of purposes of judicial review nor does it FR 27710) for comment. All comments the Unfunded Mandates Act. A finding extend the time within which a petition were reviewed. A change was made as that an area has failed to attain and for judicial review may be filed, and a result of the comments to substitute should be granted a 1-year extension of shall not postpone the effectiveness of the word ‘‘adjudication’’ for the attainment date consists of factual such rule or action. This action may not ‘‘arbitration’’ in the clause at 1852.7002. determinations based upon air quality be challenged later in proceedings to That change was made as the term considerations and the area’s enforce its requirements. [See ‘‘arbitration’’ could be read as being too compliance with certain prior § 307(b)(2).] restrictive in its meaning. In addition, requirements. Accordingly, no the word ‘‘Selection,’’ appearing in the additional costs to State, local, or tribal List of Subjects in 40 CFR Part 81 clause at 1852.215–84 was replaced governments, or to the private sector Environmental protection, Air with ‘‘Evaluation.’’ That change is due result from this action. This action also pollution control, Incorporation by to ‘‘Selection’’ being incorrect when the will not impose a mandate that may reference, Particulate matter, Reporting intention was to refer to NASA ‘‘Source result in estimated costs of $100 million and recordkeeping requirements. Evaluation Board.’’ or more to either State, local, or tribal Note: Incorporation by reference of the Impact governments in the aggregate, or to the State Implementation Plan for the State of private sector. Connecticut was approved by the Director of NASA certifies that this regulation Extensions of attainment dates under the Federal Register on July 1, 1982. will not have a significant economic § 188(d) do not create any new Dated: July 10, 1995. impact on a substantial number of small entities under Regulatory Flexibility Act requirements, but simply approve John P. DeVillars, requirements that the State is already (5 U.S.C. 601 et seq.). This rule does not Regional Administrator, EPA-New England. imposing. Therefore, because the federal impose any reporting or record keeping SIP-approval does not impose any new [FR Doc. 95–22132 Filed 9–8–95; 8:45 am] requirements subject to the Paperwork requirements, I certify that it does not BILLING CODE 6560±50±P Reduction Act. have a significant impact on any small List of Subjects in 48 CFR Parts 1803, entities affected. Moreover, due to the 1815, and 1852 nature of the federal-state relationship NATIONAL AERONAUTICS AND under the CAA, preparation of a SPACE ADMINISTRATION Government procurement. regulatory flexibility analysis would Tom Luedtke, 48 CFR Parts 1803, 1815, and 1852 constitute federal inquiry into the Deputy Associate Administrator for economic reasonableness of state action. Addition of Coverage to NASA FAR Procurement. The CAA forbids EPA to base its actions Supplement Coverage on NASA Accordingly, 48 CFR parts 1803, 1815, concerning SIPs on such grounds. Ombudsman Program and 1852 are amended as follows: Union Electric Co. v. USEPA, 427 US 1. The authority citation for 48 CFR 246, 256–66 (S.Ct. 1976); 42 USC § 7410 AGENCY: Office of Procurement, National parts 1803, 1815, and 1852 continues to (a)(2). Aeronautics and Space Administration read as follows: This action has been classified as a (NASA). Authority: 42 U.S.C. 2473(c)(1). Table 3 action by the Regional ACTION: Final rule. Administrator under the procedures PART 1803ÐIMPROPER BUSINESS SUMMARY: This rule amends the published in the Federal Register on PRACTICES AND PERSONAL regulations by adding coverage January 19, 1989 (54 FR 2214–2225), as CONFLICTS OF INTEREST revised by an October 4, 1993, concerning NASA’s Ombudsman memorandum from Michael H. Shapiro, Program. The Ombudsman Program will 2. In section 1803.104–5, the Acting Assistant Administrator for Air improve communications with introductory text of paragraph (c) is and Radiation. A future notice will interested parties. This rule sets forth a revised and (c)(11) is added to read as inform the general public of these clause for identification of the NASA follows: tables. The Office of Management and and installation ombudsmen to be Budget (OMB) has exempted this action included in solicitations and contracts. 1803.104±5 Disclosure, protection, and from review under Executive Order The clause also serves as the basis for marking of proprietary and source selection information. 12866. a statement to be included in Nothing in this action should be ‘‘Commerce Business Daily’’ * * * * * construed as permitting or allowing or announcements. In addition, the rule (c) Government employees serving in establishing a precedent for any future amends NASA’s coverage on the following positions are authorized request for revision to any state procurement integrity to include the access to proprietary or source selection implementation plan. Each request for NASA and installation ombudsmen as information, but only to the extent revision to the state implementation individuals authorized access to necessary to perform their official plan shall be considered separately in proprietary and source selection duties: light of specific technical, economic, information. * * * * * 47100 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations (11) Duly designated ombudsman. (End of Clause) king mackerel commercial fishery when * * * * * [FR Doc. 95–22364 Filed 9–8–95; 8:45 am] its allocation or quota has been reached, BILLING CODE 7510±01±M or is projected to be reached, by PART 1815ÐCONTRACTING BY publishing a document in the Federal NEGOTIATION Register. NMFS has determined that the commercial quota of 0.77 million 3. Subpart 1815.70 is added to read as DEPARTMENT OF COMMERCE pounds (0.35 million kg) for the western follows: National Oceanic and Atmospheric zone of the Gulf migratory group of king Subpart 1815.70ÐOmbudsman Administration mackerel was reached on September 4, 1815.7001 NASA Ombudsman Program. 1995. Hence, the commercial fishery for 1815.7002 Commerce Business Daily 50 CFR Part 642 Gulf group king mackerel from the announcements, solicitations and [Docket No. 940710±4292; I.D. 090195E] western zone is closed effective 12:01 contracts. a.m., local time, September 5, 1995, 1815.7001 NASA Ombudsman Program. Coastal Migratory Pelagic Resources through June 30, 1996, the end of the NASA’s implementation of an of the Gulf of Mexico and South fishing year. The boundary between the ombudsman program is in NMI 1210.3, Atlantic; Closure of a Commercial eastern and western zones is a line NASA Ombudsman Program. Fishery directly south from the Florida/Alabama boundary (87°31′06′′ W. long.). AGENCY: National Marine Fisheries 1815.7002 Commerce Business Daily Except for a person aboard a charter Service (NMFS), National Oceanic and announcements, solicitations and vessel, during the closure, no person contracts. Atmospheric Administration (NOAA), aboard a vessel permitted to fish under Commerce. The contracting officer shall include a a commercial allocation may fish for, ACTION: statement similar to that contained in Closure of a commercial fishery retain, or have in possession in the EEZ the clause at 1852.215–84, Ombudsman, for king mackerel. king mackerel from the western zone. A in Commerce Business Daily SUMMARY: NMFS closes the commercial person aboard a charter vessel may announcements of competitive continue to fish for king mackerel in the procurements. Also, a clause fishery in the exclusive economic zone (EEZ) for king mackerel from the western zone under the bag limit set substantially the same as the one at western zone of the Gulf migratory forth in § 642.24(a)(1)(i), provided the 1852.215–84 shall be included in group. This closure is necessary to vessel is under charter and the vessel Section L of solicitations, including protect the overfished Gulf king has an annual charter vessel permit, as draft solicitations, and in all contracts. mackerel resource. specified in § 642.4(a)(2). A charter 4. Section 1852.215–84 is added to vessel with a permit to fish on a read as follows: EFFECTIVE DATE: September 5, 1995, through June 30, 1996. commercial allocation is under charter 1852.215±84 Ombudsman. FOR FURTHER INFORMATION CONTACT: when it carries a passenger who fishes As prescribed in 1815.7002, insert the Mark F. Godcharles, 813–570–5305. for a fee or when there are more than three persons aboard, including operator following clause: SUPPLEMENTARY INFORMATION: The and crew. Ombudsman fishery for coastal migratory pelagic fish During the closure, king mackerel (October 1995) (king mackerel, Spanish mackerel, cero, cobia, little tunny, dolphin, and, in the from the western zone taken in the EEZ, An ombudsman has been appointed to hear Gulf of Mexico only, bluefish) is including those harvested under the bag concerns from offerors, potential offerors, managed under the Fishery limit, may not be purchased, bartered, and contractors during the preaward and traded, or sold. This prohibition does postaward phases of this acquisition. The Management Plan for the Coastal purpose of the ombudsman is not to diminish Migratory Pelagic Resources of the Gulf not apply to trade in king mackerel from the authority of the contracting officer, the of Mexico and South Atlantic (FMP). the western zone that were harvested, Source Evaluation Board, or the selection The FMP was prepared by the Gulf of landed, and bartered, traded, or sold official, but to communicate concerns, issues, Mexico and South Atlantic Fishery prior to the closure and held in cold disagreements, and recommendations of Management Councils (Councils) and is storage by a dealer or processor. interested parties to the appropriate implemented by regulations at 50 CFR Government personnel and to work to resolve Classification them. When requested, the ombudsman will part 642, under the authority of the maintain strict confidentiality as to the Magnuson Fishery Conservation and This action is taken under 50 CFR source of the concern. The ombudsman does Management Act. 642.26(a) and is exempt from review not participate in the evaluation of proposals, Catch limits recommended by the under E.O. 12866. the source selection process, or the Councils and implemented by NMFS for Authority: 16 U.S.C. 1801 et seq. adjudication of formal contract disputes. the Gulf of Mexico migratory group of Interested parties are invited to call the Dated: September 5, 1995. llll king mackerel for the current fishing installation ombudsman [Insert year (July 1, 1995, through June 30, Richard W. Surdi, name] at llll [Insert telephone number]. Acting Director, Office of Fisheries Concerns, issues, disagreements, and 1996) set the commercial quota at 0.77 Conservation and Management, National recommendations which cannot be resolved million pounds (0.35 million kg) for the Marine Fisheries Service. at the installation may be referred to the western zone. NASA ombudsman llll [Insert name] at Under 50 CFR 642.26(a), NMFS is [FR Doc. 95–22401 Filed 9–6–95; 10:44 am] llll [Insert telephone number]. required to close any segment of the BILLING CODE 3510±22±F 47101 Proposed Rules Federal Register Vol. 60, No. 175 Monday, September 11, 1995 This section of the FEDERAL REGISTER Road Unit 139, Riverdale, MD 20737– [Tanaka]); limes (C. aurantiifolia contains notices to the public of the proposed 1236, (301) 734–8891. [Swingle] and latiifolia [Tanaka]; issuance of rules and regulations. The mandarins, including satsumas, SUPPLEMENTARY INFORMATION: purpose of these notices is to give interested tangerines, tangors, and other fruits persons an opportunity to participate in the Background grown from this species or its hybrids rule making prior to the adoption of the final rules. The Fruits and Vegetables regulations (C. reticulata [Blanco]); and grapefruit in 7 CFR 319.56 through 319.56–8 (C. paradisi [MacFad.]) from the (referred to below as ‘‘the regulations’’) Riverina and Sunraysia districts of DEPARTMENT OF AGRICULTURE prohibit or restrict the importation of Australia, as well. The Riverina district fruits and vegetables to prevent the of New South Wales is comprised of (1) Animal and Plant Health Inspection introduction and dissemination of the shire of Carrathool; and (2) the Service injurious insects, including fruit flies, Murrumbidgee Irrigation Area, which is that are new to or not widely distributed within the administrative boundaries of 7 CFR Part 319 in the United States. Paragraphs (e) and the city of Griffith and the shires of [Docket No. 93±119±1] (f) of § 319.56–2 contain requirements Leeton, Narrendera, and Murrumbidgee. for the importation of certain fruits and The Sunraysia district is comprised of Importation of Citrus Fruits from vegetables based on their origin in a the shires of Wentworth and Balranald Australia definite area or district. The definite in New South Wales and the shires of area or district must meet certain Mildura, Swan Hill, Wakool, and AGENCY: Animal and Plant Health Kerang, the cities of Mildura and Swan Inspection Service, USDA. criteria, including criteria designed to ensure that the area or district is free Hill, and the borough of Kerang in ACTION: Proposed rule. from all or certain injurious insects. Victoria. Both the Mediterranean fruit fly SUMMARY: We are proposing to amend The regulations also provide, among other things, that all importations of (Ceratitis capitata [Wiedemann]) and the Fruits and Vegetables regulations to the Queensland fruit fly (Dacus tryoni allow oranges, lemons, limes, fruits and vegetables, as a condition of entry, shall be subject to inspection or [Frogg]), insects injurious to citrus, are mandarins, and grapefruit from the known to attack citrus in Australia. The Riverina and Sunraysia districts of treatment, or both, at the port of first arrival, as may be required by a U.S. Mediterranean fruit fly is not widely Australia to be imported into the United distributed in the United States, and the States. We are taking this action because Department of Agriculture (USDA) inspector (see § 319.56–6). Section Queensland fruit fly does not occur in it appears that the citrus may be the United States. If introduced into the imported without presenting a 319.56–6 also provides that shipments of fruits and vegetables may be refused United States, these pests would significant risk of introducing injurious represent a serious threat to domestic insects into the United States. Adoption entry if the shipment is infested with fruit flies or other dangerous pests and fruit crops. AQIS has conducted of this proposed rule would provide extensive trapping surveys 1 that show importers and consumers in the United an inspector determines that the pests cannot be eliminated by disinfection or the Riverina and Sunraysia districts to States with an additional source of be free of all types of fruit flies that citrus fruit. treatment. Section 319.56–2v contains attack citrus. Specifically, we have DATES: Consideration will be given only provisions for importing citrus fruit determined that: to comments received on or before from Australia. Currently, § 319.56–2v (1) Within the past 12 months, AQIS October 11, 1995. provides for imports of citrus from only has conducted trapping surveys that ADDRESSES: Please send an original and specified subdivisions of the Riverland show the Riverina and Sunraysia three copies of your comments to district. Citrus fruit may be imported districts to be free from all fruit flies that Docket No. 93–119–1, Regulatory from the Riverland district without attack citrus; (2) AQIS has adopted and is enforcing Analysis and Development, PPD, treatment for fruit flies if the area requirements to prevent the APHIS, suite 3C03, 4700 River Road remains free of fruit flies. Importation of introduction of fruit flies destructive of Unit 118, Riverdale, MD 20737–1238. citrus fruit from the Riverland district citrus into the Riverina and Sunraysia Please state that your comments refer to could continue in the event of a fruit fly districts; and Docket No. 93–119–1. Comments infestation if the fruit undergoes cold (3) AQIS has submitted to the received may be inspected at USDA, treatment and meets all other applicable Administrator of the Animal and Plant room 1141, South Building, 14th Street requirements of the regulations. Entry of Health Inspection Service (APHIS) and Independence Avenue SW., citrus into the United States from the detailed procedures for the conduct of Washington, DC, between 8 a.m. and Riverland district of Australia would be pest surveys in the Riverina and 4:30 p.m., Monday through Friday, denied if a fruit fly destructive of citrus Sunraysia districts, and for the except holidays. Persons wishing to should be detected in the Riverland enforcement of requirements to exclude inspect comments are requested to call district, and there is no authorized cold ahead on (202) 690–2817 to facilitate fruit flies from these districts. treatment for this fruit fly. The Administrator of APHIS has entry into the comment reading room. The Australian Quarantine and determined that the survey methods FOR FURTHER INFORMATION CONTACT: Mr. Inspection Service (AQIS) has requested Frank E. Cooper or Mr. Peter M. Grosser, that we consider allowing the entry of 1 Information regarding how the surveys were Senior Operations Officers, Port oranges (Citrus sinensis [Osbeck]); conducted can be obtained from the individuals Operations, PPQ, APHIS, 4700 River lemons (C. limonia [Osbeck] and meyeri listed under FOR FURTHER INFORMATION CONTACT. 47102 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules employed by AQIS are adequate to cold treatment authorized under from the proposed rule. The projected detect infestations of the Mediterranean § 319.56–2d and replacing it with a benefit to exporters may accrue from the fruit fly, the Queensland fruit fly, and reference to cold treatment in expanded export opportunities that other fruit flies destructive of citrus. The accordance with the Plant Protection could result from a favorable reciprocal Administrator has also determined that and Quarantine (PPQ) Treatment trade treatment given by Australia. the requirements adopted and enforced Manual, which has been incorporated Importers may also benefit from the by AQIS to prevent the introduction of by reference into the Code of Federal increased availability of citrus fruit, injurious insects into the Riverina and Regulations at 7 CFR 300.1. Cold especially navel oranges, during the Sunraysia districts of Australia are at treatment schedules no longer appear in time of year when U.S. production is least equivalent to those requirements § 319.56–2d, but are in the PPQ lowest. However, the economic benefits imposed in the United States to prevent Treatment Manual, and § 319.56–2d to importers and exporters are not the introduction and interstate spread of currently refers readers to the PPQ expected to be significant. injurious insects. Therefore, we are Treatment Manual for the details of cold Under these circumstances, the proposing to amend § 319.56–2v to treatment. Administrator of the Animal and Plant allow the importation of oranges, Executive Order 12866 and Regulatory Health Inspection Service has lemons, limes, mandarins, and Flexibility Act determined that this action would not grapefruit from the Riverina and have a significant economic impact on This proposed rule has been reviewed Sunraysia districts of Australia without a substantial number of small entities. treatment for fruit flies, provided that under Executive Order 12866. The rule these districts remain free of fruit flies has been determined to be not Executive Order 12778 significant for the purposes of Executive that attack citrus. This proposed rule would allow If fruit flies were detected in a district, Order 12866 and, therefore, has not oranges, lemons, limes, mandarins, and we would continue to allow oranges, been reviewed by the Office of grapefruit to be imported into the lemons, limes, mandarins, and Management and Budget. United States from the Riverina and grapefruit to be imported from that We are proposing to amend the Fruits Sunraysia districts of Australia. If this district, subject to the completion of an and Vegetables regulations by allowing proposed rule is adopted, State and APHIS-authorized cold treatment for the importation of oranges, lemons, local laws and regulations regarding that fruit fly, and to all other applicable limes, mandarins, and grapefruit from citrus fruit imported under this rule requirements of the regulations. This the Riverina and Sunraysia districts of would be preempted while the fruit is provision would allow importers and Australia. in foreign commerce. Fresh citrus fruits exporters to respond to suddenly According to a USDA estimate, the changed circumstances, such as a total U.S. production of citrus fruits was are generally imported for immediate Mediterranean fruit fly or Queensland approximately 11.172 million metric distribution and sale to the consuming fruit fly infestation, without tons in 1992. Approximately 1.1 million public, and would remain in foreign unnecessarily interrupting fruit metric tons of citrus fruits were commerce until sold to the ultimate shipments or creating a significant risk exported from the United States in 1992, consumer. The question of when foreign of introducing fruit flies into the United with about 9,741 metric tons exported to commerce ceases in other cases must be States. Australia. addressed on a case-by-case basis. If this However, if no APHIS-approved According to an estimate offered by proposed rule is adopted, no retroactive treatment is available for the detected the Australian Office of the Counsellor, effect will be given to this rule, and this fruit fly, the importation of citrus fruit Australia produced approximately rule will not require administrative from the district in which the fruit fly 592,000 metric tons of citrus fruits in proceedings before parties may file suit was detected would be prohibited. 1992. Citrus production in Australia is in court challenging this rule. These are the same provisions currently oriented primarily to domestic Paperwork Reduction Act in the regulations for citrus imported consumption, with exports accounting into the United States from the for approximately 79,000 metric tons, or This proposed rule contains no Riverland district of Australia. only about 13 percent of the total information collection or recordkeeping In the event that citrus from the production, in 1992. Of the total requirements under the Paperwork Riverina or Sunraysia district of quantity exported, 2,517 metric tons Reduction Act of 1980 (44 U.S.C. 3501 Australia requires treatment for fruit (about 3 percent) went to the United et seq.). flies, entry of the citrus into the United States. List of Subjects in 7 CFR Part 319 States would be limited to the port of The U.S. entities who would be most Wilmington, NC, and North Atlantic affected by this proposed rule would Bees, Coffee, Cotton, Fruits, Honey, ports north of and including Baltimore, include citrus fruit producers, exporters, Imports, Incorporation by reference, MD, if treatment for fruit flies is to be and importers. It is estimated that 93 Nursery Stock, Plant diseases and pests, completed in the United States. The percent of the U.S. farms that produce Quarantine, Reporting and climatic conditions in the northeastern citrus fruit, approximately 21,225 farms recordkeeping requirements, Rice, United States would ensure that any in all, qualify as small businesses. While Vegetables. injurious pests accompanying a this proposed rule would provide an Accordingly, 7 CFR part 319 would be shipment of citrus prior to treatment additional supply of citrus fruit in the amended to read as follows: would not pose a risk in that area. United States, domestic citrus fruit Special precautions at the port of producers, including small entities, PART 319ÐFOREIGN QUARANTINE Wilmington, NC, mitigate risk there (see could expect a very insignificant decline NOTICES § 319.56–2d(b)(5)(iv)). Entry would be in the price of citrus fruits. Due to the allowed through any port if treatment seasonal difference in availability, U.S. 1. The authority citation for part 319 has been completed prior to arrival in and Australian producers would not be would continue to read as follows: the United States. in direct competition for the domestic Authority: 7 U.S.C. 150dd, 150ee, 150ff, Lastly, we propose to amend citrus market. Both exporters and 151–167, 450, 2803, and 2809; 21 U.S.C. 136 § 319.56–2v by removing a reference to importers would be expected to benefit and 136a; 7 CFR 2.17, 2.51, and 371.2(c). Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules 47103 2. Section 319.56–2v would be 2d(b)(1) of this subpart if the treatment ADDRESSES: Comments may be mailed revised to read as follows: is to be completed in the United States. or delivered to Patricia W. DiMuzio, Entry may be through any port if the Associate Director, Regulation § 319.56±2v Conditions governing the treatment has been completed in Development, Office of Examination, entry of citrus from Australia. Australia or in transit to the United Farm Credit Administration, 1501 Farm (a) The Administrator has determined States. If no approved treatment for the Credit Drive, McLean, Virginia 22102– that the irrigated horticultural areas detected fruit fly appears in the PPQ 5090. Copies of all communications within the following districts of Treatment Manual, importation of citrus received will be available for review by Australia meet the criteria of § 319.56– from the affected district or districts is interested parties in the Office of 2 (e) and (f) with regard to the prohibited. Examination, Farm Credit Mediterranean fruit fly (Ceratitis Administration. capitata [Wiedemann]), the Queensland Done in Washington, DC, this 1st day of FOR FURTHER INFORMATION CONTACT: fruit fly (Dacus tryoni [Frogg]), and September 1995. other fruit flies destructive of citrus: Terry L. Medley, John J. Hays, Policy Analyst, Policy (1) The Riverland district of South Acting Administrator, Animal and Plant Development and Planning Division, Australia, defined as the county of Health Inspection Service. Office of Examination, Farm Credit Hamley and the geographical [FR Doc. 95–22406 Filed 9–8–95; 8:45 am] Administration, McLean, VA 22102– subdivisions, called ‘‘hundreds,’’ of BILLING CODE 3410±34±P 5090, (703) 883–4498, TDD (703) 883– Bookpurnong, Cadell, Gordon, Holder, 4444, Katarapko, Loveday, Markaranka, or Richard A. Katz, Senior Attorney, Morook, Murtho, Parcoola, Paringa, FARM CREDIT ADMINISTRATION Regulatory Operations Division, Pooginook, Pyap, Stuart, and Waikerie; (2) The Riverina district of New South Office of General Counsel, Farm 12 CFR Parts 613, 614, 618, 619, and Credit Administration, McLean, VA Wales, defined as: 626 (i) The shire of Carrathool; and 22102–5090, (703) 883–4020, TDD (703) 883–4444. (ii) The Murrumbidgee Irrigation RIN 3052±AB10 Area, which is within the administrative SUPPLEMENTARY INFORMATION: boundaries of the city of Griffith and the Eligibility and Scope of Financing; shires of Leeton, Narrendera, and Loan Policies and Operations; General I. General Murrumbidgee; and Provisions; Definitions; The FCA proposes to amend its (3) The Sunraysia district, defined as Nondiscrimination in Lending regulations in part 613 to eliminate the shires of Wentworth and Balranald unnecessary regulatory restrictions and in New South Wales and the shires of AGENCY: Farm Credit Administration. implement statutory changes. Several Mildura, Swan Hill, Wakool, and ACTION: Proposed rule. recent amendments to sections 3.7 and Kerang, the cities of Mildura and Swan 3.8 of the Act expand eligibility and Hill, and the borough of Kerang in SUMMARY: The Farm Credit purposes of financing for borrowers Victoria. Administration (FCA) through the Farm from BCs and ACBs. Two new statutory (b) Oranges (Citrus sinensis [Osbeck]); Credit Administration Board (Board) provisions were enacted in 1992 and lemons (C. limonia [Osbeck] and meyeri proposes to amend the current 1994, which authorize Farm Credit [Tanaka]); limes (C. aurantiifolia regulations that govern eligibility and banks and associations to participate [Swingle] and latiifolia [Tanaka]); purposes for financing from Farm Credit with non-System lenders in loans to mandarins, including satsumas, System (Farm Credit, FCS, or System) borrowers who are functionally similar tangerines, tangors, and other fruits banks and associations. This proposal but otherwise ineligible for direct FCS grown from this species or its hybrids would incorporate recent statutory financing when the loans are for (C. reticulata [Blanco]); and grapefruit amendments that govern eligibility and purposes that are within the System’s (C. paradisi [MacFad.]) may be imported loan purposes from Farm Credit banks scope of financing (sections 3.1(11)(B) from the Riverland, Riverina, and that operate under title III of the Farm and 4.18A of the Act). Sunraysia districts without treatment for Credit Act of 1971, as amended (Act). The FCA’s approach in crafting new fruit flies, subject to paragraph (c) of this The proposed rule would also eligibility regulations is guided by the section and all other applicable implement recently enacted sections Board’s Policy Statement on Regulatory requirements of this subpart. 3.1(11)(B) and 4.18A of the Act, which Philosophy (Policy Statement).1 (c) If surveys conducted in accordance grant Farm Credit banks and Pursuant to this Policy Statement, the with § 319.56–2d(f) detect, in a district associations authorities to participate FCA is committed to adopting listed in paragraph (a) of this section, with non-System lenders in loans to regulations only as necessary to: (1) the Mediterranean fruit fly (Ceratitis similar entities. At the same time, the Implement or interpret the law; or (2) capitata [Wiedemann]), the Queensland FCA proposes to eliminate restrictions promote the safe and sound operations fruit fly (Dacus tryoni [Frogg]), or other in the current regulations that are not of System institutions. Consistent with fruit flies, citrus fruit from that district required by the Act. The FCA proposes the Policy Statement, the FCA proposes will remain eligible for importation into to substantially reorganize these to remove regulatory provisions that the United States in accordance with regulations in order to enhance their prescribe operational procedures, to § 319.56–2(e)(2), provided the fruit clarity. The FCA also proposes several simplify and clarify the regulations undergoes cold treatment in accordance technical amendments to other wherever possible, and to delete with the Plant Protection and regulations so they conform with this existing regulatory restrictions that are Quarantine (PPQ) Treatment Manual, proposal. The proposed rule would not imposed by law or necessary to which is incorporated by reference at relocate the nondiscrimination in interpret the law or promote safety and § 300.1 of this chapter, and provided the lending regulations to a new part soundness. The FCA’s proposal should fruit meets all other applicable without change. permit FCS institutions to more requirements of this subpart. Entry is DATES: Comments should be received on limited to ports listed in § 319.56– or before December 11, 1995. 1 See 60 FR 26034 (May 16, 1995). 47104 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules effectively meet the credit needs of farmer, rancher, or producer or regulation requires Farm Credit Banks agricultural and aquatic producers, harvester of aquatic products’’ is not (FCBs), agricultural credit banks (ACBs), farm-related businesses, rural defined in either the Act or its and their affiliated associations to homeowners, cooperatives, and rural legislative history. provide: (1) ‘‘Full credit, to the extent of utilities in today’s economic The FCA proposes to adopt a single creditworthiness, to full-time bona fide environment. Additionally, it should regulation, § 613.3000, that will farmers;’’ (2) ‘‘conservative credit’’ to help stimulate economic development determine eligibility for financing for part-time farmers for agricultural in rural areas by increasing the loans made to farmers, ranchers, and enterprises; and (3) ‘‘restricted credit for availability of affordable credit to aquatic producers and harvesters. As a other credit requirements as needed to eligible borrowers. result of this consolidation, the FCA ensure a sound credit package.’’ The FCA believes that removing non- proposes to delete existing §§ 613.3000, System institutions have noted that statutory restrictions in these 613.3005, 613.3010, and 613.3020. § 613.3005 is more restrictive than the regulations will enable the FCS to Proposed § 613.3000(a)(2) defines a Act. Further, uniform and consistent compete appropriately in agricultural bona fide farmer, rancher, and aquatic application throughout the FCS has and rural credit markets and ultimately producer as an individual or legal entity been difficult to achieve. For these enhance its safety and soundness. In that either: (1) Produces agricultural reasons, the FCA proposes to repeal this context, the FCA’s proposal will products or produces or harvests aquatic § 613.3005 (a) and (c) and replace it enable the FCS to fulfill its statutory products to generate income; or (2) with a new § 613.3000, which will be mission (as stated in the preamble to the owns agricultural land. The definition clear, concise, and easier to implement. Act) to provide: (1) ‘‘A farmer-owned in the proposed regulation does not Proposed § 613.3000 does not cooperative System of making credit represent a significant departure from differentiate between full-time and part- available to farmers, ranchers, and their the existing regulations. The FCA time agricultural and aquatic producers. cooperatives;’’ and (2) ‘‘an adequate and proposes to combine the separate Moreover, the evolution of agriculture flexible flow of money into rural areas.’’ definitions of farmers and ranchers in has made part-time producers an existing § 613.3010(a) and aquatic increasingly important sector of the II. Financing Under Titles I and II of producers and harvesters in agricultural industry and rural the Act § 613.3010(d) into a single provision, America,2 and existing regulations The FCA proposes new eligibility without substantive change. restricting the scope of lending to them regulations for Farm Credit banks and Agricultural land is defined by may not serve the purposes of the Act, associations that operate under titles I proposed § 613.3000(a)(1) as ‘‘land that which does not distinguish between and II of the Act. These rules are is devoted to or available for the full-time and part-time farmers. The designed to clarify current eligibility production of agricultural or aquatic applicant’s creditworthiness, not criteria and the scope or purposes for products.’’ This proposed definition is eligibility criteria, would determine the which System financing may be more streamlined and would replace availability of System loans to part-time obtained. The FCA’s proposal current § 619.9025. farmers, as it does with full-time eliminates provisions in existing farmers. The broad prescriptions for subparts A and B of part 613 that 1. Elimination of Regulatory Restrictions operational policies and procedures of prescribe management practices and on Eligibility current § 613.3005(c), which were procedures or unnecessarily restrict the Although the regulatory definition of designed to keep the focus on eligibility of persons authorized to ‘‘bona fide farmer’’ remains essentially agricultural lending would be replaced borrow under the Act. unchanged, this proposal would reduce with limitations on the amount of other The FCA also proposes to reorganize or eliminate restrictions in the current business credit needs of farmers that and clarify these regulations so they can regulations on financing to three types could be financed. Although the FCA is be better utilized by the FCS, the FCA, of farmers: part-time farmers, certain removing the policy and procedure and other interested parties. The legal entities, and certain foreign requirements of § 613.3005(c), the FCA existing regulations in subparts A and B nationals. The proposed regulation, believes that FCS banks and would be replaced by four new consistent with the Act, eliminates all associations should continue to adopt regulations in subpart A of part 613, distinctions among farmers regarding and implement sound management which would authorize System banks their eligibility for agricultural and practices and policies to guide their and associations to extend credit to the aquatic financing. The FCA proposes to operations. following classes of eligible borrowers: place limits on financing that eligible B. Legal Entities (1) Bona fide farmers, ranchers, and borrowers may obtain for certain producers or harvesters of aquatic purposes. For the reasons explained The FCA’s proposed regulation also products; (2) processing or marketing below, limitations on financing of non- removes most distinctions between operators; (3) farm-related businesses agricultural credit needs have been individuals and legal entities. No that provide services to farmers and retained. restriction on lending to legal entities ranchers; and (4) rural homeowners. An appears in the Act, and a review of the A. Part-time Farmers explanation of the proposed legislative history of the Act reveals that amendments follows. The FCA proposes to eliminate any Congress, over an extended period of distinction between full-time and part- time, deleted all statutory restrictions on A. Bona Fide Farmers, Ranchers, and time farmers, ranchers, and aquatic loans to legal entities by title I and II Aquatic Producers and Harvesters producers and harvesters. Although the institutions or their predecessors. The Sections 1.9(1) and 2.4(a)(1) of the Act eligibility provisions in titles I and II of FCA proposes to update its regulations state that ‘‘bona fide farmers, ranchers, the Act do not distinguish full-time to conform with these changes. and producers or harvesters of aquatic from part-time producers, current products’’ are eligible to borrow from § 613.3005(a) establishes different 2 A recent report by the United States Department of Agriculture, entitled Rural Conditions and Farm Credit banks and associations that lending policies and objectives for full- Trends, Spring 1995, reported 88 percent of a farm operate under titles I or II of the Act, time and part-time producers who are household’s income comes from sources off the respectively. The term ‘‘bona fide eligible to borrow. The existing farm, with farm (income) accounting for the rest. Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules 47105 Under an existing regulation, as well as from BCs and ACBs. In fact, System. Many FCS representatives and § 613.3020(b), a legal entity is ineligible some cooperatives have existing some members of Congress have for loans from Farm Credit banks and financial relationships with questioned the FCA’s decision to associations unless more than 50 associations. Although the FCA does not prohibit System institutions from percent of: (1) Its equity or voting shares desire to interfere with existing business financing those agricultural and aquatic are owned by individuals conducting an relationships, it is concerned that producers who are non-resident foreign agricultural or aquatic operation; (2) the expanded competition within the FCS nationals or foreign national legal value of its assets are related to the could be detrimental. The FCA invites entities. production of agricultural or aquatic comments on whether this approach is These comments have prompted the commodities; or (3) its income is appropriate and on other alternatives for FCA to consider whether the existing derived from agricultural or aquatic addressing this concern. regulation is unnecessarily restrictive. activities. Furthermore, the current In considering these comments, the FCA C. Nationality of the Borrower regulation imposes additional examined the immigration and requirements on a legal entity that is Current FCA regulations permit nationality laws of the United States. As owned or controlled by another legal System lenders to provide agricultural a general rule, foreign nationals are entity that is an ineligible borrower. financing to foreign nationals only if allowed to enter the United States as In 1993, the FCA solicited public they are permanent residents of the either immigrants or non-immigrants. comment on the burdens that existing United States. This restriction derives According to 8 U.S.C. 1101(a)(20), regulations impose on System from language in section 1.1(a) of the persons who are lawfully admitted for institutions. See 58 FR 34003, June 23, Act, which states: permanent residence in the United 1993. Several commenters responded The farmer-owned cooperative Farm Credit States have immigrant status. As noted that existing § 613.3020(b) limits the System (is) designed to accomplish the earlier, agricultural or aquatic producers System’s ability to finance legal entities objective of improving the income and well- who are admitted into the United States despite the removal of such restrictions being of American farmers and ranchers by as permanent residents are already in the Act. Some of the comment letters furnishing sound, adequate, and constructive eligible to borrow from System also noted that the current regulation credit and closely related services to them institutions. favors individual borrowers over legal (and) their cooperatives. Non-immigrants generally are defined entities. The FCA has viewed this provision as as foreign nationals who do not intend After considering these comments, the a basis for limiting the ability of the to abandon their residence in their FCA proposes to adopt a regulatory System to lend to certain foreign home countries and settle permanently approach that equalizes the treatment of nationals. Existing § 613.3010(c) states in the Untied States. Certain categories legal entities and individual borrowers that only foreign nationals who are of non-immigrants are allowed to with respect to financing their admitted into the United States for conduct businesses and own property in agricultural and aquatic needs. Section permanent residence pursuant to 8 the United States. For example, non- 1.1(b) of the Act states that one of the U.S.C. 1101(a)(20) are eligible for immigrant foreign nationals may enter objectives of the FCS is to ‘‘be System financing. Legal entities that are the United States to conduct business responsive to the credit needs of all owned by foreign nationals who are as: types of agricultural producers having a permanent residents of the United (1) Businesspersons under 8 U.S.C. basis for credit.’’ Accordingly, the FCA States also qualify for System financing 1101(a)(15)(B); concludes that the eligibility under this provision. (2) Merchants or traders under 8 requirements for System institutions The FCA is aware that non-resident U.S.C. 1101(a)(15)(E); or should not influence any borrower’s foreign nationals and legal entities (3) Executives, managers, or decision about whether to farm, ranch, owned by such persons have applied to specialists for a legal entity that or fish in an individual capacity or as FCS banks and associations for employs them, pursuant to 8 U.S.C. a legal entity. agricultural or aquatic loans. System 1101(a)(15)(L). The FCA proposes to eliminate the institutions and members of Congress The proposed regulation would requirements in current § 613.3020(b) have made the Agency aware of expand eligibility provisions to that most of the owners, assets, or applicants who own and operate farms encompass all foreign nationals who are income of an eligible legal entity be or processing and marketing operations authorized by the laws of the United related to an agricultural or aquatic in the United States, but are ineligible States to engage in agricultural or enterprise. Rather, any legal entity that for financing because they are not aquatic production or to own engages in agricultural or aquatic citizens or permanent residents. FCS agricultural land in the United States. It production to generate income or owns banks and associations are currently would also cover domestic legal entities agricultural land would become an required by current § 613.3010(c) to in which foreign nationals have an eligible System borrower under reject automatically the loan ownership interest. The FCA believes proposed § 613.3000(a)(2). The FCA’s applications of such prospective that this interpretation is consistent proposal does not preempt State laws borrowers solely on the basis of their with section 1.1(a) of the Act and it that prohibit or otherwise restrict legal nationality and residency status. Many provides FCS institutions with greater entities (other than closely held family FCS banks and associations state that flexibility to finance bona fide farmers, farm corporations) from owning the current regulation compels them to ranchers, and aquatic producers and agricultural land or conducting a deny loans to otherwise creditworthy harvesters who actively contribute to farming, ranching, or aquatic operation. farmers, ranchers, and aquatic the growth, productivity, and prosperity Under the proposed regulation, producers and harvesters who make of domestic agriculture and the rural entities that are eligible under title III of significant contributions to American economy. the Act would not qualify as legal agriculture. Furthermore, existing As a result of its consideration of this entities for purposes of financing under § 613.3010 causes System lenders to issue, the FCA proposes to amend its titles I or II of the Act. The FCA is aware forfeit to competitors profitable business eligibility regulations to enable Farm that some cooperatives now qualify for opportunities with entities that are Credit banks and associations to finance financing from FCBs and associations, statutorily eligible to borrow from the certain non-immigrant foreign nationals 47106 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules who are bona fide farmers, ranchers, including refinancing pre-existing Farm Credit System increases the and aquatic producers or harvesters, as agricultural or aquatic debt. availability of affordable credit in rural defined by proposed § 613.3000. More Proposed § 613.3000(d) would enable America. Lending for other domestic specifically, proposed § 613.3000 (a)(2) eligible farmers, ranchers, and aquatic and business needs allows System and (a)(3)(ii) would expand the producers or harvesters to obtain banks and associations to offer a full definition of ‘‘individual’’ to include System loans for their other credit needs array of quality credit services to foreign nationals who have been with certain limitations. Sections 1.11(a) farmers, ranchers, and aquatic admitted lawfully into the United States and 2.4(a) of the Act expressly authorize producers and harvesters at competitive pursuant to any provision in 8 U.S.C. System banks and associations to interest rates and to provide an 1101(a)(15) that authorizes such finance the other credit needs of incidental benefit to rural communities. individuals to own property or operate agricultural and aquatic producers. This Because the primary mission of the or manage businesses. This would statutory authority has existed since FCS is to finance agriculture and permit such persons to qualify as a bona 1955,3 when Congress originally aquaculture, the FCA’s proposal would fide farmer, rancher, or aquatic producer acknowledged that farmers and ranchers restrict loans for the other credit needs or harvester if they are engaged in often require credit for other ‘‘sound of System borrowers. In the FCA’s production or own agricultural land. and appropriate’’ purposes so they can opinion, the availability of credit for The proposed regulation would afford make ends meet and remain on the non-agricultural purposes should be the same treatment to legal entities farm.4 This longstanding Congressional proportionally related to the borrower’s owned by citizens and permanent policy is currently codified in involvement in farming, ranching, or residents of the United States, or § 613.3005(a). aquatic production or harvesting. For controlled by non-resident foreign The FCA proposes a regulatory the reasons explained below, proposed nationals, provided that the entity is approach that grants FCS banks and § 613.3000(d) would grant borrowers chartered domestically. The FCA associations greater flexibility to finance who engage in agricultural or aquatic observes, however, that certain foreign the other credit needs of bona fide production (‘‘farmer-producers’’) greater nationals and foreign national legal farmers, ranchers, and aquatic access to the FCS for their other credit entities have registration and disclosure producers and harvesters, but needs than it would grant to borrowers obligations under the Agricultural simultaneously preserves the mission of who are eligible only because they own Foreign Investment Act of 1978 System institutions as agricultural agricultural land as an investment (‘‘farmer-investors’’) and non-resident (AFIDA), 7 U.S.C. 3508, and its lenders. The proposed regulation foreign nationals. The FCA’s proposal is implementing regulation, 7 CFR Part removes the existing requirement that a designed to permit family farm 781. Because the Secretary of borrower have an outstanding corporations and other legal entities that Agriculture is authorized by section 3 of agricultural or aquatic loan in order to are closely held by eligible farmers, AFIDA, 7 U.S.C. 3502, to impose civil receive financing for other credit needs. ranchers, and aquatic producers and penalties on non-resident foreign Today, many agricultural and aquatic harvesters to finance their other credit nationals and foreign national legal producers pursue non-farm business needs at an FCS bank or association. entities who fail to comply with these opportunities as a matter of economic However, the proposed regulation disclosure provisions, System survival. A Farm Credit System that is responsive to such other credit needs would authorize System banks and institutions that lend to borrowers who associations to finance only the are subject to the AFIDA should ensure helps agricultural and aquatic producers to remain on their farms and ranches agricultural or aquatic needs of publicly that the borrowers have complied with traded corporations and conglomerates its requirements. The FCA observes that and in America’s rural communities. Furthermore, System lenders fulfill their with significant assets unrelated to the proposed regulation does not agriculture. preempt State laws that prohibit or obligation to ‘‘provide for an adequate and flexible flow of money into rural Proposed § 613.3000(d)(1) would otherwise restrict non-resident foreign enable farmer-producers to obtain nationals and foreign national legal areas, and * * * to meet current and future rural credit needs’’ when they System financing for their housing and entities from owning agricultural land other domestic needs without restriction or conducting a farming, ranching, or finance certain non-farm businesses owned by farmers in rural areas. In this (other than their creditworthiness). aquatic operation within their Proposed § 613.3000(d)(1) also allows context, the Act expressly contemplates jurisdiction. farmer-producers to obtain limited that Farm Credit banks and associations The FCA notes that legal entities that System financing for their other will contribute to economic are chartered by a foreign government or business needs in an amount that does development in rural areas by financing headquartered outside the United States not exceed the market value of their the other business needs of farmers, are also covered by the AFIDA. The FCA agricultural or aquatic assets. This ranchers, and aquatic producers and seeks comment on whether foreign regulatory approach would ensure that national legal entities that do not have harvesters. Lending for farmers’ other credit the amount of financing that farmer- a domestic subsidiary should be eligible producers obtain from FCS banks and needs also enables FCBs, ACBs, and for financing under the final regulation. associations for non-farm business their affiliated associations to strengthen needs would be proportionate to their 2. Limitations on Financing their viability by diversifying their loan investment in their agricultural or portfolios. A strong and competitive The proposed regulations would aquatic activities. impose no limitations on the System’s For the purposes of proposed 3 The former Federal land banks were granted this ability to finance the agricultural and authority by the Farm Credit Act of 1955, Pub. L. § 613.3000(d), agricultural assets aquatic needs of farmers, ranchers, and No. 347, section 304(a), 69 Stat. 655 (Aug. 11, 1955). include real estate, a home that is aquatic producers. Proposed The Farm Credit Act of 1956 granted this authority located on a farm or ranch, equipment, § 613.3000(c) would authorize FCS to the PCAs, Pub. L. No. 84–809, section 105(i), 70 chattel, and livestock. The proposed Stat. 665 (July 26, 1956). banks and associations to extend credit 4 S. Rep. No. 1201, 84th Cong., 1st. Sess., (July 28, regulation contemplates that the market to all eligible borrowers for any 1955), p. 21; H. Rep. No. 863, 84th Cong., 1st. Sess., value of agricultural assets would be agricultural or aquatic purpose, (June 20, 1955), p. 20. determined at the time of loan Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules 47107 application from the most credible farmer-producers who are citizens or the safety and soundness of the FCS. For source available to FCS institutions. permanent residents of the United example, additional compliance Because real estate, equipment, and States. thresholds presently exist for loans to livestock make up the bulk of Proposed § 613.3000(d)(3) would borrowers who supply less than 50 agricultural assets on most loan continue to authorize System banks and percent of the throughput. A restriction applications, appraisals and collateral associations to finance the other credit that has been particularly problematic valuations would be the logical sources needs of family farm corporations and relates to processing or marketing to support the market value of the most other small and medium sized legal operations that have different owners material of these assets. Absent entities that are closely held by bona than the agricultural or aquatic available appraisals and valuations fide farmers, ranchers, and aquatic operation providing the throughput. completed for the FCS institution, other producers or harvesters. Although all Section 613.3045(b)(2)(iii) currently sources could serve as a basis for agricultural corporations would now requires that the entire ownership of the determining market value such as become eligible to borrow from Farm processing or marketing operation vest county tax assessment values or real Credit banks and associations that in eligible borrowers. Many System estate multiple listings. It is not the operate under titles I and II of the Act, banks and associations responded to the FCA’s intent to cause extra cost or the FCA intends that most large Notice of Regulatory Burden by regulatory burden on either the FCS agricultural borrowers could obtain requesting relief from this 100-percent institution or the borrower in order to System financing only for their ownership requirement. According to establish the market value of agricultural or aquatic needs. Under System commenters, processing or agricultural assets for determining the proposed § 613.3000(d)(3), legal entities marketing operations have become level of financing available from the could obtain System loans for their ineligible under the existing regulation System. Rather, a reasonable but other credit needs in an amount that solely because of a slight change in credible valuation performed by FCS does not exceed the market value of ownership. FCS institutions point out, institutions that can be supported and their agricultural assets only if: (1) The for example, that a borrower who tested should suffice for determining securities of the borrower are not traded establishes an employee ownership compliance with this subpart. on a public exchange; and (2) more than program can no longer borrow from the Proposed § 613.3000(d)(2) would limit 50 percent of the assets of the borrowing System. financing that farmer-investors could legal entity are used in agricultural or The FCA now proposes to revise and obtain from the FCS for all of their other aquatic production. The FCA believes redesignate this regulation, so it more credit needs, including housing and that this approach would effectively closely parallels the Act. The revised domestic needs, to the market value of preclude System banks and associations regulation, § 613.3010, will simply their agricultural assets. Such borrowers from financing the other credit needs of require that the processing or marketing are not engaged in agricultural large agribusiness corporations and operation: (1) Be directly related to the production and own agricultural land as conglomerates. borrower’s agricultural or aquatic a passive investment. As the FCA The FCA requests comments on activities; and (2) consistently process interprets the Act through its legislative whether and how the final regulations some throughput produced by the history, Congress did not intend that ought to distinguish among types of borrower. these farmer-investors have the same eligible farmers with respect to In an effort to reduce regulatory access to the FCS for non-agricultural financing other credit needs. burden on FCS banks and associations, credit needs as farmer-producers. B. Financing of Processing or Marketing the FCA proposes to repeal the Proposed § 613.3000(d)(2) precludes Operations additional requirements that existing farmer-investors from obtaining FCS § 613.3045(b)(2) imposes on borrowers loans for their other credit needs in Sections 1.11(a) and 2.4(a) of the Act who supply less than 50 percent of the amounts that are disproportionate to authorize FCBs, ACBs, and their throughput to a processing or marketing their investment in agriculture. The affiliated associations to finance the operation. The FCA believes that this proposed regulation imposes no processing or marketing operations of regulatory requirement is no longer restrictions on loans for agricultural or bona fide farmers, ranchers, and aquatic necessary to interpret the Act since a aquatic purposes that farmer-investors producers or harvesters. According to statutory portfolio limitation has may obtain from System banks and the Act, the processing or marketing replaced the statutory requirement that associations, and therefore, farmer- operation must be ‘‘directly related’’ to the borrower supply at least 20 percent investors would have increasing access the agricultural or aquatic activities of of the throughput.5 The FCA also to the FCS for their other credit needs the borrower. The Act also requires the proposes to repeal § 613.3045(e), which as their investment in agriculture borrower’s agricultural or aquatic unnecessarily specifies paperwork increases. Retired farmers, ranchers, and activities to supply some portion of the requirements for FCS institutions. aquatic producers and harvesters whose throughput used in the processing or The FCA’s proposal would also relax land is cultivated by others would be marketing operations. The Act limits the current requirement that bona fide considered farmer-producers, if they processing or marketing loans to farmers, ranchers, and aquatic acquired their agricultural land borrowers who supply less than 20 producers or harvesters own 100 originally for agricultural production percent of the throughput to 15 percent percent of an eligible processing or purposes rather than as an investment. of the total outstanding loans, during marketing operation. Proposed Non-resident foreign nationals are the preceding fiscal year, of: (1) The § 613.3010(a)(1) clarifies that an eligible accorded the same treatment under FCB or ACB; and (2) all associations that borrower includes a legal entity in proposed § 613.3000(d) as farmer- are affiliated with the same funding which a controlling interest is owned by investors. Although such borrowers are bank. individuals or other legal entities that often active agricultural or aquatic The existing regulation, § 613.3045, qualify as bona fide farmers, ranchers, producers, their legal status imposes imposes certain restrictions on or aquatic producers or harvesters. The restrictions on their activities within the financing for processing or marketing United States. Prudence requires greater operations that are not required by the 5 Pub. L. No. 101–624, section 1832, 104 Stat. restrictions on these borrowers than on Act or are no longer needed to ensure 3359 (1990). 47108 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules controlling interest requirement in themselves.’’ Furthermore, to qualify which should dispel confusion proposed § 613.3010(a)(1) implements under § 613.3050(b)(2) a farm-related surrounding the ‘‘on-farm’’ requirement. sections 1.11(a)(1) and 2.4(a)(1) of the business must sell only goods and Furthermore, the Act does not Act, which require a processing or inputs that ‘‘are incident to the services specifically require eligible borrowers to marketing operation to be directly provided.’’ Examples of farm-related furnish only ‘‘custom-type’’ services to related to the agricultural or aquatic services authorized by this regulation farmers and ranchers. Although operations of the borrower. The FCA include: (1) Spraying of crops; (2) passages in the legislative history to the seeks comments on whether the harvesting; (3) hauling agricultural Farm Credit Act of 1971 contain controlling interest requirement commodities to grain elevators, examples of various custom services appropriately implements the intent of livestock markets, and other processing that farmers and ranchers may perform the Act and provides sufficient guidance centers; (4) custom feed mixing themselves, the FCA finds no evidence to System lenders. operations; (5) veterinary services; and that sections 1.11(c)(1) or 2.4(a)(3) of the Proposed § 613.3010(b) implements (6) drying farm commodities. Act actually preclude the FCS from the portfolio restrictions that sections The FCA has received numerous financing other types of services that are 1.11(a)(2) and 2.4(a)(1) of the Act comments from the FCS about the directly related to agricultural impose on loans to borrowers who burdensome nature of §§ 613.3050 and production. In fact, agricultural contribute less than 20 percent of the 619.9120. Many System representatives producers today rely on technologically throughput used by a processing or have stated that the current regulatory advanced services that they cannot marketing operation. This provision requirements too narrowly restrict the provide for themselves, such as would limit retail loans that System types of agricultural service businesses computer mapping of soil and crop banks and associations make to that can qualify for FCS loans. Statistics conditions, nutritional analysis for dairy borrowers who supply less than 20 about FCS loans to farm-related production, and specialized animal percent of the throughput to 15 percent businesses suggest that this may be true. husbandry records and services. These of outstanding loans at the end of the Farm-related business loans comprise technologically advanced services preceding fiscal year for: (1) The less than 1 percent of all loans in the enable farmers and ranchers to enhance funding bank; and (2) all associations Farm Credit System, and many FCS their income by reducing costs, that are funded by the same FCB or banks and their affiliated associations increasing productivity, and meeting the ACB. Proposed § 613.3010(b) also have no farm-related business loans in growing demand of consumers for retains the existing requirement in their portfolios. These circumstances improved food quality and specialty § 613.3045(d)(2) that each funding bank, may indicate that current §§ 613.3050 food products. The FCA believes the in conjunction with its affiliated and 619.9120 frustrate the ability of ability of the FCS to finance such associations, ensures that processing or System banks and associations to fund service providers strengthens the marketing loans to borrowers who statutorily eligible and creditworthy agricultural economy of the United supply less than 20 percent of the farm-related service businesses, and States. A farm-related business is currently throughput are equitably allocated unnecessarily deny many farm-related among the associations. ineligible to borrow from a Farm Credit businesses competitive credit options. The FCA believes the proposed bank or association under regulation would better enable System To address this issue, the FCA is § 613.3050(b)(2) unless substantially all institutions to finance entities that proposing a new regulation, § 613.3020, of the goods sold are consumed in the contribute substantially to the which would replace §§ 613.3050(a), services that the borrower provides to agricultural economy and rural 613.3050(b), and 619.9120, with an farmers and ranchers. As the FCA communities and that increase the eligibility standard for farm-related interprets sections 1.11(c)(1) and income of America’s farmers, ranchers, businesses that is more closely aligned 2.4(a)(3) of the Act and their legislative and aquatic producers or harvesters. with the plain language of the Act. history, a farm-related service business This proposal would ultimately benefit Under proposed § 613.3020(a), an should not be automatically ineligible both producers and consumers by individual or legal entity who furnishes for FCS loans simply because it also providing competitive credit for this services to farmers and ranchers that are sells some goods that are not incidental sector of the agricultural economy and directly related to their agricultural to its services. In the FCA’s opinion, fostering economic development in operations would be eligible to borrow such a disqualification defeats the rural areas. from a Farm Credit bank or association statutory purpose of providing credit to that operates under titles I or II of the farm-related service businesses. For this C. Loans to Farm-Related Businesses Act. Regulatory restrictions that are reason, the FCA proposes to repeal Sections 1.9(2), 1.11(c)(1), and unnecessary to implement or interpret current § 613.3050(b)(2). 2.4(a)(3) of the Act authorize FCBs, sections 1.9(2), 1.11(c)(1), and 2.4(a)(3) The FCA proposes to rely on scope of ACBs, and direct lender associations to of the Act would be eliminated. financing provisions to ensure that FCS finance ‘‘persons furnishing to farmers In 1979, the FCA acknowledged in the banks and associations finance only and ranchers farm-related services preamble to § 613.3050 that neither the farm-related businesses that are eligible directly related to their on-farm literal language of the statute nor its to borrow under sections 1.11(c)(1) and operating needs.’’ Presently, legislative history compel an eligible 2.4(a)(3) of the Act. Proposed § 613.3050(a) imposes an additional farm-related business to actually § 613.3020(b) would require FCS banks requirement that farm-related perform services on the customer’s and associations to determine the extent businesses furnish ‘‘custom-type property.6 At that time, however, the of financing for an eligible farm-related services’’ that are directly related to on- FCA did not delete the ‘‘on-farm’’ business by measuring the applicant’s farm operating needs of farmers and requirement from the definition of income on either a gross sales or a net ranchers. The term ‘‘custom-type ‘‘custom-type’’ services in § 619.9120. sales basis. More specifically, proposed services’’ is defined by § 619.9120 as the The FCA now proposes to delete the § 613.3020(b)(1) would authorize ‘‘performance of on-farm functions on a definition of custom-type services financing of all the business needs of an ‘for-hire’ basis which farmers and eligible farm-related business that ranchers typically have done for 6 44 FR 69631 (Dec. 4, 1979). derives more than 50 percent of its Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules 47109 income, as determined on either a gross inhabitants. Sections 1.11(b)(2) and both agricultural and aquatic producers sales or net sales basis, from furnishing 2.4(b)(2) generally restrict non-farm and other rural residents and eliminate agricultural services to farmers and rural home loans to 15 percent of the any confusion about the scope of home ranchers. A borrower who derives 50 total outstanding loans of each FCB, lending authority. Under the FCA’s percent or less of its income from ACB, or association. proposal, Farm Credit banks and furnishing agricultural services could An existing regulation, § 613.3040, associations would finance homes for obtain System financing under proposed implements this statutory authority. The both full-time and part-time farmers, § 613.3020(b)(2) only for the agricultural FCA now proposes to redesignate this ranchers, and aquatic producers under services portion of its business. regulation as § 613.3030 and revise it to proposed § 613.3000(d), while proposed The FCA notes that this regulation provide greater flexibility to finance § 613.3030 would apply to home loans would permit System banks and non-farm rural homes to the extent that System lenders make to all other associations to measure each borrower’s allowed by the Act. This proposal rural residents. income consistently on either a gross differs from the existing rural housing Because the Act affords certain sales or a net sales basis, as appropriate. regulation in three ways. First, it benefits and applies certain restrictions System banks and associations should clarifies that rural housing loans do not to agricultural loans and rural housing experience no difficulty in complying encompass loans to farmers and loans, it has been important to classify with § 613.3020(b) because gross and ranchers for their housing needs, home loans to farmers correctly. For net sales information is normally because such loans are properly example, the homes of agricultural or provided in financial statements that a classified as agricultural loans. Second, aquatic producers are not required to be farm-related business submits to the regulation revises and simplifies the moderately priced or located in support its credit request. criteria for determining whether a home communities where the population does The FCA believes that proposed is moderately priced and located in a not exceed 2,500 inhabitants. In fact, § 613.3020 implements the requirements rural area, as the law requires. Finally, neither the Act nor FCA regulations of the Act without imposing the proposal eliminates regulatory require agricultural producers to live on unnecessary regulatory burdens on the restrictions that are not needed for the land that they farm or ranch. As the FCS or restricting its ability to offer safety and soundness. The FCA also FCA interprets the Act, home loans to competitive credit to farm-related addresses specific issues about non-farm farmers are not subject to the portfolio businesses. The FCA believes that this rural home loans that commenters limitations applicable to rural housing proposal would provide System banks raised during the Regulatory Burden loans. and associations and FCA examiners comment period and in other forums. The FCA notes that statutory borrower with clear and appropriate regulatory 1. Definition of Rural Homeowner rights generally apply to all loans to guidance, and it would protect the farmers, ranchers, and aquatic interests of System competitors by The FCA’s proposal would clearly producers, including loans for the enforcing statutory restrictions. differentiate the authority of System purchase of a residence.7 Borrower The FCA proposes to delete banks and associations to finance homes rights do not, however, apply to rural § 613.3015, which directs a Farm Credit for agricultural and aquatic producers home loans. bank or association to determine the from all other rural residents. Proposed All bona fide agricultural and aquatic eligibility of an applicant who both § 613.3030(a)(1) would define an producers are required by section conducts agricultural or aquatic eligible rural homeowner as a person 4.3A(c)(1)(D)(i) of the Act to own voting operations and owns a farm-related who is not a bona fide farmer, rancher, stock in the FCS bank or association that business, using one or any combination or aquatic producer or harvester within extends credit to them, including home of the criteria in the existing regulations. the meaning of proposed loans. In contrast, non-farm rural The existing regulation is not needed to § 613.3000(a)(2). The definition of ‘‘rural residents hold non-voting participation interpret the Act nor to promote safety home’’ in proposed § 613.3030 would certificates in FCS banks and and soundness. Clearly, sections 1.11(a) no longer incorporate current associations. and 2.4(a) of the Act and proposed § 613.3040(e)(1), which requires either § 613.3000 authorize FCS banks and that the: (1) Property lack the capacity 2. Definition of Rural Home associations to finance the ‘‘other credit to produce agricultural products on a Proposed § 613.3030(a)(2) defines a needs’’ of bona fide farmers, ranchers, sustainable basis; or (2) borrower does ‘‘rural home’’ as a single-family and aquatic producers and harvesters. not use the property for agricultural moderately priced dwelling located in a For this reason, System banks and purposes. These provisions were the rural area that will serve as the associations can finance farm-related regulatory mechanism for ensuring that occupant’s principal residence. Sections businesses that are owned by eligible housing loans to farmers were 1.11(b)(2) and 2.4(b)(1) of the Act agricultural or aquatic producers under considered agricultural loans rather explicitly limit the non-farm rural home either proposed §§ 613.3000 or than rural home loans. The proposed financing authority of FCS banks and 613.3020. The FCA observes, however, regulations addresses this issue by associations to single-family moderately that a System bank or association could excluding farmers from the definition of priced houses. The proposed regulation not finance the ‘‘other credit needs’’ of rural homeowner. The FCA also deletes the requirement in existing an eligible farm-related business that is proposes to repeal existing not owned by a bona fide farmer, § 613.3040(e)(2), which applies the 7 In some instances, the protections of another rancher, or aquatic producer. price, locality, and portfolio restrictions Federal law will supplant the borrower rights in sections 1.11(b) and 2.4 (b)(1), (b)(2), provisions of the Act. For loans covered by the D. Non-farm Rural Home Loans Federal Truth in Lending Act (TILA), 15 U.S.C. and (b)(3) of the Act to home loans that 1601, et seq., FCS lenders must provide the Sections 1.9(3), 1.11(b) and 2.4(b) of System banks and associations make to disclosures required by the TILA in lieu of the the Act authorize FCBs, ACBs, and their certain farmers, ranchers, and aquatic effective interest rate disclosures that are otherwise affiliated associations to finance single- producers and harvesters. applicable to loans pursuant to subpart K of part 614. The TILA applies to all loans for which the family, moderately priced homes for The FCA believes that this new principal purpose is residential housing, regardless residents of rural areas where the approach will clarify the authority of of whether the loan is classified as an agricultural population does not exceed 2,500 System lenders to finance homes for or rural housing loan under FCA regulations. 47110 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules regulations that System banks and homeowners who borrow from the FCS within a State or the Commonwealth of associations finance only owner- to have more flexibility in financing and Puerto Rico, including communities that occupied homes, because this limitation utilizing the equity in their homes. have a population of not more than does not appear in the Act. The The FCA believes line-of-credit loans 2,500 inhabitants based on the latest proposal retains, however, a are compatible with sections 1.11(b) and decennial census of the United States. requirement that the home be used as a 2.4(b) of the Act and the current The United States Bureau of Census is primary residence. This requirement regulation, which authorize System an expert, official, and neutral source would implement the Act’s stated intent institutions to finance the housing for accurate and accessible information that the System provide financing for needs of non-farm rural residents. about the demographics of rural areas. housing for rural residents. The FCA is Furthermore, home equity loans would The United States census examines the concerned that an infrequently occupied enable FCS banks and associations to population density in each State and vacation home would not be compatible fulfill their mission of providing for an then classifies the territories with 2,500 with Congressional intent. This change adequate and flexible flow of credit for or fewer inhabitants as ‘‘rural areas.’’ will enable the System to finance housing in rural areas. Homeowners in The United States Bureau of the Census moderately priced rural homes that rural communities often lack affordable does not utilize political boundaries to shall be used as the principal residence credit options that are widely available determine whether an area is rural. The of either the borrower or another rural in metropolitan areas. United States census often identifies resident. Thus, a borrower who intends The FCA also observes that home rural pockets (with 2,500 inhabitants or to occupy the home in the future, equity loans are compatible with the fewer) that are located inside standard perhaps as a retirement residence, existing authority of production credit metropolitan statistical areas. The would be eligible for financing so long associations (PCAs) and agricultural proposed regulation would enable FCS as the house was leased to a tenant, in credit associations (ACAs) under section banks and associations to finance non- the interim, as the tenant’s principal 2.4(b) of the Act to take either a first or farm housing in such designated rural residence. second lien on a rural home. Under areas. The FCA proposes to remove the existing FCA regulations, FCBs, ACBs, Proposed § 613.3030(a)(3) would passage in § 613.3040(a)(2) that Federal land credit associations replace the definition of ‘‘rural area’’ in describes rural homes as ‘‘conventional (FLCAs), and ACAs can, for certain current § 613.3040(a)(3). Census data housing, modular housing, or mobile purposes, make a line-of-credit loan that satisfies all of the criteria for ‘‘rural homes which are related to a specific is secured by a first lien on an areas’’ that are specified by existing site.’’ The FCA believes that any type of unencumbered rural home that is § 613.3040(a)(3). This proposal would dwelling that is moderately priced and occupied by the borrower. Furthermore, also delete the current regulatory located in a rural area may be financed, an FCS long-term mortgage lender that requirement that the FCA approve rural so the passage is not necessary to already holds the first lien on the areas that include ‘‘towns’’ where the implement the Act. Section 613.3030(b) property could take a second lien to population exceeds 2,500 people. Since retains a provision that allows a secure the home equity line-of-credit 1971, the FCA has acted on only a few borrower to obtain financing from the loan. requests to approve rural areas System on only one home at any one For these reasons, proposed including such towns. Moreover, the time. This limitation, which derives § 613.3030(b) would enable FCS banks FCA believes that the Bureau of the from the Act’s legislative history, and associations to offer home equity Census designation of a ‘‘rural area’’ prevents the System from financing loans to non-farm rural residents in may provide significantly more reliable rural housing developers. addition to the types of loans that are and flexible data for System institutions The existing regulation, § 613.3040(c), already authorized by existing because it disregards political allows FCS banks and associations to § 613.3040(c). The FCA also proposes boundaries and is updated to reflect make loans to non-farm rural residents conforming revisions to § 614.4222. The changing conditions. solely for the purpose of buying, FCA emphasizes that FCS lenders could 4. Definition of Moderately Priced building, remodeling, improving, only make home equity line-of-credit repairing a rural home, and refinancing financing on rural homes that comply The FCA also proposes to replace the existing indebtedness thereon. System with the requirements of proposed definition of ‘‘moderately priced’’ representatives have frequently § 613.3030. The FCA fully expects home housing in existing § 613.3040(c)(2) petitioned the FCA to remove this equity loans to be prudently with new § 613.3030(a)(4). The revised restriction so that they can offer equity underwritten. The FCA notes that this definition would provide System banks lines-of-credit loans to rural proposal would grant FCS institutions and associations with a clear standard homeowners. reasonable flexibility to make rural for determining whether a rural home is The FCA observes that although home home loans within the 15-percent ‘‘moderately priced.’’ The FCA proposes equity loans were not generally portfolio limit that is imposed by a two-part definition for ‘‘moderately available loan products when the rural statute. priced’’ rural homes. The first part is a home financing authority was granted to safe-harbor provision for rural home the FCS in 1971, neither the Act nor 3. Definition of Rural Area loans that qualify under section FCA regulations preclude revolving The FCA proposes to revise the 8.0(1)(B) of the Act for programs of the lines of credit secured by home equity. regulatory definition of ‘‘rural area’’ to Federal Agricultural Mortgage During the intervening years, however, provide a standard that is clear, Corporation (Farmer Mac). Loans the residential mortgage markets have consistent, and easy to apply. The qualify as collateral for Farmer Mac developed so that home equity lines of proposed definition will also eliminate securities if they are secured by rural credit are now standard loan products the need for System institutions to seek homes that are located in communities that mortgage lenders routinely offer to FCA guidance about whether a of fewer than 2,500 inhabitants and their clientele. Home equity loans particular locality is a ‘‘rural area’’ have a purchase price of not more than would enable the rural home lending within the meaning of these regulations. $100,000, as adjusted for inflation. authority of the FCS to reflect current Proposed § 613.3030(a)(3) defines a Thus, a rural home would be considered market practices and would allow rural ‘‘rural area’’ as a designated territory ‘‘moderately priced’’ for the purposes of Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules 47111 proposed § 613.3030(a)(4)(i) if the loan 1.11(b)(2) and 2.4(b)(2) of the Act, III. Eligibility and Scope of Financing complies with Farmer Mac’s which limit non-farm rural home loans Under Title III of the Act underwriting standards. to 15 percent of the total outstanding The FCA proposes to revise and The second alternative, proposed loans of each FCS bank or association. clarify regulations that govern eligibility § 613.3030(a)(4)(ii), allows Farm Credit Although the FCA has rewritten these and scope of financing for BCs and banks and associations to finance rural provisions to enhance their clarity, the ACBs. The proposed regulations will homes that are below the 75th substantive requirements of existing implement provisions of the Farm percentile of housing values, ranked § 613.3040(d)(2) remain the same. Credit Banks and Associations Safety from the lowest value to the highest Proposed § 613.3030(c)(1) continues to and Soundness Act of 1992 10 (1992 Act) value in the rural area where it is restrict the rural home portfolio of each and the Farm Credit System located, as published by the United FCB or ACB to 15 percent of its total Agricultural Export and Risk States Bureau of the Census in the most outstanding loans at any one time. Management Act 11 (1994 Act) that recent edition of the Census of Housing, Under proposed § 613.3020(c)(2), rural expand the ability of BCs and ACBs to General Housing Characteristics. This home loans by each direct lender finance: (1) Cooperatives; (2) their provision will enable the FCS to finance parents, subsidiaries, and other entities homes valued in excess of $100,000 in association could not exceed 15 percent of its total outstanding loans at the end in which eligible cooperatives hold an areas in which such homes are still ownership interest; and (3) water and properly considered as moderately of its preceding fiscal year, except with the prior approval of its funding bank. waste disposal facilities. The FCA also priced. proposes to amend these regulations so The FCS relied on a similar model Proposed § 613.3030(c)(3) restricts the that BC and ACB loans to rural electric until the early 1980’s. At the time, the aggregate of rural home loans made by and telecommunication utilities are FCA provided administrative guidance all direct lender associations that are compatible with recent revisions to the to the System by annually publishing an funded by the same Farm Credit bank to Rural Electrification Act of 1936, 7 upper limit for moderately priced 15 percent of the total outstanding loans of all such associations at the end of the U.S.C. 901 et seq. housing. The upper value of moderately This proposal retains the format in funding bank’s preceding fiscal year. priced housing was derived from which the domestic lending authorities housing prices throughout the United 6. Other Deletions and international lending authorities of States, stratified from the lowest to the these banks are addressed in two highest sales figures. The FCA’s The FCA proposes to delete the separate regulations. The FCA proposes proposal provides a more appropriate existing program limitations in to redesignate current § 613.3110, and accurate measure of ‘‘moderately § 613.3040(d)(1) and (d)(3). Existing however, as new § 613.3100, and to priced’’ housing, because it examines § 613.3040(d)(1) is obsolete because it rearrange this regulation so it addresses housing prices in the designated rural prohibits rural home lending in each eligibility, and when appropriate, areas where the property is located, Farm Credit district without the purposes for financing for each of the rather than the entire United States. approval of the now-defunct district following classes of domestic borrowers: In most designated rural areas with a boards.8 Moreover, no provision of the (1) Cooperatives, their parents, population between 1,000 and 2,499 Act requires associations to obtain subsidiaries, and other related entities persons, the 75th percentile for housing approval from their funding bank or the that serve farmers, ranchers, and aquatic prices does not exceed the Farmer Mac FCA before they can exercise their producers and harvesters; (2) electric threshold of $100,000, as adjusted for and telecommunications utilities; (3) inflation. As a result, most of the rural statutory authority to make rural home loans. water and waste disposal facilities; and housing in the United States would (4) domestic lessors. Similarly, the FCA satisfy either provision of proposed Finally, the FCA proposes to delete proposes to redesignate § 613.3120 as § 613.3030(a)(4). However, when the § 613.3040(d)(3), which states that new § 613.3200, which will clearly 75th percentile for home prices in ‘‘agricultural loans shall receive priority delineate eligibility and purposes for designated rural areas exceeds $100,000, to the exclusion of rural home loans’’ if financing for the following categories of as adjusted for inflation, System loan funds for the System are curtailed. international loan transactions: (1) institutions could finance homes that This provision derives from a Imports; (2) exports; and (3) satisfy the criteria of proposed commitment that the FCA gave to international business transactions. § 613.3020(a)(4)(ii) and still comply Congress in 1971, when System banks Current § 613.3005(b) will be deleted with Congressional intent that the and associations were first granted by this proposal because it prescribes System finance only moderately priced authority to finance non-farm rural business objectives and management homes. homes.9 The FCA continues to adhere to practices. From the FCA’s perspective, The FCA proposes to delete this commitment. However, existing § 613.3005(b) is not necessary to § 613.3040(c), and instead rely on § 613.3040(d)(3) is a policy statement, implement or interpret the Act or to § 614.4210(b), which authorizes System rather than an enforceable regulatory promote safety and soundness. mortgage lenders to lend up to 97 provision. If a crisis curtails the ability percent of the appraised value of the A. Eligibility and Scope of Financing for of the FCS to meet the credit demands Domestic Loans security property if the loan is of agricultural and aquatic producers, guaranteed by a Federal, State, or other the FCA Board would use its statutory 1. Cooperatives and Related Entities government agency. This would permit authorities to ensure that the credit That Serve Agricultural and Aquatic FCS mortgage lenders to finance low- needs of agricultural and aquatic Producers equity rural home borrowers when the producers are given priority. Proposed § 613.3100 streamlines the loan is guaranteed by a Federal, State or provisions in current § 613.3110 which other government agency. 8 The district boards were abolished by Pub. L. 5. Portfolio Limitations No. 100–399, section 409(d), 102 Stat. 989, 1003, 10 Pub. L. No. 102–552, 106 Stat. 4102, (Oct. 28, (August 17, 1988). 1992). Both new § 613.3030(c) and existing 9 S.R. 92–307, 92nd Cong., 1st. Sess., (July 27, 11 Pub. L. No. 100–376, 108 Stat. 3497, (Oct. 19, § 613.3040(d)(2) implement sections 1971), p. 6. 1994). 47112 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules authorize BCs and ACBs to lend to the regulation require agricultural and activities of its cooperative subsidiary cooperatives and related entities that aquatic producers to hold at least 80 on the terms and conditions specified serve farmers, ranchers, and aquatic percent of the voting control of by the bank. Any legal entity in which producers and harvesters. The eligibility cooperatives that are eligible to borrow an eligible cooperative has an provisions for this class of borrowers are under title III of the Act. However, ownership interest would be eligible to scattered throughout paragraphs (a), (b), section 3.8(a)(4) of the Act and borrow from a BC or ACB under (c) and (d) of the current regulation. The § 613.3100(b)(1)(i) reduce the minimum proposed § 613.3100(b)(2)(ii). This FCA proposes to consolidate these voting control threshold of agricultural provision of the regulation reflects requirements for agricultural and and aquatic producers in service section 3(B) of the 1994 Act, which aquatic cooperatives, their parents, cooperatives and certain farm supply authorizes BCs and ACBs to finance, for subsidiaries, and other related entities cooperatives to 60 percent. Both the the first time, legal entities in which the into § 613.3100(b). Except to the extent current and proposed versions of this ownership interest of eligible that proposed § 613.3100(b) regulation allow the board of directors cooperatives is less than 50 percent. incorporates recent statutory of a BC or ACB to adopt resolutions that However, the amount of financing that amendments that expand the authority impose a higher voting control a BC or ACB can provide to entities in of BCs and ACBs to lend to cooperatives threshold on any type of cooperative. which eligible cooperatives hold less and their affiliates, this reorganization is The FCA proposes to delete the than a 50-percent ownership interest not intended to alter the substance of remainder of current § 613.3110(b)(2), under section 3.7(b)(2)(A)(ii) of the Act the current regulation. which prescribes detailed procedures and proposed § 613.3100(b)(2)(ii) cannot Proposed § 613.3100(a)(1) defines a about how BCs and ACBs should: (1) exceed the percentage that eligible cooperative as any association of Treat all eligible cooperatives equitably; cooperatives own in the entity farmers, ranchers, producers or (2) compel borrowers to make good faith multiplied by the value of the entity’s harvesters of aquatic products, or any representations about voting control by total assets. For example, an entity with federation of such associations, which agricultural and aquatic producers; and $100 million in total assets that is 45- conducts business for the mutual benefit (3) document voting control of eligible percent owned by eligible cooperatives of its members and has the power to: (1) cooperatives in certain circumstances. could receive financing from a BC or Process, prepare for market, handle, or Such regulatory prescriptions are ACB that does not exceed $45 million. market farm or aquatic products; (2) deemed unnecessary for the Proposed § 613.3100(b)(2)(iii) derives purchase, test, grade, process, distribute, enforcement of eligibility limitations. from section 506 of the 1992 Act, which or furnish farm or aquatic supplies; or Proposed § 613.3100(b)(1)(ii) retains, authorizes BCs and ACBs to finance (3) furnish business or financially with minor stylistic revisions, the creditworthy, non-profit service related services to their members. current statutory requirement that each cooperatives and their subsidiaries, if The FCA proposes to revise the cooperative deal in farm or aquatic they benefit agriculture in furtherance of definition of service cooperative in products or products processed the welfare of the farmers, ranchers, and current § 613.3110(a)(4) so that it more therefrom, farm or aquatic supplies, aquatic producers and harvesters who closely reflects the language of the Act. farm or aquatic business services, or are its members. Many of the Under the current regulation, an eligible financially related services with or for cooperative eligibility criteria in service cooperative is ‘‘predominately members in an amount at least equal in § 613.3100(b)(1) apply to this new class involved in providing specialized value to the total amount of such of borrowers. First, only eligible service business services related to the business that it transacts with or for cooperatives and their subsidiaries agricultural or aquatic business nonmembers. Transactions with the qualify for loans under proposed operation of farmers, ranchers, or United States, its agencies and § 613.3100(b)(2)(iii). The regulation producers and harvesters of aquatic instrumentalities, and public utilities requires farmers, ranchers, and aquatic products, or cooperatives.’’ This are excluded from the amount of producers and harvesters to hold at least regulatory definition is more restrictive business that a cooperative conducts 60 percent of the voting control in a than section 3.8(a) of the Act, which with either members or nonmembers. service cooperative which is either the only requires such cooperatives to Redesignated § 613.3100(b)(1)(iii) borrower, or the borrower’s parent. furnish ‘‘farm or aquatic business retains, without substantive Second, eligibility under proposed services or services’’ to their members. amendment, the requirements in section § 613.3100(b)(2)(iii) is predicated upon Because the Act does not require 3.8(a) of the Act and current compliance with proposed eligible service cooperatives to serve § 613.3110(b)(4) that: (1) No member of § 613.3100(b)(1)(iii), which requires only the agricultural or aquatic business an eligible cooperative has more than cooperatives to either: (1) Operate on operations of their members, proposed one vote because of the amount of stock the principle of one person, one vote; or (and redesignated) § 613.3100(a)(5) or membership capital owned therein; (2) restrict dividends on stock or would enable BCs and ACBs to finance or (2) an eligible cooperative restricts membership capital to 10 percent per service cooperatives that are dividends on stock or membership year, or the maximum percentage per predominately involved in providing capital to 10 percent per year, or the year permitted by applicable State law, both business services and financially maximum percentage per year permitted whichever is less. Neither section related services to farmers, ranchers, by applicable State law, whichever is 3.8(b)(1)(D) of the amended Act, nor aquatic producers and harvesters, or less. § 613.3100(b)(2)(iii) of the proposed cooperatives. Cooperatives that satisfy Proposed § 613.3100(b)(2) enables regulations require this category of the criteria in proposed § 613.3100(b)(1) legal entities that are affiliated with borrowers to transact more business are eligible to borrow from a BC or ACB. eligible cooperatives to borrow from BCs with members than non-members. Proposed § 613.3100(b)(1)(i) and ACBs. Under proposed implements section 3.8(a)(4) of the Act, § 613.3100(b)(2)(i), any legal entity that 2. Electric, Telecommunications, and which requires agricultural and aquatic holds more than 50 percent of the voting Cable Television Utilities producers to hold a specified percentage control of any eligible cooperative may The FCA proposes to update and of the voting control of an eligible borrow from a BC or ACB as long as it consolidate the regulations that cooperative. Generally, both the Act and uses the loan proceeds to fund the authorize BCs and ACBs to finance Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules 47113 public utilities that provide electric, and ACBs to finance any legal entity and ACBs to finance affiliated entities telecommunication, and cable television that holds more than 50 percent of the that facilitate the business operations of services in rural areas. Section 1322 of voting control of any eligible electric or eligible rural electric or telephone the Food Security Act of 1985 12 telecommunication utility if the utilities. For this reason, proposed significantly expanded the authorities of borrower uses the proceeds of the loan § 613.3100(c)(2) would authorize BCs the BCs (and subsequently the ACBs) to to fund the activities of its subsidiary on and ACBs to finance an eligible finance rural utilities. Prior to 1985, the terms and conditions specified by subsidiary of an electric or only electric and telephone cooperatives the bank. The subsidiaries and other telecommunication utility that is in which agricultural or aquatic entities in which eligible utility licensed to provide cable television producers held 60 percent of the voting borrowers hold an ownership interest services in a designated rural control were eligible for loans under also qualify for BC and ACB loans under community. title III of the Act. After 1985, any rural amended section 3.7(b)(2)(A)(ii) of the electric or telephone utility that Act and proposed § 613.3100(c)(1). 3. Water and Waste Disposal Facilities qualifies for financing from either the However, when eligible rural electric In 1990, Congress added section 3.7(f) former Rural Electrification and telecommunication utilities own to the Act,14 granting BCs and ACBs Administration (now the Rural Utilities less than 50 percent of another entity, new authorities to finance water and Services (RUS)), or the Rural Telephone section 3.7(b)(2)(A)(ii) of the Act and waste disposal facilities in rural areas Bank (RTB) of the United States proposed § 613.3100(c)(3) limit bank where the population does not exceed Department of Agriculture is eligible to financing to an amount that does not 20,000 inhabitants. The 1992 Act borrow under section 3.8(b)(1)(A) of the exceed the ownership percentage expanded the scope of financing so that Act. Section 3.8(b) of the Act allows the multiplied by the total assets of such BCs and ACBs could also finance the corporate parents, subsidiaries, and entity. maintenance and operations of such other related entities of such rural The FCA proposes that water and waste disposal facilities.15 utilities to borrow from BCs and ACBs, § 613.3100(a)(3) and (c) refer to The FCA proposes to add a provision to as well. ‘‘telecommunication,’’ rather than the regulation that will reflect this new The statutory eligibility standards for ‘‘telephone’’ services. This proposed statutory authority. rural electric and telecommunication revision reflects the fact that Congress Under proposed § 613.3100(d)(1), a utilities are incorporated into recently amended the definition of cooperative, or a public, quasi-public § 613.3100(c)(1) of the proposed ‘‘telephone service’’ in section 203(a) of agency, body, or other public or private regulation, which consolidates all of the the Rural Electrification Act of 1936, 7 entity that under the authority of State rural utilities eligibility and scope of U.S.C. 924(a), to encompass new or local law establishes and operates financing provisions that are now telecommunication technologies.13 water and waste disposal facilities in a scattered throughout paragraphs (c)(1), Whereas 7 U.S.C. 924(a) previously rural area would be eligible to borrow (c)(2), and (c)(3) of existing § 613.3110. defined ‘‘telephone services’’ as from a BC or ACB. For the purposes of Utilities cooperatives in which at least communications ‘‘through the use of proposed § 613.3100(d), a rural area is 60 percent of the voting control vests electricity between the transmitting and defined by statute as all territory of a with agricultural or aquatic producers receiving apparatus,’’ the statute now State that is not within the outer continue to separately qualify for BC refers to communications ‘‘by wire, boundary of any city or town having a and ACB loans under section fiber, radio, light, or other visual or population of more than 20,000 3.8(a)(4)(A) of the Act. State laws electromagnetic means.’’ As a result, inhabitants based on the latest usually require utilities to provide cellular, facsimile, cable television, decennial census of the United States. electric or telephone service to all speed data services and other Proposed § 613.3100(d)(2) would inhabitants of a specific geographic technologically advanced authorize BCs and ACBs to extend territory. As a result of the growth of the communication services are credit to these borrowers for the non-farm population in rural areas, increasingly available in rural areas. installation, maintenance, expansion, virtually no utility cooperative still Accordingly, proposed § 613.3100(c)(2) improvement, or operation of rural satisfies the statutory requirement that authorizes BCs and ACBs to finance water and waste disposal facilities. farmers, ranchers, and aquatic these new telecommunication producers comprise at least 60 percent technologies and services. 4. Loans to Domestic Lessors of its membership. The FCA Proposed § 613.3100(c)(2) would The FCA proposes to redesignate understands that BCs and ACBs no authorize BCs and ACBs to extend existing § 613.3110(c)(4) as new longer receive loan applications from credit to eligible borrowers so they can § 613.3100(e). Under this provision, a borrowers who meet the criteria of provide electric or telecommunication BC or ACB may extend credit to section 3.8(a)(4)(A) of the Act. services in rural areas. Although the domestic parties to finance the Therefore, the FCA proposes to delete eligibility of rural utilities to borrow acquisition of facilities or equipment specific references in the regulations to from a BC or ACB is now based that will be leased to shareholders of the this class of borrowers. However, the primarily upon their eligibility for RUS bank for use in their operations within FCA notes that utility cooperatives in or RTB loans, the purposes for financing the United States. The lease customers rural areas almost always satisfy the less for utilities is not directly governed by of eligible borrowers include any stringent eligibility criteria of the RUS the Rural Electrification Act of 1936 as cooperative, rural electric or or the RTB. As a result, BCs and ACBs amended. Section 203(a) of the Rural telecommunication utility, or water or now lend exclusively to borrowers who Electrification Act of 1936, as amended, waste disposal facility that is a are eligible for RUS or RTB loans. 7 U.S.C. 924(a) expressly prohibits cable shareholder of the BC or ACB. The Redesignated § 613.3100(c)(1)(ii) television carriers from obtaining loans corporate parents and subsidiaries of makes minor stylistic edits to existing from the RUS or RTB. However, section § 613.3110(c)(3), which authorizes BCs 3.7(b)(2)(A)(ii) of the Act permits BCs 14 Pub. L. No. 101–624, section 2323(a), 104 Stat. 4013, (Nov. 28, 1990). 12 Pub. L. No. 99–198, section 1322, 99 Stat. 1534 13 Pub. L. No. 101–624, section 2354, 104 Stat. 15 Pub. L. 102–552, section 505, 106 Stat. 4131, (Dec. 23, 1985). 4039, (Nov. 28, 1990). (Oct. 28, 1992). 47114 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules cooperatives and rural electric and 1. Import Transactions 3. International Business Transactions telecommunication utilities may also The 1994 Act did not alter the Prior to 1994, section 3.7(b) of the Act lease from the borrower. The FCA eligibility and scope of financing authorized BCs and ACBs to finance observes that the authority of BCs and requirements for agricultural, aquatic, only the domestic and foreign legal ACBs to make loans to domestic lessors and farm supply imports that are entities that facilitated the import and is separate and distinct from the banks’ financed by a BC or ACB. Although the export transactions of their cooperative authority to lease equipment to their FCA’s proposal restructures the existing owners. As amended by section 3 of the shareholders under section 3.7(a) of the regulation by consolidating all of the 1994 Act, this statutory provision now Act. eligibility and scope of financing authorizes BCs and ACBs to extend requirements for import transactions credit to any domestic or foreign legal 5. Status of Certain Borrowers into § 613.3200(b), the FCA has not entity that facilitates the foreign Section 3.8(b)(4) of the Act preserves changed the substance of current business operations of an eligible the eligibility of existing BC or ACB § 613.3120. The proposed regulation cooperative that holds an ownership borrowers despite adverse changes in continues to authorize BCs and ACBs to interest in it. This new statutory the law. Existing § 613.3110(b)(5) finance the import of agricultural authority is incorporated into proposed ‘‘grandfathers’’ parties who were actual commodities or products therefrom, § 613.3200(d). The FCA observes that BC borrowers on May 17, 1972. The aquatic products, and farm supplies into this new authority will enable BCs and FCA believes that it is no longer the United States for: (1) An eligible ACBs to assist their cooperative necessary for this regulation to contain cooperative; (2) a counterparty with customers in developing overseas a ‘‘grandfather’’ clause because the respect to a specific import transaction markets for American agricultural and aquatic exports, which in turn, will statute adequately protects such with a voting stockholder of the bank for the substantial benefit of the ultimately increase the income of borrowers. The eligibility of current BC shareholder; and (3) any foreign or America’s farmers, ranchers, and and ACB borrowers will not be domestic legal entity in which eligible aquatic producers. adversely affected by the removal of this cooperatives hold an ownership 4. Restrictions regulatory provision. interest. Proposed § 613.3200(e) contains B. Eligibility and Scope of Financing for 2. Export Transactions International Loan Transactions restrictions that the Act imposes on the Section 3 of the 1994 Act expanded international lending authorities of BCs The FCA proposes new § 613.3200, the authority of the BCs and ACBs to and ACBs. When eligible cooperatives which implements the expanded finance parties who facilitate the export own less than 50 percent of a foreign or statutory authority of BCs and ACBs to of agricultural and aquatic products and domestic legal entity, section finance the import, export, and farm supplies from the United States to 3.7(b)(2)(A)(ii) of the Act and proposed international business transactions of foreign countries. As amended, section § 613.3200(e)(1) limit the amount of cooperatives and other eligible 3.7(b)(2)(A) of the Act extends eligibility financing that a BC or ACB may provide borrowers. The FCA proposes for such export loans beyond eligible to the affiliated entity for any import, substantial revisions to the existing cooperatives, their related entities and export, or international business regulation in order to reflect the counterparties, to any domestic or transaction, to the percentage of provisions in the 1994 Act and enhance foreign party, provided that the BC or ownership that such cooperatives hold the regulation’s clarity. The FCA also ACB gives priority, to the extent in such entity multiplied by the value proposes several conforming and feasible, to cooperatively sourced of the entity’s total assets. Furthermore, technical amendments to products, commodities, and supplies. section 3.7(b)(2)(B) and proposed §§ 614.4010(d), 614.4020(a), 614.4233, The statute imposes limits on BC and § 613.3200(e)(2) prohibit BCs and ACBs and subpart Q of part 614 to reflect the ACB financing of exports that are not from financing the relocation of any expanded international lending both: (1) Originally sourced from plant or facility from the United States authorities of BCs and ACBs. cooperatives; and (2) guaranteed or to a foreign country. insured in an amount that equals or IV. Similar Entities Proposed § 613.3200(a) would define exceeds 95 percent of the loan amount ‘‘farm supplies’’ only for import and by an entity of the United States In 1992, Congress granted FCS banks export loan transactions. Under this Government. operating under title III of the Act new proposal, ‘‘farm supplies’’ refers to These new statutory requirements are authority to participate in loans made inputs that are used in a farming or incorporated into proposed by non-System lenders to ‘‘similar ranching operation, but excludes § 613.3200(c), which provides that the entities.’’ 17 Section 2 of the 1994 Act agricultural processing equipment, total amount of balances outstanding on clarified this new authority,18 while machinery used in food manufacturing, loans that are not originally sourced section 5 of the 1994 Act granted similar or other capital goods which are not from cooperatives and at least 95- loan participation powers to Farm used in a farming or ranching operation. percent guaranteed by the Federal Credit banks operating under title I of This definition of ‘‘farm supplies’’ is government shall not, at any time, the Act and direct lender associations.19 consistent with the legislative history of exceed 50 percent of the bank’s capital. As amended, sections 3.1(11)(B) and the 1994 Act which indicates that Furthermore, both the Act and the 4.18A of the Act grant System banks and Congress did not intend the BCs and regulation require the board of directors associations broader authorities ACBs to use their international lending of each BC and ACB to adopt policies pertaining to eligibility and loan authorities to finance the import or and procedures that ensure that exports export of capital equipment and of agricultural products and 17 Pub. L. No 102–552, section 502, 106 Stat. 4130 (Oct. 28, 1992). 16 commodities, aquatic products, and machinery. 18 Pub. L. No. 103–376, section 2, 108 Stat 3497, farm supplies which originate from (Oct. 19, 1994). 16 140 Cong. Rec. S14236 (daily ed. Oct. 5, 1994) eligible cooperatives are financed on a 19 Pub. L. No. 103–376, section 5, 108 Stat 3497, (Colloquy between Senators Leahy and Lugar). priority basis. (Oct. 19, 1994). Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules 47115 participations. The FCA proposes precludes Farm Credit banks operating cooperatives, their subsidiaries, or their § 613.3300 to provide FCS banks and under title I of the Act and direct lender counterparties. direct lender associations with guidance associations from participating in rural Section 4.18A(b) of the Act allows about the scope of their new authorities. home loans under this similar entity each FCB, ACB, and direct lender Both sections 3.1(11)(B)(iv) and authority. association to ‘‘participate in any loan of 4.18A(a)(1) of the Act define For illustration purposes, the parties a type otherwise authorized under title ‘‘participate’’ and ‘‘participation’’ to who qualify as similar entities under I or II made to a similar entity * * *.’’ mean ‘‘multilender transactions, sections 3.1(11)(B) and 4.18A of the Act The FCA interprets this passage to mean including syndications, assignments, and the proposed regulations are that similar entity loans should still be loan participations, subparticipations, presented below. The FCA solicits compatible with the basic lending other forms of the purchase, sale, or comments about whether the final powers of each Farm Credit bank or transfer of interests in loans, or other regulation should provide a specific association. In other words, section extensions of credit, or other technical listing of the parties who qualify as 4.18A(b) of the Act would, for example, and financial assistance.’’ The FCA similar entities. Farm Credit banks and authorize FLCAs to participate only in proposes to incorporate this statutory direct lender associations that operate similar entity loans that are: (1) Secured definition into § 613.3300(a)(1). The under titles I or II of the Act would be by a first lien on real estate; and (2) FCA emphasizes that this definition authorized to participate with non- mature within not fewer than 5 years, would apply only to loan participations System lenders in loans to: (1) Parties nor more than 40 years. Similarly, this between FCS and non-System lenders who are ineligible to borrow under statutory provision would permit PCAs under sections 3.1(11)(B) and 4.18A of § 613.3000 but require financing for any to participate only in operating loans the Act and proposed § 613.3300. For all agricultural or aquatic purpose; (2) any that mature within the time prescribed transactions under sections 1.5(12), individual, cooperative, and other legal in section 1.10(b) of the Act. 2.2(13), and 3.1(11)(A) of the Act and entity that processes or markets Accordingly, § 613.3300(c) reflects the subpart H of part 614, ‘‘loan agricultural or aquatic products, but FCA’s interpretation of section 4.18A(b) participation’’ is defined by supplies no throughput from an of the Act. In the FCA’s opinion, the § 614.4325(a)(4) as a ‘‘fractional agricultural or aquatic operation; (3) a above-cited passage in section 4.18A(b) undivided interest in the principal processing or marketing operation in of the Act is compatible with sections amount of the loan.’’ which farmers, ranchers or aquatic 1.5(12)(C) and 2.2(13) of the Act, which The proposed regulation would authorize FCS banks and direct lender producers do not hold a controlling authorize FCS banks and associations to associations to participate with non- interest; and (4) parties who are provide related services to similar System lenders only in the type of loans ineligible to borrow under proposed entities. The FCA observes that the that such FCS institutions could § 613.3020, but operate farm or aquatic plain language of sections 3.1(11)(B)(iv) originate. and 4.18A(a)(1) of the Act permits FCS supply businesses that furnish services, Proposed § 613.3300(d) implements banks and associations to provide farm or aquatic equipment, and other the restrictions that sections ‘‘technical and financial assistance’’ to goods that are directly related to the 3.1(11)(B)(i) and 4.18A(b) of the Act similar entities. Accordingly, the FCA agricultural or aquatic operations of impose on loan participations to similar proposes a conforming amendment to farmers, ranchers, and aquatic entities. Proposed § 613.3300(d)(1) § 618.8005 to reflect this new statutory producers or harvesters. reflects statutory lending limits for loan authority. The FCA invites comments The FCA believes that title III lenders participations to similar entities. Under about whether the final regulation ought could participate in loans made by non- proposed § 613.3300(d)(1)(i)(A), the to provide further guidance about this System lenders to four types of ‘‘similar total amount of all loan participations financially related service authority. entities.’’ First, BCs and ACBs could that any FCB, ACB, or direct lender Sections 3.1(11)(B)(ii) and 4.18A(a)(2) participate in loans to any legal entity association may have outstanding under identify a ‘‘similar entity’’ as a party that that is not part of a cooperative proposed § 613.3300(b)(1) to a single is ineligible for a loan from an FCS bank enterprise, but: (1) Processes, prepares credit risk could not exceed 10 percent or association, but has operations that for market, handles, or markets farm or of its total capital. However, proposed are ‘‘functionally similar’’ to the aquatic products; (2) purchases, tests, § 613.3300(d)(1)(i)(B) would authorize activities of eligible borrowers. An grades, processes, distributes, or the shareholders of any FCB, ACB, or entity is functionally similar to an furnishes farm or aquatic supplies; or (3) direct lender to approve a higher eligible borrower if it derives a majority furnishes business and financially lending limit, provided it does not of its income from, or a majority of its related services primarily to farmers, exceed 25 percent of the institution’s assets are invested in, the conduct of the ranchers, and aquatic producers or total capital. This provision would activities that are functionally similar to harvesters. Second, BCs and ACBs could implement section 4.18A(b)(1) of the the activities that are conducted by participate in loans to electric utilities Act, which authorizes the FCA to permit eligible parties. The FCA proposes in that provide some service in rural a higher limit that would apply if § 613.3300(a)(2) a definition of similar communities, but for some reason are shareholders approve. This proposal is entity that is closely aligned with the ineligible to participate in RUS consistent with the lending limits that statutory definition. programs. Third, BCs and ACBs could FCA has established for loans to Proposed § 613.3300(b) reflects participate in loans to independent borrowers under titles I and II of the sections 3.1(11)(B)(ii) and 4.18A(a)(2) of power producers, so long as they sell Act. Under proposed the Act, which the FCA interprets to more than 50 percent of the electricity § 613.3300(d)(1)(ii), the total amount of mean that the borrower is ineligible that they generate to rural electric all loan participations that any BC or under sections 1.9, 1.11, 2.4, 3.7 and 3.8 utilities that are eligible for RUS loans. ACB may have outstanding under of the Act to borrow directly from a Finally, BCs and ACBs could participate proposed § 613.3300(b)(2) to a single System bank or association, but has a in loans that finance the import of credit risk could not exceed 10 percent credit need that an FCS lender could agricultural commodities and products, of its total capital. finance for an eligible borrower. Section aquatic products, and farm supplies for Under proposed § 613.3300(d)(2), the 4.18A(b)(4) of the Act expressly borrowers who are not eligible participation interest in the same loan 47116 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules held by one or more Farm Credit bank(s) association to obtain BC or ACB stock or participation certificates should or association(s) could not, at any time, approval before it participates in a loan be required for participation interests in equal or exceed 50 percent of the to a similar entity that is eligible to similar entity loans. Proposed principal amount of the loan. This borrow directly from a Farm Credit bank § 613.3300(g) is consistent with section regulatory provision would implement operating under title III of the Act. Both 4.3A of the Act and § 615.5220. sections 3.1(11)(B)(i)(I)(bb) and the Act and the proposed regulation 4.18A(b)(2) of the Act. Sections require approval from the BC or ACB V. Miscellaneous 3.1(11)(B) and 4.18A of the Act also that, at the time of origination, has the The FCA proposes to delete existing limit the amount of loan participations greatest volume of loans (made under § 613.3060, which simply states that to similar entities that each FCS bank or title III of the Act) in the State where the direct lender associations and other direct lender association may hold at headquarters of the similar entity is financing institutions (OFIs) are eligible any time to 15 percent of its total located. to borrow from FCBs and ACBs. outstanding assets. Therefore, proposed Similarly, proposed § 613.3300(e)(4) Regulations in subparts C and P of part § 613.3300(d)(3) applies this 15-percent implements section 3.1(11)(B)(iii) of the 614 specifically implement the portfolio limit to FCBs, BCs, ACBs, and Act by requiring a BC or ACB to obtain authority of FCBs and ACBs to fund and direct lender associations. FCB approval before it participates with discount loans for direct lender Proposed § 613.3300(e) would a non-System lender in a loan to a associations and OFIs under section 1.7 implement requirements of sections similar entity that is eligible to borrow of the Act rendering this section 3.1(11)(B) and 4.18A(c)(3) concerning directly from an FCB or a direct lender redundant. approval by other FCS banks and association under proposed §§ 613.3010 The FCA also proposes to delete the associations. Proposed § 613.3300(e)(1) or 613.3030. The BC or ACB is required following regulations: §§ 619.9025; implements a statutory provision that to obtain approval from the FCB(s) in 619.9030; 619.9040; 619.9065; 619.9080; requires a direct lender association to whose chartered territory the similar 619.9090; 619.9100; 619.9120; 619.9150; obtain approval from its funding bank entity conducts operations. As the FCA 619.9160; 619.9190; 619.9220; 619.9270; before it participates with a non-System interprets section 3.1(11)(B)(iii) of the 619.9280; 619.9300; and 619.9310. lender in a loan to a similar entity. The Act, approval by two FCBs would only These regulations define certain terms FCA believes that a funding bank’s be required when both banks are that pertain to eligibility and scope of decision to grant or deny approval chartered to fund mortgage and short- financing. Many of these definitions are under section 4.18A(c)(3) of the Act and and intermediate-term operating loans not identical to either the existing or proposed § 613.3300(e)(1) should rest in the same chartered territory. When proposed regulations in part 613. This exclusively on safety and soundness one FCB discounts production loans in deletion will reduce duplication and considerations that the transaction a territory where another FCB funds potential for confusion. would have on the bank’s financial solely mortgage loans, the BC or ACB Finally, the FCA proposes to relocate position. Direct lender associations have would only be required to obtain the nondiscrimination in lending not previously participated with non- consent from the FCB with the authority regulations in subpart E of part 613 to System lenders in syndications and to finance the similar entity. a new part 626. Nondiscrimination is other multilender transactions that Pursuant to sections 3.1(11)(B)(iii) unrelated to eligibility and scope of provide credit to ineligible borrowers. and 4.18A(c)(2) of the Act, proposed financing, and therefore, the FCA The FCA solicits comments from § 613.3300(e)(5) grants FCS institutions believes that this topic should be interested parties about how the final broad latitude to negotiate agreements addressed in a separate part of the regulation can best accord equitable that confer intra-System consents regulations. treatment to both funding banks and required by the Act and FCA their affiliated associations. regulations. List of Subjects Proposed § 613.3300(e)(2) would Proposed § 613.3300(f) reflects the 12 CFR Part 613 require a Farm Credit bank operating FCA’s determination that borrower under title I of the Act or a direct lender rights do not apply to participation Agriculture, Banks, Banking, Credit, association to comply with § 614.4070 interests that FCBs, ACBs, and Rural areas. before it participates in a similar entity associations hold in similar entity loans. 12 CFR Part 614 Sections 4.14A(a)(5) and 4.14A(a)(6)(A) loan in the chartered territory of another Agriculture, Banks, Banking, Foreign of the Act require Farm Credit banks FCS institution. These provisions are Trade, Reporting and recordkeeping (operating under title I of the Act) and designed to prevent intra-System requirements, Rural areas. competition without the consent of associations to accord borrower rights affected institutions. Requiring consent on loans to eligible borrowers that they 12 CFR Part 618 for similar entity participations would make to bona fide farmers, ranchers, and Agriculture, Archives and records, be consistent with the FCA’s policy for aquatic producers and harvesters. Banks, banking, Insurance, Reporting out-of-territory participations and loans Borrower rights would not apply to and recordkeeping requirements, Rural to eligible borrowers. However, some similar entity loans because the areas, Technical assistances. System institutions have informed the borrower is ineligible to borrow directly Agency that obtaining consent is time- from an FCS bank or association and the 12 CFR Part 619 consuming and impedes their ability to loan is originated by a non-System Agriculture, Banks, Banking, Rural engage in participation transactions. As lender. areas. the Act is silent on this point, the FCA The capitalization requirements for seeks public comment on whether similar entity loan participations is 12 CFR Part 626 consent for out-of-territory addressed by proposed § 613.3300(g). Advertising, Aged, Agriculture, participations to similar entities ought This provision of the proposed Banks, Banking, Civil rights, Credit, Fair to be required. regulation would require the housing, Marital status discrimination, Proposed § 613.3300(e)(3) would capitalization bylaws of each Farm Sex discrimination, Signs and symbols. implement section 4.18A(c)(1) of the Credit bank and association to address For the reasons stated in the Act by requiring a FCB or direct lender whether, and to what extent, non-voting preamble, parts 613, 614, 618, 619, and Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules 47117 626 of chapter VI, title 12 of the Code other legal entity, excluding legal basis, less than 20 percent of the of Federal Regulations are proposed to entities eligible under title III of the Act, throughput are subject to the following be amended to read as follows: that is established pursuant to the laws restrictions: of the United States, any State thereof, (1) Bank limitation. The aggregate of PART 613ÐELIGIBILITY AND SCOPE the Commonwealth of Puerto Rico, or such processing and marketing loans OF FINANCING the District of Columbia and is legally made by a Farm Credit bank shall not exceed 15 percent of all its outstanding 1. The authority citation for part 613 authorized to conduct a business. retail loans at the end of the preceding is revised to read as follows: (b) Eligible borrowers. A bona fide farmer, rancher, or producer or fiscal year. Authority: Secs. 1.5, 1.7, 1.9, 1.10, 1.11, harvester of aquatic products is eligible (2) Association limitation. The 2.2, 2.4, 2.12, 3.1, 3.7, 3.8, 3.22, 4.18A, 4.25, to borrow under either title I or II of the aggregate of such processing and 4.26, 4.27 5.9, 5.17 of the Farm Credit Act (12 marketing loans made by all direct U.S.C. 2013, 2015, 2017, 2018, 2019, 2073, Act. (c) Financing for agricultural or lender associations affiliated with the 2075, 2093, 2122, 2128, 2129, 2143, 2206a, same Farm Credit bank shall not exceed 2211, 2212, 2213, 2243, 2252). aquatic needs. Any borrower who is eligible under paragraph (b) of this 15 percent of the aggregate of their 2. Subparts A, B, C, and D of part 613 section may obtain financing for any outstanding retail loans at the end of the are revised to read as follows: agricultural or aquatic purpose. preceding fiscal year. Each Farm Credit Subpart AÐFinancing Under Titles I and II (d) Financing for other credit needs. bank, in conjunction with all its of the Farm Credit Act (1) Individual eligible borrowers who affiliated direct lender associations, Sec. are either citizens or permanent shall ensure that such processing or 613.3000 Financing for farmers, ranchers, residents of the United States and are marketing loans are equitably allocated and aquatic producers or harvesters. actively engaged in agricultural or among its affiliated direct lender 613.3010 Financing for processing or aquatic production may also obtain associations. marketing operations. financing for: (3) Calculation of outstanding retail 613.3020 Financing for farm-related (i) Housing and domestic needs; and loans. For the purposes of this businesses. (ii) Other business needs in an paragraph, ‘‘outstanding retail loans’’ 613.3030 Rural home financing. amount that does not exceed the market include loans, loan participations, and Subpart BÐFinancing for Banks Operating value of their agricultural or aquatic other interests in loans that are either Under Title III of the Farm Credit Act assets. bought without recourse or sold with 613.3100 Domestic lending. (2) Individual eligible borrowers who recourse. 613.3200 International lending. either own agricultural land as an § 613.3020 Financing for farm-related Subpart CÐSimilar Entity Authority Under investment, or are non-resident foreign businesses. Sections 3.1(11)(B) and 4.18A of the Act nationals, may obtain total financing for (a) Eligibility. An individual or legal their housing, domestic and other 613.3300 Participations and other interests entity that furnishes services to farmers in loans to similar entities. business needs in an amount that does and ranchers that are directly related to not exceed the market value of their their agricultural operations is eligible Subpart AÐFinancing Under Titles I agricultural or aquatic assets. to borrow under titles I and II of the Act. and II of the Farm Credit Act (3) Legal entities may obtain financing (b) Purposes of financing. An eligible for their other credit needs in an amount farm-related business may obtain § 613.3000 Financing for farmers, that does not exceed the market value of financing for its business needs, subject ranchers, and aquatic producers or their agricultural assets only if: harvesters. to the following requirements: (i) The securities of the borrower are (1) An eligible farm-related business (a) Definitions. For purposes of this not traded on a public exchange; and that derives more than 50 percent of its subpart, the following definitions apply: (ii) More than 50 percent of the assets income (as consistently measured on (1) Agricultural land means land that of the borrowing legal entity are used in either a gross sales or net sales basis) is devoted to or available for the agricultural or aquatic production. from furnishing services that are production of agricultural or aquatic directly related to the agricultural products. § 613.3010 Financing for processing or marketing operations. operations of farmers and ranchers may (2) Bona fide farmer, rancher, or obtain financing for all of its business (a) Eligible borrowers. A borrower is producer or harvester of aquatic needs. products means an individual or legal eligible for financing for a processing or (2) An eligible farm-related business entity that either: marketing operation under titles I and II that derives 50 percent or less of its (i) Produces agricultural products or of the Act, only if the borrower meets income (as consistently measured on produces or harvests aquatic products to the following requirements: either a gross sales or net sales basis) generate income; or (1) The borrower is either a bona fide from furnishing services that are (ii) Owns agricultural land. farmer, rancher, or producer or directly related to the agricultural (3) Individual means a natural person harvester of aquatic products or is a operations of farmers and ranchers may who is either: legal entity in which eligible borrowers obtain financing only for those credit (i) A citizen of the United States; or under § 613.3000(b) hold a controlling needs that are related to the provision (ii) A foreign national who has been interest; and of farm-related services. lawfully admitted into the United States (2) The borrower or an owner of a for permanent residency pursuant to 8 borrowing legal entity consistently § 613.3030 Rural home financing. U.S.C. 1101(a)(20) or on a visa pursuant produces some portion of the (a) Definitions. to a provision in 8 U.S.C. 1101(a)(15) throughput used in the processing or (1) Rural homeowner means an that authorizes such individual to own marketing operation. individual who is not a bona fide property or operate or manage a (b) Portfolio restrictions for certain farmer, rancher, or producer or business. processing and marketing loans. harvester of aquatic products. (4) Legal entity means any Processing or marketing loans to eligible (2) Rural home means a single-family partnership, corporation, trust, estate, or borrowers who supply, on a consistent moderately priced dwelling located in a 47118 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules rural area that will be the occupant’s (ii) Purchase, test, grade, process, value to the total amount of such principal residence. distribute, or furnish farm or aquatic business it transacts with or for (3) Rural area means a designated supplies; or nonmembers, excluding from the total rural area within a State or the (iii) Furnish business and financially of member and non-member business, Commonwealth of Puerto Rico related services to its members. transactions with the United States, or including communities that have a (2) Farm or aquatic supplies and farm any agencies or instrumentalities population of not more than 2,500 or aquatic business services are any thereof, or services or supplies inhabitants based on the latest goods or services normally used by furnished by a public utility; and decennial census of the United States. farmers, ranchers, or producers and (iii) The cooperative conforms with (4) Moderately priced means the price harvesters of aquatic products in their one of the following two conditions: of any rural home that either: business operations, or improve the (A) No member of the cooperative (i) Satisfies the criteria in section 8.0 welfare or livelihood of such persons. shall have more than one vote because of the Act pertaining to rural home (3) Public utility means a cooperative of the amount of stock or membership loans that collateralize securities that or other entity that is licensed under capital owned therein; or are guaranteed by the Federal Federal, State, or local law to provide (B) The cooperative restricts Agricultural Mortgage Corporation; or electric, telecommunication, cable dividends on stock or membership television, water, or waste treatment (ii) Is below the 75th percentile of capital to 10 percent per year or the services. maximum percentage per year permitted housing values, ranked from the lowest (4) Rural area means all territory of a value to the highest value in the rural by applicable State law, whichever is State that is not within the outer less. area where it is located in accordance boundary of any city or town having a with the most recent edition of the (2) Other eligible entities. The population of more than 20,000 following entities are eligible to borrow Census of Housing, General Housing inhabitants based on the latest Characteristics published by the United from banks for cooperatives and decennial census of the United States. agricultural credit banks: States Bureau of the Census. System (5) Service cooperative means a (i) Any legal entity that holds more institutions may obtain copies of this cooperative that is predominately than 50 percent of the voting control of document from the Superintendent of involved in providing business and a cooperative that is an eligible Documents, U.S. Government Printing financially related services (other than borrower under paragraph (b)(1) of this Office, Washington, DC 20402. public utility services) to farmers, section, and it uses the proceeds of the (b) Eligibility. Any rural homeowner is ranchers, aquatic producers or loan to fund the activities of its eligible to obtain financing on a rural harvesters, or their cooperatives. cooperative subsidiary on the terms and home. No borrower shall have a loan (b) Cooperatives and other entities conditions specified by the bank; from the Farm Credit System on more that serve agricultural or aquatic than one rural home at any one time. producers. (1) Eligibility for (ii) Any legal entity in which an (c) Portfolio limitations. (1) The cooperatives. A cooperative is eligible to eligible cooperative has an ownership aggregate of retail rural home loans by borrow from a bank for cooperatives or interest, provided that if such interest is any Farm Credit Bank or agricultural an agricultural credit bank only if the less than 50 percent, financing shall not credit bank shall not exceed 15 percent following requirements are satisfied: exceed the percentage that the eligible of the total of all of its outstanding loans (i) Unless the bank’s board of cooperative owns in such entity at any one time. directors establishes by resolution a multiplied by the value of the total (2) The aggregate of rural home loans higher voting control threshold for any assets of such entity; or made by each direct lender association type of cooperative, the percentage of (iii) Any creditworthy private entity shall not exceed 15 percent of the total voting control of the cooperative held by operated on a non-profit basis that of its outstanding loans at the end of its farmers, ranchers, producers or satisfies the requirements for a service preceding fiscal year, except with the harvesters of aquatic products, or cooperative and complies with the prior approval of its funding bank. cooperatives shall be 80 percent except: requirements of paragraphs (b)(1)(i)(A) (3) The aggregate of rural home loans (A) Sixty (60) percent for a service and (b)(1)(iii) of this section, and any made by all direct lender associations cooperative; subsidiary of such entity. An entity that that are funded by the same Farm Credit (B) Sixty (60) percent for local farm is eligible to borrow under this bank shall not exceed 15 percent of the supply cooperatives that have paragraph shall be organized to benefit total outstanding loans of all such historically served the needs of a agriculture in furtherance of the welfare associations at the end of the funding community that would not be of the farmers, ranchers, and aquatic bank’s preceding fiscal year. adequately served by other suppliers producers and harvesters who are its and have experienced a reduction in the members. Subpart BÐFinancing for Banks percentage of membership by (c) Electric, telecommunication, and Operating Under Title III of the Farm agricultural or aquatic producers due to cable television utilities.—(1) Eligibility. Credit Act changed circumstances beyond their A bank for cooperatives or an control; and agricultural credit bank may lend to: § 613.3100 Domestic lending. (C) Sixty (60) percent for local farm (i) Cooperatives, other entities, or the (a) Definitions. supply cooperatives that shall provide subsidiaries of such cooperatives or (1) Cooperative means any association needed services to a community, and other entities that: of farmers, ranchers, producers or shall compete with a cooperative (A) Have received a loan, loan harvesters of aquatic products, or any specified in § 613.3100(b)(1)(i)(B); commitment, insured loan, or loan federation of such associations, which (ii) The cooperative deals in farm or guarantee from the Rural Utilities conducts business for the mutual benefit aquatic products, or products processed Service of the United States Department of its members and has the power to: therefrom, farm or aquatic supplies, of Agriculture to finance rural electric (i) Process, prepare for market, farm or aquatic business services, or and telecommunication services; handle, or market farm or aquatic financially related services with or for (B) Have received a loan or a loan products; members in an amount at least equal in commitment from the Rural Telephone Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules 47119 Bank of the United States Department of bank for use in their operations located credit bank may finance a domestic or Agriculture; or inside of the United States. foreign entity which is at least partially (C) Have been certified by the Rural owned by eligible cooperatives Utilities Service of the United States § 613.3200 International lending. described in § 613.3100(b), and Department of Agriculture to be eligible (a) Definition. For the purpose of this facilitates the international business for a loan, loan commitment, or loan section only, the term ‘‘farm supplies’’ operations of such cooperatives. guarantee; or refers to inputs that are used in a (e) Restrictions. (1) When eligible (ii) Any legal entity that holds more farming or ranching operation, but cooperatives own less than 50 percent of than 50 percent of the voting control of excludes agricultural processing a foreign or domestic legal entity, the any public utility that is an eligible equipment, machinery used in food amount of financing that a bank for borrower under paragraph (c)(1)(i) of manufacturing or other capital goods cooperatives or agricultural credit bank this section, and uses the proceeds of which are not used in a farming or may provide to the entity for any the loan to fund the activities of the ranching operation. import, export, or international business eligible subsidiary on the terms and (b) Import transactions. The following transaction shall not exceed the conditions specified by the bank for parties are eligible to borrow from a percentage of ownership that eligible cooperatives or agricultural credit bank. bank for cooperatives or an agricultural cooperatives hold in such entity (2) Purposes for financing. A bank for credit bank pursuant to section 3.7(b) of multiplied by the value of the total cooperatives or agricultural credit bank the Act for the purpose of financing the assets of such entity; and may extend credit to entities that are import of agricultural commodities or (2) A bank for cooperatives or eligible to borrow under paragraph (c)(1) products therefrom, aquatic products, agricultural credit bank shall not of this section in order to provide and farm supplies into the United finance the relocation of any plant or electric or telecommunication services States: facility from the United States to a (1) An eligible cooperative as defined that are generally compatible with the foreign country. by § 613.3100(b); Rural Electrification Act of 1936, as (2) A counterparty with respect to a Subpart CÐSimilar Entity Authority amended, 7 U.S.C. 901 et seq., and specific import transaction with a voting regulations that the Secretary of Under Sections 3.1(11)(B) and 4.18A of stockholder of the bank for the the Act Agriculture promulgates in 7 CFR parts substantial benefit of the shareholder; 1610, 1710, 1712, 1714, 1735, 1737, and § 613.3300 Participations and other 1739, and 1751. A subsidiary that is (3) Any foreign or domestic legal interests in loans to similar entities. eligible to borrow under paragraph (c)(1) entity in which eligible cooperatives (a) Definitions. of this section may also obtain financing hold an ownership interest. (1) Participate and participation, for from a bank for cooperatives or (c) Export transactions. Pursuant to the purpose of this section, refer to agricultural credit bank to operate a section 3.7(b)(2) of the Act, a bank for multilender transactions, including licensed cable television utility. cooperatives or an agricultural credit syndications, assignments, loan (3) Restriction. When an eligible bank is authorized to finance the export participations, subparticipations, other utility, as defined in paragraph (c)(1)(i) (including the cost of freight) of forms of the purchase, sale, or transfer of this section, owns less than 50 agricultural commodities or products of interests in loans, or other extensions percent of any legal entity, the amount therefrom, aquatic products, or farm of credit, or other technical and of financing provided by the bank for supplies from the United States to any financial assistance. cooperatives or agricultural credit bank foreign country. The board of directors (2) Similar entity means a party that to the entity shall not exceed the of each bank for cooperatives and is ineligible for a loan from a Farm percentage that the eligible cooperatives agricultural credit bank shall adopt Credit bank or association, but has own in such entity multiplied by the policies that ensure that exports of operations that are functionally similar value of the total assets of such entity. agricultural products and commodities, to the activities of eligible borrowers in (d) Water and waste disposal aquatic products, and farm supplies that a majority of its income is derived facilities.—(1) Eligibility. A cooperative which originate from eligible from, or a majority of its assets are or a public, quasi-public agency, body, cooperatives are financed on a priority invested in, the conduct of activities or other public or private entity that, basis. The total amount of balances that are performed by eligible under the authority of State or local law, outstanding on loans made under this borrowers. establishes and operates water and paragraph shall not, at any time, exceed (b) Similar entity transactions. A waste disposal facilities in a rural area, 50 percent of the capital of any bank for Farm Credit bank or a direct lender as that term is defined by paragraph cooperatives or agricultural credit bank association may participate with a (a)(5) of this section, is eligible to for loans that: lender that is not a Farm Credit System borrow from a bank for cooperatives or (1) Finance the export of agricultural institution in loans to a similar entity an agricultural credit bank. commodities and products therefrom, that is not eligible to borrow directly (2) Purposes for financing. A bank for aquatic products, or farm supplies that under §§ 613.3000, 613.3010, 613.3020, cooperatives or agricultural credit bank are not originally sourced from an 613.3100, or 613.3200, for purposes may extend credit to entities that are eligible cooperative; and similar to those for which an eligible eligible under paragraph (d)(1) of this (2) At least 95 percent of the loan borrower could obtain financing from section solely for installing, amount is not guaranteed by a the participating FCS institution. maintaining, expanding, improving, or department, agency, bureau, board, or (c) Compatibility with lending operating water and waste disposal commission of the United States or a authorities under titles I and II of the facilities in rural areas. corporation that is wholly owned Act. Each direct lender association may (e) Domestic lessors. A bank for directly or indirectly by the United participate in loans to similar entities cooperatives or agricultural credit bank States. under paragraph (b) of this section only may lend to domestic parties to finance (d) Transactions involving to the extent that such loans are the acquisition of facilities or equipment international business operations. A compatible with the association’s that will be leased to shareholders of the bank for cooperatives or an agricultural applicable long-term real estate lending 47120 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules authority under sections 1.7(a) and that, at the time the loan is made, has 2279f, 2279f–1, 2279aa, 2279aa–5); sec. 413 1.10(a) of the Act or its short- and the greatest volume of loans made under of Pub. L. 100–233, 101 Stat. 1568, 1639. intermediate-term lending authorities title III of the Act in the State where the Subpart AÐ[Amended] under sections 1.10(b) and 2.4 of the headquarters office of the similar entity Act. is located. 5. Subpart A of part 614 is amended (d) Restrictions. Participations by a (4) No bank for cooperatives or by removing the reference ‘‘613.3020’’ Farm Credit bank or association in loans agricultural credit bank shall participate each place it appears and adding in its to a similar entity under this section are in a loan to a similar entity that is place ‘‘613.3000’’; by removing the subject to the following limitations: eligible to borrow under §§ 613.3010 or reference ‘‘613.3045’’ each place it (1) Lending limits. 613.3020 without the prior consent of appears and adding in its place (i) Farm Credit banks operating under the Farm Credit Bank(s) in whose ‘‘613.3010’’; by removing the reference title I of the Act and direct lender chartered territory the similar entity ‘‘613.3040’’ each place it appears and associations. The total amount of all conducts operations. adding in its place ‘‘613.3030’’; by loan participations that any Farm Credit (5) All approvals required under removing the reference ‘‘613.3050’’ each Bank, agricultural credit bank, or direct paragraph (e) of this section may be place it appears and adding in its place lender association has outstanding granted on an annual basis and under ‘‘613.3020’’; by removing the reference under paragraph (b) of this section to a such terms and conditions as the ‘‘613.3110’’ each place it appears and single credit risk shall not exceed: various Farm Credit System institutions adding in its place ‘‘613.3100(b)(1)’’; (A) Ten (10) percent of its total may agree. and by removing the reference capital; or (f) Borrower rights. The borrower ‘‘613.3110(c)’’ each place it appears and (B) Twenty-five (25) percent of its rights requirements in title IV of the Act adding in its place ‘‘613.3100(b)(2), (c), total capital if a majority of the and § 614.4336 and subparts K, L and N and (d).’’ shareholders of the respective Farm of part 614 of this chapter do not apply 6. Section 614.4010 is amended by Credit bank or direct lender association to participations in loans to similar removing the words ‘‘export or’’ each so approve. entities under paragraph (b) of this place they appear in paragraphs (d)(4) (ii) Farm Credit banks operating section. and (d)(5); by removing the reference under title III of the Act. The total (g) Borrower stock requirements. ‘‘(d)(3)’’ and adding in its place ‘‘(d)(4)’’ amount of all loan participations that Pursuant to section 4.3A of the Act and in paragraph (d)(5); and by adding new any bank for cooperative or agricultural § 615.5220 of this chapter, the paragraphs (d)(6) and (d)(7) to read as credit bank has outstanding under capitalization bylaws of each Farm follows. paragraph (b) of this section to a single Credit bank and association shall credit risk shall not exceed 10 percent determine whether, and to what extent, § 614.4010 Agricultural credit banks. of its total capital; non-voting stock or participation * * * * * (2) Percentage held in the principal certificates shall be required for (d) * * * amount of the loan. The participation participations in loans to similar * * * * * interest in the same loan held by one or entities. (6) Any party, subject to the more Farm Credit bank(s) or requirements in § 613.3200(c) of this association(s) shall not, at any time, Subpart EÐNondiscrimination in chapter, for the export (including the equal or exceed 50 percent of the Lending cost of freight) of agricultural principal amount of the loan; and commodities or products therefrom, (3) Portfolio limitations. The total §§ 613.3145, 613.3150, 613.3151, 613.3152, aquatic products, or farm supplies from 613.3160, 613.3170, 613.3175 (Subpart E) amount of participations that any Farm [Redesignated] the United States to any foreign country, Credit bank or direct lender association in accordance with § 614.4233 and 3. Subpart E of part 613, consisting of has outstanding under paragraph (b) of subpart Q of this part 614; and this section shall not exceed 15 percent §§ 613.3145, 613.3150, 613.3151, (7) Domestic or foreign parties in of its total outstanding assets at the end 613.3152, 613.3160, 613.3170, and which eligible cooperatives, as defined of its preceding fiscal year. 613.3175 is redesignated as new part in § 613.3100 of this chapter, hold an (e) Approval by other Farm Credit 626, consisting of §§ 626.6000, ownership interest, for the purpose of System institutions. (1) No direct lender 626.6005, 626.6010, 626.6015, 626.6020, facilitating the international business association shall participate in a loan to 626.6025, and 626.6030 respectively. operations of such cooperatives a similar entity under paragraph (b) of PART 614ÐLOAN POLICIES AND pursuant to the requirements of this section without the approval of its OPERATIONS § 613.3200(d) and (e) of this chapter. funding bank. A funding bank shall * * * * * deny such requests only for safety and 4. The authority citation for part 614 7. Section 614.4020 is amended by soundness reasons affecting the bank. is revised to read as follows: removing the words ‘‘export or’’ each (2) No Farm Credit bank operating Authority: 42 U.S.C. 4012a, 4104a, 4104b, place they appear in paragraphs (a)(4) under title I of the Act or a direct lender 4106, and 4128; Secs. 1.3, 1.5, 1.6, 1.7, 1.9, and (a)(5); by adding after the words association shall participate in a loan 1.10, 1.11, 2.0, 2.2, 2.3, 2.4, 2.10, 2.12, 2.13, ‘‘bank’s board’’, the reference ‘‘, under paragraph (b) of this section to a 2.15, 3.0, 3.1, 3.3, 3.7, 3.8, 3.10, 3.20, 3.28, § 614.4233,’’ in paragraph (a)(4); by similar entity that is located outside of 4.12, 4.12A, 4.13, 4.13B, 4.14, 4.14A, 4.14C, removing the words ‘‘board policy’’ and its chartered territory unless it complies 4.14D, 4.14E, 4.18, 4.18A, 4.19, 4.36, 4.37, adding in their place, the words with the requirements of § 614.4070 of 5.9, 5.10, 5.17, 7.0, 7.2, 7.6, 7.7, 7.8, 7.12, ‘‘policies of the bank’s board, this chapter. 7.13, 8.0, 8.5 of the Farm Credit Act (12 § 614.4233,’’ in paragraph (a)(5); and by (3) No Farm Credit Bank or direct U.S.C. 2011, 2013, 2014, 2015, 2017, 2018, 2019, 2071, 2073, 2074, 2075, 2091, 2093, adding new paragraphs (a)(6) and (a)(7) lender association shall participate in a 2094, 2096, 2121, 2122, 2124, 2128, 2129, to read as follows: loan to a similar entity that is eligible to 2131, 2141, 2149, 2183, 2184, 2199, 2201, § 614.4020 Banks for cooperatives. borrow under § 613.3100(b) without the 2202, 2202a, 2202c, 2202d, 2202e, 2206, prior approval of the bank for 2206a, 2207, 2219a, 2219b, 2243, 2244, 2252, (a) * * * cooperatives or agricultural credit bank 2279a, 2279a–2, 2279b, 2279b–1, 2279b–2, * * * * * Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules 47121 (6) Any party, subject to the place the reference ‘‘§§ 613.3010(b)(1) Authority: Secs. 1.5, 1.11, 1.12, 2.2, 2.4, requirements in § 613.3200(c) of this and 613.3030(c)(2)’’. 2.5, 2.12, 3.1, 3.7, 4.12, 4.13A, 4.25, 4.29, 5.9, chapter, for the export (including the 5.10, 5.17 of the Farm Credit Act (12 U.S.C. cost of freight) of agricultural Subpart QÐBanks for Cooperatives 2013, 2019, 2020, 2073, 2075, 2076, 2093, commodities or products therefrom, Financing International Trade 2122, 2128, 2183, 2200, 2211, 2218, 2243, aquatic products, or farm supplies from 2244, 2252). 11. The heading for subpart Q is the United States to any foreign country, amended by adding after the words in accordance with § 614.4233 and Subpart AÐRelated Services ‘‘Banks for Cooperatives’’ the words subpart Q of this part 614; and ‘‘and Agricultural Credit Banks’’. § 618.8005 [Amended] (7) Domestic or foreign parties in which eligible cooperatives, as defined § 614.4700 [Amended] 19. Section 618.8005 is amended by in § 613.3100 of this chapter, hold an 12. Section 614.4700 is amended by removing the reference ‘‘§§ 613.3010, ownership interest, for the purpose of adding after the words ‘‘banks for 613.3020 (a)(1), (a)(2), (b), and facilitating the international business cooperatives’’ the words ‘‘and 613.3045’’ in paragraph (a) and adding operations of such cooperatives agricultural credit banks’’ each place in its place, the reference ‘‘§§ 613.3000 pursuant to the requirements in they appear in paragraphs (a), (b), and (a) and (b), 613.3010, and 613.3300’’ and § 613.3200(d) and (e) of this chapter. (h). by removing the reference ‘‘§§ 613.3110 * * * * * and 613.3120’’ and adding in its place, § 614.4710 [Amended] the reference ‘‘§§ 613.3100, 613.3200, Subpart EÐLoan Terms and 13. Section 614.4710 is amended by and 613.3300’’ in paragraph (b). Conditions adding after the words ‘‘banks for PART 619ÐDEFINITIONS 8. Section 614.4222 is revised to read cooperatives’’ the words ‘‘and as follows: agricultural credit banks’’ each place it appears in the introductory paragraph 20. The authority citation for part 619 § 614.4222 Rural home loans. and paragraph (c); by adding after the is revised to read as follows: A long-term real estate loan, including words ‘‘bank for cooperatives’’’ the Authority: Secs. 1.7, 2.4, 4.9, 5.9, 5.12, a revolving line of credit, on a rural words ‘‘or agricultural credit bank’s’’ in 5.17, 5.18, 7.0, 7.6, 7.7, 7.8 of the Farm Credit home shall be secured by a first lien on paragraph (a)(1)(ii); by adding after the Act (12 U.S.C. 2015, 2075, 2160, 2243, 2246, the property, pursuant to § 614.4210, words ‘‘bank for cooperatives’’ the 2252, 2253, 2279a, 2279b, 2279b–1, 2279b– except that it may be secured by a words ‘‘or an agricultural credit bank’’ 2). second lien if the institution also holds each place they appear in paragraphs §§ 619.9025, 619.9030, 619.9040, 619.9065, the first lien on the property. A short- (a)(1), (a)(1)(i), (a)(3), (a)(5) and (b)(1). 619.9080, 619.9090, 619.9100, 619.9120, or intermediate-term loan on a rural § 614.4720 [Amended] 619.9150, 619.9160, 619.9190, 619.9220, home, including a revolving line of 14. Section 614.4720 is amended by 619.9270, 619.9280, 619.9300, and 619.9310 credit, must be secured by a lien on the [Removed] property unless the financing is adding after the words ‘‘Banks for provided exclusively for repairs, cooperatives’’ the words ‘‘and 21. Sections 619.9025, 619.9030, remodelling, or other improvements to agricultural credit banks’’ in the first 619.9040, 619.9065, 619.9080, 619.9090, the rural home, in which case the credit sentence of the introductory paragraph. 619.9100, 619.9120, 619.9150, 619.9160, may be secured by other property or § 614.4800 [Amended] 619.9190, 619.9220, 619.9270, 619.9280, unsecured if warranted by the 619.9300, and 619.9310 are removed. 15. Section 614.4800 is amended by creditworthiness of the borrower. adding after the words ‘‘A bank for 9. Section 614.4233 is amended by PART 626ÐNONDISCRIMINATION IN cooperatives’’ the words ‘‘or an revising the introductory paragraph to LENDING agricultural credit bank’’ in the first read as follows: sentence. 22. The authority citation for part 626 § 614.4233 International loans. § 614.4810 [Amended] is added to read as follows: Term loans made by banks for 16. Section 614.4810 is amended by Authority: Secs. 1.5, 2.2, 2.12, 3.1, 5.9, 5.17 cooperatives and agricultural credit adding after the words ‘‘banks for of the Farm Credit Act (12 U.S.C. 2013, 2073, banks under the authority of section cooperatives’’ the words ‘‘and 2093, 2122, 2243, 2252); 42 U.S.C. 3601 et 3.7(b) of the Act and § 613.3200 of this agricultural credit banks’’ each place seq.; 15 U.S.C. 1691 et seq.; 12 CFR 202, 24 chapter to foreign or domestic parties they appear in paragraphs (a) and (b). CFR 100, 109, 110. who are not shareholders of the bank shall be subject to following conditions: § 614.4900 [Amended] § 626.6025 [Amended] * * * * * 17. Section 614.4900 is amended by 23. Newly designated § 626.6025 is adding after the words ‘‘a bank for Subpart PÐFarm Credit Bank and amended by removing the reference cooperatives’’ the words ‘‘or an ‘‘§ 613.3160(b)’’ and adding in its place, Agricultural Credit Bank Financing of agricultural credit bank’’ each place Other Financing Institutions the reference ‘‘§ 626.6020(b)’’ in they appear in paragraphs (a) through paragraph (b). § 614.4610 [Amended] (d); and by adding after the words ‘‘banks for cooperatives’’ the words * * * * * 10. Section 614.4610 is amended by ‘‘and agricultural credit banks’’ in the Dated: September 5, 1995. removing the words ‘‘a association in first sentence of paragraph (i). Floyd Fithian, the district’’ and adding in their place, Secretary, Farm Credit Administration Board. the words ‘‘any association funded by PART 618ÐGENERAL PROVISIONS the bank’’ in the first sentence and [FR Doc. 95–22313 Filed 9–8–95; 8:45 am] removing the reference 18. The authority citation for part 618 BILLING CODE 6705±01±P ‘‘§ 613.3040(d)(2)’’ and adding in its continues to read as follows: 47122 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules RAILROAD RETIREMENT BOARD person’s age, education, and work statements from others who have experience. knowledge of the claimant’s situation. 20 CFR Part 220 The addition of proposed § 220.100(g) Paragraph (d) of proposed § 220.114 insures that the Listing of Impairments explains how symptoms, such as pain, RIN 3220±AA99 contained in Appendix 1 will at all are evaluated in the sequential times conform to Appendix 1 of Subpart evaluation process required in disability Determining Disability P, 20 CFR, Part 404, of the Social adjudication. Security Adminitration’s disability The proposed rule would revise AGENCY: Railroad Retirement Board. regulations unless specifically indicated § 220.120 to explain that in determining ACTION: Proposed rule. otherwise by regulation under this part. the claimant’s residual functional Section 220.112(a) is proposed to be capacity the Board considers the SUMMARY: The Board proposes to update claimant’s symptoms, such as pain, and its regulations to reflect a change in how revised by eliminating the reference to remarried widow(ers) and surviving that such pain or other symptoms may it evaluates pain and other subjective limit the claimant’s residual functional symptoms when determining if an divorced spouses. Section 5103 of Public Law 101–508 revised the capacity beyond what can be individual is disabled from all regular determined from anatomical or employment. Other changes are standard of disability for these groups of beneficiaries to require the physiological abnormalities taken alone. proposed to reflect changes in law and Consistent with the revision of section procedure. consideration of other than medical factors, such as age, education, and 220.120, proposed new § 220.135 DATES: Comments must be received by experience, in determining disability for explains that a claimant’s symptoms, November 13, 1995. all substantial gainful activity for these such as pain, may cause both exertional ADDRESSES: Secretary to the Board, groups. Prior to the amendment, only and nonexertional limitations. This Railroad Retirement Board, 844 North medical factors were required to be used proposed new section defines these terms. Only when the claimant’s Rush Street, Chicago, Illinois 60611– in a disability determination for these impairments and related symptoms 2092. beneficiaries. impose solely exertional impairments FOR FURTHER INFORMATION CONTACT: The proposed rule completely revises do the rules set forth in Appendix 2 of Thomas W. Sadler, Assistant General § 220.114 to parallel the Social Security Counsel, Railroad Retirement Board, this part direct a conclusion. regulation dealing with the same Proposed § 220.134 does for 844 North Rush Street, Chicago, Illinois subject. See § 404.1529 of this chapter. Appendix 2 of this part what the 60611, (312) 751–4513, TDD (312) 751– Proposed § 220.114 will provide proposed amendment to § 220.100(g) 4701. guidance on the evaluation of does for Appendix 1 and insures that SUPPLEMENTARY INFORMATION: Courts symptoms, including pain. The Appendix 2 will be consistent with the have consistently held that disability for proposed regulation conforms to the comparable appendix in the regulations all regular employment under section Board’s current procedures and under the Social Security Act. 2(a)(1)(v) of the Railroad Retirement Act applicable court decisions on the Appendix 2 contains the medical (45 U.S.C. 231a(a)(1)(v)) is synonymous evaluation of symptoms, especially vocational guidelines or ‘‘grids’’. The with the inability to perform any pain, in making disability grids direct a finding of disabled or not substantial gainful activity under determinations. disabled based on specified limitations section 223(d) of the Social Security Act Paragraph (a) of proposed § 220.114 is combined with the individual’s age, (42 U.S.C. 423(d)). Therefore, the Board a general statement of how symptoms, education, and work experience. has generally patterned its regulations such as pain, are considered in Appendix 2 was developed by the dealing with the adjudication of claims determining disability. It explains that Social Security Administration after an for disability based upon the inability to the Board will consider a claimant’s extensive administrative rule-making engage in all regular employment (20 symptoms along with other objective procedure. The Board has adopted the CFR Part 220) on regulations medical evidence and other evidence Administration’s Appendix 2 in its promulgated by the Department of relating to a claimant’s condition. disability adjudication. This Health and Human Services, Social Paragraph (b) of proposed § 220.114 amendment will insure that the Board’s Security Administration (20 CFR Part explains that the Board will not find Appendix 2 automatically remains in 404, Subpart P). On November 14, 1991, that pain will affect an individual’s conformance with that of the Social the Social Security Administration ability to do basic work activities unless Security Administration except where published a final rule (56 FR 57928) the claimant first establishes that he or otherwise stated by this regulation. expanding its regulations pertaining to she has a medically determinable Finally, the proposed amendment to how it evaluates symptoms, including physical or mental impairment, § 200.00 of Appendix 2 conforms that pain, in its disability adjudication. The supported by medical signs and section to the revised § 220.120. Board has generally followed these laboratory findings, to which the The Board, with the agreement of the regulations in adjudication of claims for allegation of pain can reasonably be Office of Management and Budget, has disability based on inability to engage in related. determined that this is not a significant regular employment and now proposes Paragraph (c) of proposed § 220.114 regulatory action under Executive Order to amend its regulations to conform provides that when a symptom, such as 12866; therefore, no regulatory impact thereto. pain, is established, the Board must analysis is required. There are no Proposed § 220.100(f) explains how a then evaluate the intensity and information collections associated with symptom, such as pain, is considered persistence of the symptom with respect this rule. when it appears as a criterion in the to how it limits the claimant’s capacity Listing of Impairments contained in for work. In making this evaluation the List of Subjects in 20 CFR Part 220 Appendix 1 of this part. Appendix 1 Board considers all available evidence, Disability benefits, Railroad contains medical criteria for finding a including the claimant’s medical employees, Railroad retirement. person disabled on medical factors history, statements from the claimant For the reasons set out in the alone without consideration of the and his treating physician, and preamble, Part 220 of Title 20 of the Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules 47123 Code of Federal Regulations is proposed reports from the claimant, the claimant’s acceptable clinical or laboratory to be amended as follows: treating or examining physician or diagnostic techniques, must show the psychologist, and others about the existence of a medical impairment(s) PART 220ÐDETERMINING DISABILITY claimant’s medical history, diagnosis, which results from anatomical, 1. The authority for Part 220 prescribed treatment, daily activities, physiological, or psychological continues to read as follows: efforts to work, and any other evidence abnormalities and which could showing how the claimant’s reasonably be expected to produce the Authority: 45 U.S.C. 231a; 45 U.S.C. 231f. impairment(s) and any related pain or other symptoms alleged. The 2. Section 220.110 is amended by symptoms affect the claimant’s ability to finding that the claimant’s adding paragraphs (f) and (g) to read as work. The Board will consider all of the impairment(s) could reasonably be follows: claimant’s statements about his or her expected to produce the claimant’s pain or other symptoms does not involve a § 220.110 Listing of impairments in symptoms, such as pain, and any Appendix 1 of this part. description by the claimant, the determination as to the intensity, claimant’s physician or psychologist, or persistence, or functionally limiting * * * * * effects of the claimant’s symptoms. The (f) Symptoms as criteria of listed other persons about how the symptoms affect the claimant’s activities of daily Board will develop evidence regarding impairment(s). Some listed the possibility of a medically impairment(s) include symptoms living and ability to work. However, statements about the claimant’s pain or determinable mental impairment when usually associated with those the Board has information to suggest impairment(s) as criteria. Generally, other symptoms will not alone establish that the claimant is disabled; there must that such an impairment exists, and the when a symptom is one of the criteria claimant alleges pain or other symptoms in a listed impairment, it is only be medical signs and laboratory findings which show that the claimant has a but the medical signs and laboratory necessary that the symptom be present findings do not substantiate any in combination with the other criteria. medical impairment(s) which could reasonably be expected to produce the physical impairment(s) capable of It is not necessary, unless the listing producing the pain or other symptoms. specifically states otherwise, to provide pain or other symptoms alleged and which, when considered with all of the (c) Evaluating the intensity and information about the intensity, persistence of symptoms, such as pain, persistence or limiting effects of the other evidence (including statements about the intensity and persistence of and determining the extent to which the symptom as long as all other findings claimant’s symptoms limit his or her required by the specific listing are the claimant’s pain or other symptoms which may reasonably be accepted as capacity for work. (1) General. When the present. medical signs or laboratory findings (g) The Listing of Impairments found consistent with the medical signs and laboratory findings), would lead to a show that the claimant has a medically in Appendix 1 of this part is intended determinable impairment(s) that could to be identical to the list promulgated by conclusion that the claimant is disabled. In evaluating the intensity and reasonably be expected to produce the the Social Security Administration in claimant’s symptoms, such as pain, the Appendix 1 of Subpart P, 20 CFR Part persistence of the claimant’s symptoms, including pain, the Board will consider Board must then evaluate the intensity 404. In addition to Appendix 1 of this and persistence of the claimant’s part a claimant should also consult all of the available evidence, including the claimant’s medical history, the symptoms so that it can determine how Appendix 1 of 20 CFR, Subpart P, Part the claimant’s symptoms limit the medical signs and laboratory findings 404. claimant’s capacity for work. In and statements about how the evaluating the intensity and persistence § 220.112 [Amended] claimant’s symptoms affect the of the claimant’s symptoms the Board 3. The penultimate sentence of claimant. (Section 220.112 of this part considers all of the available evidence § 220.112(a) is amended by removing explains how the Board considers including the claimant’s medical the words ‘‘Except in cases of remarried opinions of the claimant’s treating history, the medical signs and widows, widowers, and surviving source and other medical opinions on laboratory findings, and statements from divorced spouses, the’’ and adding the the existence and severity of the the claimant, the claimant’s treating or word ‘‘The’’ to begin that sentence. claimant’s symptoms, such as pain.) The examining physician or psychologist, or Board will then determine the extent to § 220.114 [Amended] other persons about how the claimant’s which the claimant’s alleged functional symptoms affect the claimant. The 4. Section 220.114 is revised to read limitations and restrictions due to pain as follows: Board also considers the medical or other symptoms can reasonably be opinions of the claimant’s treating § 220.114 Evaluation of symptoms, accepted as consistent with the medical source and other medical opinions as including pain. signs and laboratory findings and other explained in § 220.112 of this part. (a) General. In determining whether evidence to decide how the claimant’s Paragraphs (c)(2) through (c)(4) of this the claimant is disabled, the Board symptoms affect the claimant’s ability to section explain further how the Board considers all of the claimant’s work. evaluates the intensity and persistence symptoms, including pain, and the (b) Need for medically determinable of the claimant’s symptoms and how it extent to which the claimant’s impairment that could reasonably be determines the extent to which the symptoms can reasonably be accepted expected to produce symptoms, such as claimant’s symptoms limit the as consistent with the objective medical pain. The claimant’s symptoms, such as claimant’s capacity for work, when the evidence and other evidence. By pain, fatigue, shortness of breath, medical signs or laboratory findings objective medical evidence, the Board weakness, or nervousness will not be show the claimant has a medically means medical signs and laboratory found to affect the claimant’s ability to determinable impairment(s) that could findings as defined in § 220.113 (b) and do basic work activities unless medical reasonably be expected to produce the (c) of this part. By other evidence, the signs or laboratory findings show that a claimant’s symptoms, such as pain. Board means the kinds of evidence medically determinable impairment(s) (2) Consideration of objective medical described in §§ 220.45 and 220.46 of is present. Medical signs and laboratory evidence. Objective medical evidence is this part. These include statements or findings, established by medically evidence obtained from the application 47124 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules of medically acceptable clinical and Board considers and weighs treating consistent with the objective medical laboratory diagnostic techniques, such source and other medical opinions evidence and other evidence. as evidence of reduced joint motion, about the nature and severity of the (d) Consideration of symptoms in the muscle spasm, sensory deficit or motor claimant’s impairment(s) and any disability determination process. The disruption. Objective medical evidence related symptoms, such as pain. Factors Board follows a set order of steps to of this type is a useful indicator to assist relevant to the claimant’s symptoms, determine whether the claimant is the Board in making reasonable such as pain, which the Board will disabled. If the claimant is not doing conclusions about the intensity and consider include: substantial gainful activity, the Board persistence of the claimant’s symptoms (i) The claimant’s daily activities; considers the claimant’s symptoms, and the effect those symptoms, such as (ii) The location, duration, frequency, such as pain, to evaluate whether the pain, may have on the claimant’s ability and intensity of pain or other claimant has a severe physical or mental to work. The Board must always attempt symptoms; impairment(s), and at each of the to obtain objective medical evidence (iii) Precipitating and aggravating remaining steps in the process. Sections and, when it is obtained, will consider factors; 220.100 and 220.101 of this part explain it in reaching a conclusion as to whether (iv) The type, dosage, effectiveness, this process in detail. The Board also the claimant is disabled. However, the and side effects of any medication the considers the claimant’s symptoms, Board will not reject the claimant’s claimant takes or has taken to alleviate such as pain, at the appropriate steps in statements about the intensity and pain or other symptoms; the Board’s review when the Board persistence of the claimant’s pain or (v) Treatment, other than medication, considers whether the claimant’s other symptoms or about the effect the the claimant receives or has received for disability continues. Subpart O of this claimant’s symptoms have on the relief of pain or other symptoms: part explains the procedure the Board claimant’s ability to work solely because (vi) Any measures the claimant uses follows in reviewing whether the claimant’s disability continues. the available objective medical evidence or has used to relieve pain or other (1) Need to establish a severe does not substantiate the claimant’s symptoms (e.g., lying flat on the statements. medically determinable impairment(s). claimant’s back, standing for 15 to 20 The claimant’s symptoms, such as pain, (3) Consideration of other evidence. minutes every hour, sleeping on a fatigue, shortness of breath, weakness, Since symptoms sometimes suggest a board, etc.); and or nervousness, are considered in greater severity of impairment than can (vii) Other factors concerning the making a determination as to whether be shown by objective medical evidence claimant’s functional limitations and the claimant’s impairment or alone, the Board will carefully consider restrictions due to pain or other combination of impairment(s) is severe. any other information the claimant may symptoms. (See § 220.100(b)(2) of this part.) submit about his or her symptoms. The (4) How the Board determines the (2) Decision whether the Listing of information that the claimant, the extent to which symptoms, such as pain, Impairments is met. Some listed claimant’s treating physician or affect the claimant’s capacity to perform impairment(s) include symptoms, such psychologist, or other persons provide basic work activities. In determining the as pain, as criteria. Section 220.110(f) of about the claimant’s pain or other extent to which the claimant’s this part explains how the Board symptoms (e.g., what may precipitate or symptoms, such as pain, affect the considers the claimant’s symptoms aggravate the claimant’s symptoms, claimant’s capacity to perform basic when the claimant’s symptoms are what medications, treatments or other work activities, the Board considers all included as criteria for a listed methods he or she uses to alleviate of the available evidence described in impairment. them, and how the symptoms may affect paragraphs (c)(1) through (c)(3) of this (3) Decision whether the Listing of his or her pattern of daily living) is also section. The Board will consider the Impairments is equaled. If the an important indicator of the intensity claimant’s statements about the claimant’s impairment is not the same and persistence of the claimant’s intensity, persistence, and limiting as a listed impairment, the Board must symptoms. Because symptoms, such as effects of the claimant’s symptoms, and determine whether the claimant’s pain, are subjective and difficult to the Board will evaluate the claimant’s impairment(s) is medically equivalent to quantify, any symptom-related statements in relation to the objective a listed impairment. Section 220.111 of functional limitations and restrictions medical evidence and other evidence, in this part explains how the Board makes which the claimant, the claimant’s reaching a conclusion as to whether the this determination. Under § 220.111(b) treating or examining physician or claimant is disabled. The Board will of this part, the Board will consider psychologist, or other persons report, consider whether there are any equivalence based on medical evidence which can reasonably be accepted as inconsistencies in the evidence and the only. In considering whether the consistent with the objective medical extent to which there are any conflicts claimant’s symptoms, signs, and evidence and other evidence, will be between the claimant’s statements and laboratory findings are medically equal taken into account as explained in the rest of the evidence, including the to the symptoms, signs, and laboratory paragraph (c)(4) of this section in claimant’s medical history, the medical findings of a listed impairment, the reaching a conclusion as to whether the signs and laboratory findings and Board will look to see whether the claimant is disabled. The Board will statements by the claimant’s treating or claimant’s symptoms, signs, and consider all of the evidence presented, examining physician or psychologist or laboratory findings are at least equal in including information about the other persons about how the claimant’s severity to the listed criteria. However, claimant’s prior work record, the symptoms affect the claimant. The the Board will not substitute the claimant’s statements about his or her claimant’s symptoms, including pain, claimant’s allegations of pain or other symptoms, evidence submitted by the will be determined to diminish the symptoms for a missing or deficient sign claimant’s treating, examining or claimant’s capacity for basic work or laboratory finding to raise the consulting physician or psychologist, activities to the extent that the severity of the claimant’s impairment(s) and observations by Board employees claimant’s alleged functional limitations to that of a listed impairment. If the and other persons. Section 220.112 of and restrictions due to symptoms, such symptoms, signs, and laboratory this part explains in detail how the as pain, can reasonably be accepted as findings of the claimant’s impairment(s) Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules 47125 are equivalent in severity to those of a performing particular work activities. work and other work in deciding the listed impairment, the Board will find This assessment of the claimant’s claimant’s residual functional capacity. the claimant disabled. If the Board remaining capacity for work is not a (e) Total limiting effects. When the determines the claimant’s impairment(s) decision on whether the claimant is claimant has a severe impairment(s), but is not medically equivalent to a listed disabled, but is used as the basis for the claimant’s symptoms, signs, and impairment, the Board will consider the determining the particular types of work laboratory findings do not meet or equal impact of the claimant’s symptoms on the claimant may be able to do despite those of a listed impairment in the claimant’s residual functional the claimant’s impairment(s). Then, Appendix 1 of this part, the Board will capacity. (See paragraph (d)(4) of this using the guidelines in §§ 220.125 consider the limiting effects of all the section.) through 220.135 of this part, the claimant’s impairment(s), even those (4) Impact of symptoms (including claimant’s vocational background is that are not severe, in determining the pain) on residual functional capacity. If considered along with the claimant’s claimant’s residual functional capacity. the claimant has a medically residual functional capacity in arriving Pain or other symptoms may cause a determinable severe physical or mental at a disability determination or decision. limitation of function beyond that impairment(s), but the claimant’s In deciding whether the claimant’s which can be determined on the basis impairment(s) does not meet or equal an disability continues or ends, the of the anatomical, physiological or impairment listed in Appendix 1 of this residual functional capacity assessment psychological abnormalities considered part, the Board will consider the impact may also be used to determine whether alone; e.g., someone with a low back of the claimant’s impairment(s) and any any medical improvement the claimant disorder may be fully capable of the related symptoms, including pain, on has experienced is related to the physical demands consistent with those the claimant’s residual functional claimant’s ability to work as discussed of sustained medium work activity, but capacity. (See § 220.120 of this part.) in § 220.178 of this part. another person with the same disorder, (b) Physical abilities. When the Board because of pain, may not be capable of § 220.120 [Revised] assesses the claimant’s physical more than the physical demands 6. Section 220.120 is revised to read abilities, the Board first assesses the consistent with those of light work as follows: nature and extent of the claimant’s activity on a sustained basis. In physical limitations and then § 220.120 The claimant's residual assessing the total limiting effects of the functional capacity. determines the claimant’s residual claimant’s impairment(s) and any functional capacity for work activity on related symptoms, the Board will (a) General. The claimant’s a regular and continuing basis. A impairment(s) and any related consider all of the medical and limited ability to perform certain nonmedical evidence, including the symptoms, such as pain, may cause physical demands of work activity, such physical and mental limitations that information described in § 220.114(c) of as sitting, standing, walking, lifting, this part. affect what the claimant can do in a carrying, pushing, pulling, or other work setting. The claimant’s residual physical functions (including § 220.134 [Amended] functional capacity is what the claimant manipulative or postural functions, 7. Section 220.134 is amended by can still do despite the claimant’s such as reaching, handling, stooping or limitations. If the claimant has more adding a new paragraph (d) to read as crouching), may reduce the claimant’s follows: than one impairment, the Board will ability to do past work and other work. consider all of the claimant’s (c) Mental abilities. When the Board § 220.134 Medical-Vocational Guidelines in impairment(s) of which the Board is assesses the claimant’s mental abilities, Appendix 2 of this part. aware. The Board will consider the the Board first assesses the nature and * * * * * claimant’s ability to meet certain extent of the claimant’s mental (d) The medical-vocational guidelines demands of jobs, such as physical limitations and restrictions and then found in Appendix 2 of this part are demands, mental demands, sensory determines the claimant’s residual intended to be identical to those requirements, and other functions, as functional capacity for work activity on promulgated by the Social Security described in paragraphs (b), (c), and (d) a regular and continuing basis. A Administration in Appendix 2 of of this section. Residual functional limited ability to carry out certain Subpart P, 20 CFR Part 404. In addition capacity is an assessment based upon all mental activities, such as limitations in to Appendix 2 of this part a claimant of the relevant evidence. It may include understanding, remembering, and shall also consult Appendix 2 of 20 descriptions (even the claimant’s own) carrying out instructions, and in CFR, Subpart P, Part 404. of limitations that go beyond the responding appropriately to 8. A new § 220.135 is added to read symptoms, such as pain, that are supervision, co-workers, and work as follows: important in the diagnosis and pressures in a work setting, may reduce treatment of the claimant’s medical the claimant’s ability to do past work § 220.135 Exertional and nonexertional condition. Observations by the and other work. limitations. claimant’s treating or examining (d) Other abilities affected by (a) General. The claimant’s physicians or psychologists, the impairment(s). Some medically impairment(s) and related symptoms, claimant’s family, neighbors, friends or determinable impairment(s), such as such as pain, may cause limitations of other persons, of the claimant’s skin impairment(s), epilepsy, function or restrictions which limit the limitations, in addition to those impairment(s) of vision, hearing or other claimant’s ability to meet certain observations usually made during senses, and impairment(s) which demands of jobs. These limitations may formal medical examinations, may also impose environmental restrictions may be exertional, nonexertional, or a be used. These descriptions and cause limitations and restrictions which combination of both. Limitations are observations, when used, must be affect other work-related abilities. If the classified as exertional if they affect the considered along with the claimant’s claimant has this type of impairment(s), claimant’s ability to meet the strength medical records to enable the Board to the Board considers any resulting demands of jobs. The classification of a decide to what extent the claimant’s limitations and restrictions which may limitation as exertional is related to the impairment(s) keeps the claimant from reduce the claimant’s ability to do past United States Department of Labor’s 47126 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules classification of jobs by various Some examples of nonexertional work experience must first be determined. exertional levels (sedentary, light, limitations or restrictions include the When assessing the person’s residual medium, heavy, and very heavy) in following: functional capacity, the Board considers his terms of the strength demands for (i) Difficulty functioning because of or her symptoms (such as pain), signs, and sitting, standing, walking, lifting, nervousness, anxiety, or depression; laboratory findings together with other evidence the Board obtains. carrying, pushing, and pulling. Sections (ii) Difficulty maintaining attention or 220.132 and 220.134 of this part explain concentrating; * * * * * how the Board uses the classifications of (iii) Difficulty understanding or Dated: August 29, 1995. jobs by exertional levels (strength remembering detailed instructions; By Authority of the Board. demands) which are contained in the (iv) Difficulty in seeing or hearing; Beatrice Ezerski, Dictionary of Occupational Titles (v) Difficulty in tolerating some Secretary to the Board. published by the Department of Labor, physical feature(s) of certain work [FR Doc. 95–22103 Filed 9–8–95; 8:45 am] to determine the exertional settings, e.g., inability to tolerate dust or BILLING CODE 7905±01±P requirements of work which exists in fumes; or the national economy. Limitations or (vi) Difficulty performing the manipulative or postural functions of restrictions which affect the claimant’s SOCIAL SECURITY ADMINISTRATION ability to meet the demands of jobs some work such as reaching, handling, other than the strength demands, that is, stooping, climbing, crawling, or 20 CFR Parts 404 and 416 demands other than sitting, standing, crouching. walking, lifting, carrying, pushing or (2) If the claimant’s impairment(s) and RIN 0960±AD39 related symptoms, such as pain, only pulling, are considered nonexertional. Payment for Vocational Rehabilitation Sections 220.100(b)(5) and 220.180(h) of affect the claimant’s ability to perform the nonexertional aspects of work- Services Furnished Individuals During this part explain that if the claimant can Certain Months of Nonpayment of no longer do the claimant’s past relevant related activities, the rules in Appendix Supplemental Security Income work because of a severe medically 2 of this part do not direct factual Benefits determinable impairment(s), the Board conclusions of disabled or not disabled. The determination as to whether must determine whether the claimant’s AGENCY: Social Security Administration impairment(s), when considered along disability exists will be based on the (SSA). principles in the appropriate sections of with the claimant’s age, education, and ACTION: Proposed rules. work experience, prevents the claimant the regulations, giving consideration to from doing any other work which exists the rules for specific case situations in SUMMARY: We are proposing to amend in the national economy in order to Appendix 2 of this part. our regulations relating to payment for decide whether the claimant is disabled (d) Combined exertional and vocational rehabilitation (VR) services or continues to be disabled. Paragraphs nonexertional limitations. When the provided to recipients of supplemental (b), (c), and (d) of this section explain limitations and restrictions imposed by security income (SSI) benefit payments how the Board applies the medical- the claimant’s impairment(s) and related based on disability or blindness under vocational guidelines in Appendix 2 of symptoms, such as pain, affect the title XVI of the Social Security Act (the this part in making this determination, claimant’s ability to meet both the Act). These regulations reflect section depending on whether the limitations or strength demands and demands of jobs 5037 of the Omnibus Budget restrictions imposed by the claimant’s other than the strength demands, the Reconciliation Act of 1990 (OBRA impairment(s) and related symptoms, Board considers that the claimant has a 1990). Section 5037 of OBRA 1990 such as pain, are exertional, combination of exertional and added section 1615(e) to the Act which nonexertional, or a combination of both. nonexertional limitations or restrictions. authorizes the Commissioner of Social (b) Exertional limitations. When the If the claimant’s impairment(s) and Security (the Commissioner) to pay a limitations and restrictions imposed by related symptoms, such as pain, affect State VR agency for costs incurred in the claimant’s impairment(s) and related the claimant’s ability to meet both the furnishing VR services to an individual symptoms, such as pain, affect only the strength demands and demands of jobs during certain months for which the claimant’s ability to meet the strength other than the strength demands the individual did not receive SSI payments demands of jobs (sitting, standing, Board will not directly apply the rules based on disability or blindness as well walking, lifting, carrying, pushing, and in Appendix 2 of this part unless there as during months for which the pulling), the Board considers that the is a rule that directs a conclusion that individual did receive such payments. claimant has only exertional limitations. the claimant is disabled based upon the We also propose to amend our When the claimant’s impairment(s) and claimant’s strength limitations; regulations on VR payments to clarify related symptoms only impose otherwise the rules provide a framework certain rules and remove some outdated exertional limitations and the claimant’s to guide the Board’s decision. rules. specific vocational profile is listed in a rule contained in Appendix 2 of this Appendix 2 [Amended] DATES: Your comments will be part, the Board will directly apply that 9. Appendix 2—Medical-Vocational considered if we receive them no later rule to decide whether the claimant is Guidelines of part 220 is amended by than November 13, 1995. disabled. revising paragraph (c) of section 200.00 ADDRESSES: Comments should be (c) Nonexertional limitations. (1) to read as follows: submitted in writing to the When the limitations and restrictions § 200.00 Introduction. * * * Commissioner of Social Security, P.O. imposed by the claimant’s Box 1585, Baltimore, MD 21235; sent by impairment(s) and related symptoms, * * * * * telefax to (410) 966–2830; sent by E-mail (c) In the application of the rules, the to ‘‘[email protected];’’ or delivered such as pain, affect only the claimant’s individual’s residual functional capacity (i.e., ability to meet the demands of jobs the maximum degree to which the individual to the Division of Regulations and other than strength demands, the Board retains the capacity for sustained Rulings, Social Security Administration, considers that the claimant has only performance of the physical-mental 3–B–1 Operations Building, 6401 nonexertional limitations or restrictions. requirements of jobs), age, education, and Security Boulevard, Baltimore, MD Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules 47127 21235 between 8 a.m. and 4:30 p.m. on have such a plan for VR services, our individual was ineligible for the benefits regular business days. Comments regulation at 20 CFR 416.2204 provides or special status described above for a received may be inspected during these that we may arrange for VR services for reason other than cessation of disability same hours by making arrangements an SSI recipient who is disabled or or blindness, if such month occurred with the contact person shown below. blind through an alternative VR service prior to the 13th consecutive month of FOR FURTHER INFORMATION CONTACT: Jack provider (alternate participant) and pay such ineligibility following a month for Schanberger, Legal Assistant, 3–B–1 such provider for the costs of services which the individual was eligible for Operations Building, 6401 Security under the same terms and conditions such benefits or special status. This Boulevard, Baltimore, MD 21235 (410) that apply to State VR agencies. This means that payment may be made for 965–8471. regulation is based in part on section VR services furnished during a month SUPPLEMENTARY INFORMATION: We are 222(d)(2) of the Act, which provides for for which an individual’s benefit proposing to amend our regulations on the use of alternate participants in the payment or special status for Medicaid payment for VR services provided to VR payment program under title II of under section 1619(b) was suspended. Section 1615(e) of the Act became individuals receiving SSI benefits based the Act (relating to the rehabilitation of effective November 5, 1990, the date of on disability or blindness. These social security disability beneficiaries), and on the authority provided to the the enactment of OBRA 1990, and amended regulations will reflect section Commissioner under section 1633(a) of applies to claims for reimbursement 5037 of OBRA 1990, Public Law 101– the Act to make such administrative and pending on or after that date. This 508, which added paragraph (e) to other arrangements as may be necessary amendment to the Act, which allows us section 1615 of the Act. Our existing or appropriate to carry out title XVI of to reimburse a State VR agency or regulations concerning payment for the Act, including making arrangements alternate participant for VR services such services carry out the provisions of under title XVI in the same manner as furnished during certain months for section 1615(d) of the Act. they are made under title II. which an individual was not receiving In general, section 1615(d) of the Act Prior to the enactment of OBRA 1990, SSI benefits, responds to a authorizes the Commissioner to SSA was authorized to pay a State VR recommendation in the March 1988 reimburse a State VR agency for the agency under section 1615(d) of the Act Report of the Disability Advisory costs incurred in providing VR services only for VR services that were provided Council that the Congress amend the to individuals receiving SSI benefits to an individual during months for Act to permit SSA to pay for VR services under title XVI of the Act based on which the individual received SSI provided in months when an individual disability or blindness in three benefits based on disability or is in suspension status. categories of cases. Specifically, section blindness, including benefits payable Proposed Changes to the VR Payment 1615(d) permits payment for VR under section 1611 or 1619(a) of the Act Regulations services furnished to such individuals or, for cases under section 1615(d)(2), only in cases where: (1) The furnishing discussed above, continued payment of The proposed rules will amend the of such services results in the such benefits under section 1631(a)(6) of existing regulations concerning the SSI individual’s performance of substantial the Act. This is reflected in our existing VR payment program under title XVI of gainful activity (SGA) for a continuous regulations at §§ 416.2201, 416.2203 and the Act to take account of the provisions period of nine months; (2) the 416.2215(a)(2). of section 1615(e) of the Act which individual is continuing to receive Section 5037 of OBRA 1990 added permit payment for VR services benefits, despite his or her medical section 1615(e) to the Act to provide us furnished during certain months for recovery, under section 1631(a)(6) of the the authority to pay a State VR agency which a disabled or blind individual Act because of his or her participation under section 1615(d) for the costs does not receive SSI benefits. The in a VR program; or (3) the individual, described in that section that are proposed rules also will make some without good cause, refuses to continue incurred in providing VR services to an other changes in the existing VR to accept VR services or fails to individual during certain months for payment regulations to clarify certain cooperate in such a manner as to which the individual was not receiving rules and delete some obsolete rules. preclude his or her successful SSI benefits based on disability or These changes affect the regulations rehabilitation. (In such a case of refusal blindness as well as during months for governing the social security VR to continue or cooperate in a VR which the individual was receiving payment program under title II of the program, payments are authorized only such benefits. Under section 1615(e) of Act as well as the regulations for the VR services provided prior to the the Act, payment may be made for VR concerning the SSI VR payment cessation of VR participation. If the services in a case described in section program under title XVI. The existing individual resumes participation, then 1615(d)(1), (2) or (3) of the Act which social security VR payment regulations payments are authorized for the VR are provided to an individual in a carry out section 222(d) of the Act services provided after participation is month for which the individual which contains provisions that are resumed only if all requirements for receives, i.e., is eligible for— similar to the provisions of section payment are met. These cases are • SSI cash benefits under section 1615(d) of the Act, except that they described in sections 1615(d)(1), (2) and 1611 or special SSI cash benefits under apply to payment for VR services (3) of the Act, respectively, and in section 1619(a) of the Act (this is the provided to individuals entitled to §§ 416.2211–416.2213 of our same as under prior law); social security benefits based on regulations.) • A special status for medicaid under disability under title II. Under section 1615(d) of the Act, section 1619(b) of the Act; or payment may be made for VR services • A federally administered State Changes to the Regulations to furnished by a State VR agency, i.e., an supplementary payment under section Implement Section 1615(e) of the Act agency administering a State plan for 1616 of the Act or section 212(b) of We are proposing to amend VR services approved under title I of the Public Law 93–66. § 416.2201 to explain that, in general, Rehabilitation Act of 1973, as amended. In addition, section 1615(e) of the Act sections 1615(d) and (e) of the Act However, in the case of a State which permits payment for VR services authorize payment for costs of VR is unwilling to participate or does not provided in a month for which an services provided to certain disabled or 47128 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules blind individuals who are eligible for We also propose to amend several The proposed changes we are making SSI benefits, special SSI eligibility sections of the SSI VR payment to § 416.2215 (a)(2) and (a)(3) are status, or federally administered State regulations to replace phrases such as consistent with the provisions of supplementary payments. In the ‘‘disability or blindness payment’’ with sections 1615 (d) and (e) of the Act. proposed amendment to § 416.2201, we the phrase ‘‘disability or blindness They permit payment for VR services also explain that for the purpose of the benefits,’’ and to substitute the term which are provided either during a SSI VR payment regulations, we refer to ‘‘benefits’’ for ‘‘payment’’ or month(s) for which an individual is SSI benefits, special SSI eligibility ‘‘payments,’’ as the context requires. We eligible for disability or blindness status, or federally administered State are making these changes to benefits, including the continuation of supplementary payments as ‘‘disability §§ 416.2201(b), 416.2209(b) and (c), such benefits under section 1631(a)(6) of or blindness benefits.’’ Additionally, we 416.2212, 416.2213(c), 416.2215(a) and the Act, or during a month(s) for which also propose to add a corresponding (b), and 416.2216(c)(2). the individual is ineligible for disability definition of ‘‘disability or blindness Section 416.2215(a) of our existing or blindness benefits, for a reason other benefits’’ for this purpose in § 416.2203, regulations provides that in order for the than cessation of disability or blindness, discussed below. State VR agency or alternate participant if such month(s) occurs prior to the 13th The proposed amendment to to be paid, the VR services must have consecutive month of such ineligibility, § 416.2201 further explains that, subject been provided—(1) after September 30, i.e., a month(s) for which benefits are to the other requirements and 1981; (2) during months the individual suspended but not terminated. conditions for payment prescribed in is eligible for SSI disability or blindness We also propose to amend the the regulations, payment may be made payments; and (3) before completion of introductory paragraph of § 416.2217 to for VR services which are furnished a continuous 9-month period of SGA. add a reference to section 1615(e) of the during a month(s) for which an We propose to revise paragraph (a)(2) of Act. In addition, we are proposing to individual is eligible for disability or § 416.2215 to provide that to be payable, make a change to the regulations blindness benefits or continues to the VR services must have been governing the social security VR receive such benefits under section provided during a month or months for payment program under title II of the 1631(a)(6) of the Act, or which are which—(i) the individual is eligible for Act to reflect the expanded scope of the furnished during a month(s) for which disability or blindness benefits or SSI VR payment program under title the individual’s disability or blindness continues to receive such benefits under XVI resulting from section 1615(e) of the benefits are suspended. This rule also is section 1631(a)(6) of the Act; or (ii) the Act. We are proposing to amend reflected in proposed § 416.2215, disability or blindness benefits of the § 404.2115(b) of the title II regulations to discussed below. individual are suspended due to his or explain that if VR services are provided In § 416.2203, ‘‘Definitions,’’ we her ineligibility for the benefits. We also to an individual who is entitled to title propose to delete the paragraph defining propose to revise paragraph (a)(3) of II disability benefits and who also is or ‘‘eligible,’’ which discusses eligibility § 416.2215 to provide that the VR has been receiving disability or for SSI benefits only, and add a new services must have been provided prior blindness benefits under the SSI paragraph to explain the meaning of to the completion of a continuous 9- program, the determination as to when ‘‘disability or blindness benefits’’ when month period of SGA or termination of VR services must have been provided used in the SSI VR payment regulations. disability or blindness benefits, may be made under either § 404.2115 or The proposed rules provide that whichever occurs first. § 416.2215, whichever is advantageous ‘‘disability or blindness benefits,’’ as The proposed changes to § 416.2215 to the State VR agency or alternate defined for the SSI VR payment (a)(2) and (a)(3) provide cross-references participant that is participating in both regulations only, refer to regular SSI to the regulations in Subpart M of 20 VR programs. benefits under section 1611 of the Act, CFR Part 416 which contain our rules special SSI cash benefits under section on suspension and termination of Other Changes to the VR Payment 1619(a) of the Act, special SSI eligibility benefits under the SSI program. In Regulations status under section 1619(b) of the Act, general, these regulations provide that In addition to the changes to the and/or a federally administered State unless a termination of an individual’s regulations discussed above, we are supplementary payment under section eligibility for benefits is required, an proposing to amend the social security 1616 of the Act or section 212(b) of individual’s benefits will be suspended and SSI VR payment regulations to Public Law 93–66, for which an for any month for which the individual clarify certain rules relating to payment individual is eligible based on disability no longer meets the requirements for for VR services provided to an or blindness, as appropriate. Thus, in eligibility for benefits under the SSI individual in a case where the the proposed VR payment regulations, program. Termination of eligibility is individual, without good cause, refuses when we use the terms ‘‘disability or required when benefits have been to continue or cooperate in a VR blindness benefits’’ with reference to the suspended for a period of 12 program. We also propose to delete SSI program, we mean the benefits, consecutive months, i.e., the individual some obsolete rules relating to the time status, or payments referred to in remains ineligible for SSI benefits, periods within which claims for section 1615(e) of the Act. As used in special status for medicaid, and/or payment for VR services must be filed. this preamble, ‘‘disability or blindness federally administered State We are making a few other benefits’’ has the same meaning as in supplementary payments for a nonsubstantive changes to certain the proposed rules. Further, in continuous 12-month period. Eligibility provisions of the regulations affected by § 416.2203, we propose to define the for SSI benefits based on disability or the proposed changes described above. phrase ‘‘special SSI eligibility status’’ to blindness also terminates if the We are proposing to amend refer to the special status for Medicaid individual’s disability or blindness §§ 404.2113(c) and 416.2213(c) to under section 1619(b) of the Act since ceases, unless the individual is indicate that if deductions are imposed this is the phrase we use to describe the participating in an approved VR against an individual’s social security special status in our other SSI program and the other requirements for disability benefits because of VR refusal, regulations, e.g., §§ 416.260 and the continuation of benefits under or if an individual’s disability or 416.264. section 1631(a)(6) of the Act are met. blindness benefits under the SSI Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules 47129 program are suspended because of VR the Federal Register. To download the Dated: August 23, 1995. refusal, the services for which payment file, modem dial (202) 512–1387. The Shirley Chater, may be made in such a case are those FBB instructions will explain how to Commissioner of Social Security. VR services which were provided to the download the file and the fee. This file For the reasons set out in the individual prior to his or her VR refusal. is in Wordperfect and will remain on preamble, we propose to amend subpart If the individual thereafter resumes the FBB during the comment period. V of part 404 and subpart V of part 416 participation in a VR program and again of 20 CFR chapter III as follows: receives VR services, payment may be Regulatory Procedures made for those services only if the Executive Order 12866 PART 404ÐFEDERAL OLD±AGE, criteria for payment in § 404.2113 or SURVIVORS AND DISABILITY § 416.2213 are again met, or if the We have consulted with the Office of INSURANCE (1950± ) services qualify for payment under one Management and Budget (OMB) and of the other provisions of the regulations determined that these rules do not meet Subpart VÐ[Amended] permitting payment, i.e., §§ 404.2111, the criteria for a significant regulatory 404.2112, 416.2211, or 416.2212. action under Executive Order 12866. 1. The authority citation for Subpart We also are proposing to delete the Thus, they were not subject to OMB V of Part 404 is revised to read as parenthetical phrase ‘‘(suspension of review. follows: benefits in cases described in Regulatory Flexibility Act Authority: Secs. 205(a), 222, and 702(a)(5) § 404.2113)’’ in existing of the Social Security Act; (42 U.S.C. 405(a), § 404.2115(a)(3). This change is We certify that these regulations, if 422, and 902(a)(5)). appropriate since under section 222(b) promulgated, will not have a significant 2. Section 404.2113 is amended by of the Act and § 404.422 of the title II economic impact on a substantial revising the last sentence of paragraph regulations, a determination by us that number of small entities. Therefore, a (c) to read as follows: a social security disability beneficiary regulatory flexibility analysis as has refused, without good cause, to § 404.2113 Payment for VR services in a provided in Public Law 96–354, the case of VR refusal. accept VR services available to the Regulatory Flexibility Act, is not individual results in our imposing required. * * * * * deductions against social security (c) * * * A State VR agency or These proposed regulations carry out benefits, rather than suspending alternate participant may be paid, section 1615(e) of the Act which allows benefits. This is reflected in existing subject to the provisions of this subpart, payment for VR services under section §§ 404.2109(c) and 404.2113(c). To be for the costs of VR services provided to 1615(d) of the Act provided during consistent with these sections, we are an individual prior to his or her VR certain months for which an individual making a change to § 404.2116(c)(2) to refusal if deductions have been imposed clarify that a beneficiary’s VR refusal does not receive SSI benefits based on against the individual’s monthly results in deductions against social disability or blindness. They apply to disability benefits for a month(s) after security disability benefits, rather than a States and certain alternate providers of October 1984 because of such VR suspension of benefits. VR services which are willing to refusal. Existing §§ 404.2116 (b)(2) and (c)(2) provide services to disabled or blind SSI 3. Section 404.2115 is amended by and 416.2216 (b)(2) and (c)(2) contain recipients, or social security disability revising paragraphs (a)(3) and (b) to read provisions which provide for the filing beneficiaries, under our VR payment as follows: of claims for payment for VR services in programs under the conditions specified in the regulations. § 404.2115 When services must have been certain cases within 12 months after the provided. month of the initial publication of these Paperwork Reduction Act (a) * * * sections in the Federal Register, 55 FR (3) Before completion of a continuous 8449 (March 8, 1990). This 12-month These proposed regulations impose no additional reporting or 9-month period of SGA or termination period ended March 31, 1991, the close of entitlement to disability benefits, of the 12th month following the month recordkeeping requirements subject to clearance by OMB. whichever occurs first. of publication in the Federal Register. (b) If an individual who is entitled to Since this time period for filing a claim (Catalog of Federal Domestic Assistance disability benefits under this part also is is no longer in effect, we are proposing Program Nos. 96.001, Social Security- or has been receiving disability or to delete these provisions from the Disability Insurance; 96.006, Supplemental blindness benefits under part 416 of this Security Income) regulations. chapter, the determination as to when We also are proposing to amend List of Subjects services must have been provided may §§ 404.2116(c)(2) and 416.2216(c)(2) to be made under this section or 20 CFR Part 404 clarify that the other 12-month period § 416.2215 of this chapter, whichever is described in these sections for filing a Administrative practice and advantageous to the State VR agency or claim for payment in the case of an alternate participant that is participating individual’s VR refusal begins after the procedure, Blind, Disability benefits, Old-Age, Survivors and Disability in both VR programs. first month for which deductions are 4. Section 404.2116 is amended by imposed against social security Insurance, Reporting and recordkeeping requirements, Social Security. revising paragraphs (b)(2) and (c)(2) to disability benefits, or after the first read as follows: month for which disability or blindness 20 CFR Part 416 benefits under the SSI program are § 404.2116 When claims for payment for suspended, because of such VR refusal. Administrative practice and VR services must be made (filing procedure, Aged, Blind, Disability deadlines). Electronic Versions benefits, Public assistance programs, * * * * * The electronic file of this document is Supplemental Security Income (SSI), (b) * * * available on the Federal Bulletin Board Reporting and recordkeeping (2) If no written notice was sent to the (FBB) at 9 on the date of publication in requirements. State VR agency or alternate participant, 47130 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules a claim must be filed within 12 months provided on behalf of such an blindness recipient, in a month(s) after after the month in which VR services individual in cases where— March 1988. * ** end. * * * * * 6. Section 416.2213 is amended by (c) * * * (b) The individual continues to revising the last sentence of paragraph (2) If no written notice was sent to the receive disability or blindness benefits, (c) to read as follows: even though his or her disability or State VR agency or alternate participant, § 416.2213 Payment for VR services in a a claim must be filed within 12 months blindness has ceased, under section case of VR refusal. 1631(a)(6) of the Act because of his or after the first month for which * * * * * deductions are imposed against her continued participation in an approved VR program which we have (c) * * * A State VR agency or disability benefits because of such VR alternate participant may be paid, refusal. determined will increase the likelihood that he or she will not return to the subject to the provisions of this subpart, PART 416ÐSUPPLEMENTAL disability or blindness rolls (see for the costs of VR services provided to SECURITY INCOME FOR THE AGED, § 416.2212); or an individual prior to his or her VR BLIND, AND DISABLED refusal if the individual’s disability or * * * * * blindness benefits have been suspended 3. Section 416.2203 is amended by for a month(s) after October 1984 Subpart VÐ[Amended] removing the definition of ‘‘Eligible’’ because of such VR refusal. and adding 2 new definitions in 1. The authority citation for subpart V 7. Section 416.2215 is revised to read alphabetical order to read as follows: of part 416 is revised to read as follows: as follows: § 416.2203 Definitions. Authority: Secs. 702(a)(5), 1615, 1631(d)(1) § 416.2215 When services must have been and (e), and 1633(a) of the Social Security * * * * * provided. Act; (42 U.S.C. 902(a)(5), 1382d, 1383(d)(1) Disability or blindness benefits, as and (e), and 1383b(a)). defined for this subpart only, refers to (a) In order for the VR agency or regular SSI benefits under section 1611 alternate participant to be paid, the 2. Section 416.2201 is amended by services must have been provided— revising the introductory text of this of the Act (see § 416.202), special SSI cash benefits under section 1619(a) of (1) After September 30, 1981; section and revising paragraph (b) to (2) During a month(s) for which— read as follows: the Act (see § 416.261), special SSI eligibility status under section 1619(b) (i) The individual is eligible for § 416.2201 General. of the Act (see § 416.264), and/or a disability or blindness benefits or continues to receive such benefits under In general, sections 1615 (d) and (e) of federally administered State supplementary payment under section section 1631(a)(6) of the Act (see the Social Security Act (the Act) § 416.2212); or authorize payment from the general 1616 of the Act or section 212(b) of Public Law 93–66 (see § 416.2001), for (ii) The disability or blindness fund for the reasonable and necessary benefits of the individual are suspended costs of vocational rehabilitation (VR) which an individual is eligible based on disability or blindness, as appropriate. due to his or her ineligibility for the services provided certain disabled or benefits (see subpart M of this part blind individuals who are eligible for * * * * * concerning suspension for ineligibility); Special SSI eligibility status refers to supplemental security income (SSI) and the special status described in benefits, special SSI eligibility status, or (3) Before completion of a continuous §§ 416.264 through 416.269 relating to federally administered State 9-month period of SGA or termination supplementary payments. In this eligibility for medicaid. 4. Section 416.2209 is amended in of disability or blindness benefits, subpart, such benefits, status, or whichever occurs first (see subpart M of payments are referred to as disability or paragraph (b) by removing ‘‘payments’’ and adding ‘‘benefits’’ in its place and this part concerning termination of blindness benefits (see § 416.2203). benefits). Subject to the provisions of this subpart, in paragraph (c) by removing ‘‘payment’’ and adding ‘‘benefits’’ in its place. (b) If an individual who is receiving payment may be made for VR services disability or blindness benefits under provided an individual during a 5. Section 416.2212 is amended by revising the section heading and this part, or whose benefits under this month(s) for which the individual is part are suspended, also is entitled to eligible for disability or blindness revising the first and second sentences to read as follows: disability benefits under part 404 of this benefits, including the continuation of chapter, the determination as to when such benefits under section 1631(a)(6) of § 416.2212 Payment for VR services in a services must have been provided may the Act, or for which the individual’s case where an individual continues to be made under this section or disability or blindness benefits are receive disability or blindness benefits § 404.2115, whichever is advantageous suspended (see § 416.2215). Paragraphs based on participation in an approved VR to the State VR agency or alternate program. (a), (b) and(c) of this section describe the participant that is participating in both cases in which the State VR agencies Section 1631(a)(6) of the Act contains VR programs. and alternate participants can be paid the criteria we will use in determining 8. Section 416.2216 is amended by for the VR services provided such an if an individual whose disability or revising paragraphs (b)(2) and (c)(2) to individual under this subpart. The blindness has ceased should continue to read as follows: purpose of sections 1615 (d) and (e) of receive disability or blindness benefits the Act is to make VR services more because of his or her continued § 416.2216 When claims for payment for readily available to disabled or blind participation in an approved VR VR services must be made (filing individuals, help State VR agencies and program. A VR agency or alternate deadlines). alternate participants to recover some of participant can be paid for the cost of * * * * * their costs in VR refusal situations, as VR services provided to an individual if (b) * * * described in § 416.2213, and ensure that the individual was receiving benefits (2) If no written notice was sent to the savings accrue to the general fund. based on this provision in a month(s) State VR agency or alternate participant, Payment will be made for VR services after October 1984 or, in the case of a a claim must be filed within 12 months Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules 47131 after the month in which VR services Ramada Inn), 7801 Leesburg Pike, Falls SUMMARY: The U.S. Virgin Islands end. Church, Virginia 22043, telephone (703) operates a state occupational safety and (c) * * * 893–1340. health program or ‘‘state plan’’ which is (2) If no written notice was sent to the Written statements may be submitted federally approved under section 18 of State VR agency or alternate participant, to Mr. James J. Thomas, Chief, Division the Occupational Safety and Health Act. a claim must be filed within 12 months of Self-Determination Services, Bureau In 1984, the Occupational Safety and after the first month for which disability of Indian Affairs, 1849 C Street, NW, Health Administration made a ‘‘final or blindness benefits are suspended MS: 4627–MIB, Washington, DC 20420, approval’’ determination under section because of such VR refusal. telephone (202) 208–3708. 18(e) of the Act which in effect gave 9. Section 416.2217 is amended in the FOR FURTHER INFORMATION CONTACT: Mr. exclusive regulatory authority over all introductory text of the section by James J. Thomas, Chief, Division of Self- safety and health issues covered by the adding ‘‘and (e)’’ after ‘‘section Determination Services, Bureau of state plan to the Virgin Islands 1615(d).’’ Indian Affairs, 1849 C Street NW., MS: Department of Labor. (The Virgin [FR Doc. 95–22175 Filed 9–8–95; 8:45 am] 4627–MIB, Washington, DC 20240, Islands State Plan is limited in coverage BILLING CODE 4190±29±P telephone (202) 208–3708. to safety issues, in the private sector.) Mrs. Merry Elrod, Acting Director, The most recent Federal monitoring of Division of Self-Determination, Indian the state plan indicates that state plan DEPARTMENT OF THE INTERIOR Health Service, 5600 Fishers Lane, enforcement has ceased to be ‘‘at least Parklawn Building, Room 6A–05, as effective as’’ that provided under Bureau of Indian Affairs Rockville, MD, 20857, telephone (301) OSHA and that other 18(e) requirements 443–1044. are no longer being met. In response to 25 CFR Ch. 1 SUPPLEMENTARY INFORMATION: The that finding, the Virgin Islands location and dates of future meetings Commissioner of Labor has agreed to Meeting of the Indian Self- will be published in the Federal voluntarily relinquish the State’s final Determination Negotiated Rulemaking Register. The meetings will be open to approval status, has requested the Committee the public without advance registration. reassertion of concurrent Federal AGENCY: Bureau of Indian Affairs, Public attendance may be limited to enforcement jurisdiction, and has Interior, Indian Health Service, HHS. the space available. Members of the pledged to accomplish the necessary ACTION: Notice of meeting. public may make statements during the corrective action. As a result, the meeting, to the extent that time permits, affirmative 18(e) determination is under SUMMARY: The Secretary of the Interior and file written statements with the reconsideration by the Assistant (DOI) and the Secretary of Health and committee for its consideration. Written Secretary of Labor for Occupational Human Services (DHHS) have statements should be submitted to the Safety and Health, (the ‘‘Assistant established an Indian Self- addresses listed above. Summaries of Secretary’’) pursuant to procedures set Determination Negotiated Rulemaking committee meetings will be available for forth in 29 CFR 1902.47 et seq. Committee (Committee) to negotiate and public inspection and copying ten days Reconsideration and subsequent develop a proposed rule implementing following each meeting at the same revocation/suspension of the 18(e) the Indian Self-Determination and addresses. In addition, the materials determination will result in Education Assistance Act (ISDEAA), as received during the input sessions are reinstatement of concurrent amended. available for inspection and copying at enforcement authority by Federal OSHA The Department have determined that the same addresses. over occupational safety issues in the the establishment of this committee is in Dated: September 5, 1995. U.S. Virgin Islands pending State the public interest and will assist the Ada E. Deer, corrective action. This notice affords an agencies in developing regulations Assistant Secretary—Indian Affairs. opportunity for the public to submit authorized under section 107 of the written information, views and ISDEAA. The agenda planned for the [FR Doc. 95–22552 Filed 9–8–95; 8:45 am] BILLING CODE 4310±02±M comments on the proposed week includes meetings of work groups reconsideration. A similar notice will be as well as the full committee. Work published by the Virgin Islands within groups will be finalizing draft regulatory the next 10 days. language and recommending adoption DEPARTMENT OF LABOR by the full committee. The full OSHA is soliciting written comment Occupational Safety and Health committee will review and give from interested persons in its Administration approval of such language for reconsideration of the U.S. Virgin Islands State Plan’s affirmative 18(e) publication in the Federal Register, as 29 CFR Part 1952 a Notice of Proposed Rulemaking determination to assure that all relevant (NPRM). This will be the final meeting U.S. Virgin Islands State Plan for information, views, data and arguments of the committee prior to publication of Occupational Safety and Health are available to the Assistant Secretary the NPRM. during this proceeding. Members of the AGENCY: Occupational Safety and Health DATES: The committee and appropriate public may also submit requests for an Administration (OSHA), U.S. workgroups will meet on the following informal hearing; if the Assistant Department of Labor. days, beginning at approximately 8:30 Secretary determines that substantial a.m. and ending at approximately 5 p.m. ACTION: U.S. Virgin Islands state plan: issues are presented which a hearing on each day: Tuesday, September 26; Notice of reconsideration of 18(e) would likely resolve, an informal Wednesday, September 27; and determination; proposed reassumption hearing will be scheduled in accordance Thursday, September 28, 1995. of concurrent Federal enforcement with 29 CFR 1902.49(c). authority; request for written comments; ADDRESSES: All meetings September 26 DATES: Comments and requests for an notice of opportunity to request through September 28, 1995, will be informal hearing must be received by informal public hearing. held at the Doubletree Inn (previously October 16, 1995. 47132 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules ADDRESSES: Written comments and including the U.S. Virgin Islands opportunity for public comment the requests for an informal hearing must be eligible to submit State plans under Assistant Secretary determined that in submitted in quadruplicate to the section 18. Procedures for State plan actual operations, the Virgin Islands Docket Office. Telefaxes will be submission and approval are set forth in State plan was ‘‘at least as effective as’’ accepted, however, a hard copy original regulations at 29 CFR Part 1902. If the the Federal program in providing safe with three (3) copies must also be Assistant Secretary, applying the criteria and healthful employment and places of submitted. All comments and requests set forth in Section 18(c) of the Act and employment, and met all other criteria must be submitted to Docket No. T–030, 29 CFR 1902.3 and 1902.4, finds that the for final State plan approval under U.S. Department of Labor, room N2625, plan provides or will provide for State Section 18(e) of the Act and 200 Constitution Avenue NW., standards and enforcement which are implementing regulations at 29 CFR Part Washington, DC 20210 (202) 219–7894. ‘‘at least as effective as’’ Federal 1902 including compliance staffing Written comments, and requests for an standards and enforcement, ‘‘initial consistent with benchmarks established informal hearing will be made available approval’’ is granted. A State may pursuant to AFL–CIO v. Marshall 570 for public inspection and copying in the commence operations under its plan F.2d 1030 (D.C. Cir. 1978). Accordingly, Docket Office, Room n2625 at the after this determination is made, but the the Virgin Islands plan was granted final previously mentioned address, between Assistant Secretary retains discretionary approval, 29 CFR 1952.253, and the hours of 8:15 a.m. and 4:45 p.m. Federal enforcement authority during concurrent Federal enforcement Copies of the applicable evaluation the initial-approval period as provided authority over occupational safety was reports and the State’s letters and by Section 18(e) of the Act. relinquished under section 18(e) of the Corrective Action Plan may be The Virgin Islands state plan received Act effective April 17, 1984. 29 CFR inspected and copied during normal initial federal OSHA plan approval on 1952.254; 49 FR 16755 (April 20, 1984). business hours at the OSHA Technical September 11, 1973, 38 FR 16775. A Data Center (TDC), Room N2625, 200 description of the plan and a basic Summary of Current Situation chronology of its submission and federal Constitution Avenue NW., Washington, The U.S. Virgin Islands state program approval is codified in the Code of DC; the approved plan may be inspected is experiencing significant difficulties, Federal Regulations at 29 CFR Part and copied during normal business and exhibiting deficiencies in many 1952, Subpart S. The Virgin Islands hours at the OSHA Office of State aspects of its 18(e) program, as Department of Labor, Division of Programs (OSP), Room N3700, 200 documented in the three most recent Constitution Avenue NW., Washington, Occupational Safety and Health (VIDOSH) was designated as the state Evaluation reports covering 1991 DC; copies of the approved plan, the through 1994 as prepared by OSHA’s applicable evaluation reports and the agency with responsibility for administering the state plan, and Region II in New York. Despite many State’s letters and Corrective Action past assurances to OSHA that the Plan may be inspected and copied operations under the plan commenced at the time of initial plan approval in administering agency will correct the during normal business hours at the deficiencies and satisfactorily address Office of the Regional Administrator, 1973. The Virgin Islands state plan covers all issues of occupational safety the problems, the deficiencies remain Occupational Safety and Health unabated. The most basic activities of Administration, 201 Varick Street, in workplaces located within the Virgin Islands. Although in the public sector the program, including scheduling of Room 670, New York, New York 10014; inspections, identification and citation Puerto Rico Area Office, Occupational the state plan covers occupational health as well as safety, in the private of hazards, proposal of penalties, review Safety and Health Administration, U.S. of contested cases, staff training, and Courthouse & FOB, Carlos Chardon sector the state plan does not exercise enforcement authority over response to new Federal standards and Avenue, Room 555, Hato Rey, Puerto Federal program changes are not being Rico 00918, and the Virgin Islands occupational health issues; enforcement of health standards and other health- accomplished in an effective manner. Department of Labor, Occupational Accompanied visits and case file Safety and Health Division, 3012 related requirements in the Virgin Islands private sector is provided by the reviews have uncovered significant Golden Rock, Christiansted, St. Croix, deficiencies in critical enforcement Virgin Islands 00820. U.S. Department of Labor. During the 1970’s the Virgin Islands areas, including inspection preparation, FOR FURTHER INFORMATION CONTACT: plan proceeded through the various inspection procedures, hazard Anne Cyr, Acting Director, Office of stages of federal approval, and after recognition, abatement assurance, case Information and Consumer Affairs, certification of completion of all file documentation, and adjudication of Occupational Safety and Health required developmental steps in 1981 contested cases. Additional deficiencies Administration, U.S. Department of (29 CFR 1952.252; 46 FR 46808, 09–22– also exist in fiscal administration and Labor, Room N3637, 200 Constitution 81), Federal OSHA began to evaluate the reporting, and maintenance of Avenue NW., Washington, DC 20210, program for final approval under section sufficient, qualified staff. The severity of Telephone (202) 219–8148. 18(e) of the Act in accordance with the program’s present deficiencies along SUPPLEMENTARY INFORMATION: procedures at 29 CFR 1902.30 et seq., to with the record of their last five (5) determine, on the basis of actual years of somewhat problematic Background operations under the plan, whether the performance has resulted in the mutual Section 18 of the Occupational Safety criteria for final approval were being conclusion by OSHA’s Regional and Health Act of 1970 (the Act) satisfied. An 18(e) or ‘‘final approval’’ Administrator and the Virgin Islands provides that States which desire to determination results in the newly appointed Commissioner of assume responsibility for the relinquishment of Federal concurrent Labor that the VIDOSH program does development and enforcement of enforcement authority in the State with not currently meet the criteria requisite occupational safety and health respect to occupational safety and/or to retain an affirmative determination standards may do so by submitting, and health issues covered by the plan, 29 under Section 18(e) of the Act, as it is obtaining Federal approval of, a State U.S.C. 667(e). not operating in a manner that can be plan. Section 3(7) of the Act makes Based on OSHA’s evaluation of judged ‘‘at least as effective as’’ the several U.S. territories and possessions operations under the plan, and after Federal OSHA program. Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules 47133 By letter dated July 19, 1995, Lisa issuance of appropriate Federal citations SUMMARY: This document proposes to Harris-Moorhead, Virgin Islands’ and penalties and the review of update references to material Commissioner of Labor indicated the contested cases by the Occupational incorporated by reference in the state’s agreement to voluntary Safety and Health Review Commission Department of Veterans Affairs relinquishment of the U.S. Virgin (OSHRC). Federal enforcement activity regulations concerning the Adult Day Islands State plan’s final approval status will reflect all new OSHA compliance Health Care Program, the Community under Section 18(e) of the Act and to initiatives to promote voluntary Residential Care Program, and the reassertion of concurrent Federal compliance through common sense Contract Program for Veterans With enforcement jurisdiction. On behalf of regulation and appropriately rewarding Alcohol and Drug Dependence the Governor and his new employers who take affirmative steps to Disorders. These regulations incorporate administration she committed the state assure worker protection. OSHA by reference various editions of the to making the Virgin Islands’ believes such action is an appropriate National Fire Protection Association workplaces safe and healthful and to response to current circumstances in the Life Safety Code entitled ‘‘NFPA 101, ‘‘marked improvement’’ in the state’s Virgin Islands; restoring the state plan to Life Safety Code’’ and ‘‘NFPA 101A, program by December. its pre-1984 ‘‘initial approval’’ status Guide on Alternative Approaches to Life Safety.’’ It is proposed to substitute the Proposed Reconsideration of 18(e) acknowledges the deficiencies presently current edition (1994) of the Life Safety Determination and Reinstatement of existing in the state program, which, Code and the current edition (1995) of Concurrent Federal Enforcement while serious and extensive, do not in the Guide on Alternative Approaches to Authority the Assistant Secretary’s judgement warrant the commencement at this time Life Safety for earlier editions. The Section 18(f) of the Act requires the of proceedings under 29 CFR Part 1955 regulations are designed to ensure that Assistant Secretary to make a and section 18(f) of the Act to entirely buildings used for treatment and continuing evaluation of the manner in withdraw state plan approval. At the residential services for veterans meet which each state plan is being same time, reverting the state’s federal the fire and safety requirements of the administered. Under regulations at 29 approval status from final to initial Life Safety Code and the Guide on CFR 1902.32(e), after a State’s plan has approval would allow OSHA to exercise Alternative Approaches to Life Safety. been given an affirmative 18(e) discretionary concurrent enforcement Also, this document amends the current determination, the State is required to authority to compensate for the current ‘‘Contract Program for Veterans With maintain a program which will meet the deficiencies in state plan enforcement Alcohol and Drug Dependence requirements of section 18(c) and will and allow the state sufficient time and Disorders’’ regulations which, prior to continue to be ‘‘as least as effective as’’ assistance to improve its program. the effective date of this document, the Federal program. A failure to Pending a final decision, Federal OSHA provided that the Director, Facility comply with this or other 18(e) compliance officers may accompany Engineering, Planning, and Construction requirements may result in the State inspectors, effective immediately, Office, was delegated authority to grant reconsideration and revocation or but no Federal citations will be issued certain equivalencies or variances to suspension of the affirmative 18(e) until a final decision on this action is building requirements. This delegation determination and the resumption of published. of authority is removed and instead Federal enforcement authority, or, if Final approval status may be renewed such delegation of authority is granted circumstances warrant, the or a process to withdraw Federal to each of the Regional Directors of the commencement of proceedings for the Veterans Health Administration. withdrawal of approval of the plan approval of the State plan may be DATES: Comments must be received on pursuant to 29 CFR Part 1955 and initiated subsequently, depending on or before November 13, 1995. section 18(f) of the Act. the results of State efforts to address the Under the authority of section 18 of identified State plan deficiencies. FOR FURTHER INFORMATION CONTACT: the Act and 29 CFR 1902.32(f) and Signed at Washington, DC this 5th day of Daniel J. Schoeps, Chief, Community 1902.47 et seq., the Assistant Secretary September, 1995. Care Programs, Veterans Health on his own initiative and in response to Joseph A. Dear, Administration, Department of Veterans the state’s request is seeking public Assistant Secretary of Labor. Affairs, (202) 565–7530, for issues comment on his proposal to reconsider [FR Doc. 95–22446 Filed 9–8–95; 8:45 am] relating to the Adult Day Health Care Program and the Community the U.S. Virgin Islands State plan’s BILLING CODE 4510±26±M affirmative 18(e) determination and Residential Care Program; Karen G. reinstate concurrent Federal Boies, Ph.D., Deputy Associate Director enforcement authority in order to assure for Addictive Disorders and Psychiatric adequate worker protection and the DEPARTMENT OF VETERANS Rehabilitation, Veterans Health effective enforcement of safety AFFAIRS Administration, Department of Veterans standards and regulations. A decision Affairs, (202) 565–7316, for issues revoking or suspending the state’s 18(e) 38 CFR Part 17 relating to the Contract Program for status would not terminate federal Veterans With Alcohol and Drug approval of the state plan and would not RIN 2900±AH61 Dependence Disorders. affect the legal authority of the Virgin ADDRESSES: Mail written comments Islands to carry on enforcement Adult Day Health Care Program; concerning these proposed regulations activities under the state plan. Instead, Community Residential Care Program; to: Director, Office of Regulations revocation/suspension of a state’s 18(e) and Contract Program for Veterans Management (02D), Department of determination restores the state plan to With Alcohol and Drug Dependence Veterans Affairs, 810 Vermont Ave. ‘‘initial approval’’ status and permits the Disorders NW., Washington, DC 20420; or hand resumption of concurrent federal AGENCY: Veterans Health deliver written comments to: Office of enforcement activity including Administration, VA. Regulations Management, room 1176, independent Federal or joint state and 801 Eye Street NW., Washington, DC ACTION: Proposed rule. Federal inspections resulting in the 20001. Comments should indicate that 47134 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules they are submitted in response to ‘‘RIN incorporated by reference). Fire Protection Association (NFPA). 2900–AH61.’’ All written comments Incorporation of the 1994 edition of the Battery March Park, Quincy, MA 02269, will be available for public inspection in Life Safety Code was approved by the 1994 edition. (For ordering information, the Office of Regulations Management, Director of the Federal Register in call toll-free 1–800–344–3555.) The room 1176, 801 Eye Street NW., accordance with 5 U.S.C. 552(a) and 1 1994 edition of the Life Safety Code is Washington, DC 20001 between the CFR part 51. The code is available for hereby incorporated by reference into hours of 8 a.m. and 4:30 p.m., Monday inspection at the Office of the Federal this section as though set forth in full through Friday (except holidays). Register, room 700, 800 North Capitol herein. This code is available for SUPPLEMENTARY INFORMATION: The Street NW., Washington, DC and at the inspection at the Office of the Federal regulations affected by this document Department of Veterans Affairs, Office Register, 800 North Capitol Street NW., are authorized under provisions of 38 of Regulations Management (02D), room room 700, Washington, DC and the U.S.C. as follows: 1176, 801 Eye Street NW., Washington, Department of Veterans Affairs, Office DC 20001. Copies may be obtained from: Adult Day Health Care Program—38 U.S.C. of Regulations Management (02D), room National Fire Protection Association, 1712; Community Residential Care 1176, 801 Eye Street NW., Washington, Battery March Park, Quincy, MA 02269. Program—38 U.S.C. 1730; and Contract DC 20001. Any equivalencies or Program for Veterans With Alcohol and Drug (For ordering information, call toll-free Dependence Disorders—38 U.S.C. 501 and 38 1–800–344–3555.) The institution shall variances to Department of Veterans U.S.C. 1720A provide sufficient staff to assist patients Affairs requirements must be approved in the event of fire or other emergency. by the appropriate Veterans Health Regulatory Flexibility Act Administration Regional Director. The Secretary hereby certifies that the * * * * * 3. In § 17.51j, paragraph (a)(2) is * * * * * provisions of the proposed rule would revised to read as follows: not have a significant economic impact 5. In § 17.53c, paragraph (a)(1)(i) is on a substantial number of small entities § 17.51j Approval of community residential revised to read as follows: care facilities. as they are defined in the Regulatory § 17.53c Contracts for outpatient services Flexibility Act (RFA), 5 U.S.C. 601–612. * * * * * for veterans with alcohol or drug In all likelihood, only similar entities (a) * * * dependence or abuse disabilities. that are small entities would conduct (2) Meet the requirements of chapters activities affected by this rule. 1–7, 22–23, and 31 of the 1994 edition (a) * * * Therefore, pursuant to 5 U.S.C. 605(b), of the National Fire Protection (1) * * * this rule is exempt from the initial and Association’s Life Safety Code, NFPA (i) The building must meet the final regulatory flexibility analysis 101, and the 1995 edition of NFPA requirements of the applicable business requirement of sections 603 and 604. 101A, Guide on Alternative Approaches occupancy chapters 1–7, 26–27, and 31 to Life Safety (which are incorporated List of Subjects in 38 CFR Part 17 of the Life Safety Code (NFPA 101) by reference). The institution shall Alcoholism, Claims, Dental Health, provide sufficient staff to assist patients published by the National Fire Drug Abuse, Foreign Relations, in the event of fire or other emergency. Protection Association (NFPA), Battery Government Contracts, Grants Incorporation by reference of the 1994 March Park, Quincy, MA 02269, 1994 Program—Health, Health Care, Health edition of the Life Safety Code and the edition. (For ordering information, call Facilities, Health Professions, Medical 1995 edition of NFPA 101A was toll-free 1–800–344–3555.) The 1994 Devices, Medical Research, Mental approved by the Director of the Federal edition of the Life Safety Code (NFPA Health Programs, Nursing Homes, Register, in accordance with 5 U.S.C. 101) is hereby incorporated by reference Philippines, Veterans. 552(a) and 1 CFR part 51. The code is into this section as though set forth in Approved: August 29, 1995. available for inspection at the Office of full herein. This code is available for Jesse Brown, the Federal Register, room 700, 800 inspection at the Office of the Federal Secretary of Veterans Affairs. North Capitol Street NW., Washington, Register, 800 North Capitol Street NW., For the reasons set out in the DC and the Department of Veterans room 700, Washington, DC and the preamble, 38 CFR part 17 is proposed to Affairs, Office of Regulations Department of Veterans Affairs, Office be amended as set forth below: Management (02D), room 1176, 801 Eye of Regulations Management (02D), room Street NW., Washington, DC 20001. 1176, 801 Eye Street NW., Washington, PART 17ÐMEDICAL Copies may be obtained from the DC 20001. Any Equivalencies or National Fire Protection Association, 1. The authority citation for part 17 variances to Department of Veterans Battery March Park, Quincy, MA 02269. continues to read as follows: Affairs requirements must be approved (For ordering information, call toll-free by the appropriate Veterans Health Authority: 72 Stat. 1114, 38 U.S.C. 501, 1–800–344–3555.) unless otherwise noted. Administration Regional Director. * * * * * * * * * * 2. In § 17.51e, paragraph (c)(2) is 4. In § 17.53b, paragraph (a)(1)(i) is revised to read as follows: revised to read as follows: [FR Doc. 95–22311 Filed 9–8–95; 8:45 am] BILLING CODE 8320±01±P § 17.51e Adult day health care in private § 17.53b Contracts for residential facilities. treatment services for veterans with alcohol * * * * * or drug dependence or abuse disabilities. (c) * * * (a) * * * (2) The institution shall meet the (1) * * * requirements of chapters 1–7, 10–11, (i) The building must meet the and 31 of the National Fire Protection requirements of the applicable Association’s Life Safety Code, entitled residential occupancy chapters 1–7, 22– NFPA 101 Life Safety Code 1994, dated 23, and 31 of the Life Safety Code February 11, 1994 (which is (NFPA 101) published by the National Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules 47135 ENVIRONMENTAL PROTECTION SUPPLEMENTARY INFORMATION: at § 32.215(a) according to the standards AGENCY set forth in the statute. A. Background A significant addition being proposed 40 CFR Parts 15 and 32 Last year, the EPA Administrator is a new paragraph (c) in the settlement decided to reorganize the former Office provisions of § 32.315. The new text [FRL±5219±6] of Enforcement (OE), now the Office of would state that, as part of a RIN 2030±AA38 Enforcement and Compliance Assurance comprehensive settlement agreement (OECA). As part of that reorganization, and before a judgment of conviction is Suspension, Debarment and administrative responsibility for the Part entered, the EPA debarring official may Ineligibility for Contracts, Assistance, 15 CAA and CWA contractor listing certify that the condition giving rise to Loans and Benefits program was transferred from OECA to the CAA or CWA violation has been the Office of Administration and corrected. Such certifications would be AGENCY: Environmental Protection Resources Management (OARM) so that issued only if the Debarring Official has Agency (EPA). all EPA debarment functions would be the same type of documentation which ACTION: Proposed rule. conducted by a single office. would be required to obtain On October 5, 1994, EPA published reinstatement (under the new § 32.321) SUMMARY: In this notice, EPA proposes technical amendments to 40 CFR Parts after a post-conviction CAA or CWA to remove Part 15 (‘‘Administration of 15 and 32 to reassign specific functions facility ineligibility. the Clean Air Act and the Clean Water from OECA to OARM. (See, 59 Fed. Reg. A new § 32.321 is proposed which Act with Respect to Contracts, Grants, 50691). In the preamble to those prescribes the procedures for seeking and Loans—List of Violating Facilities’’) amendments, EPA notified the public of reinstatement of facility eligibility. from Title 40 of the Code of Federal its intention to consolidate the two rules Finally, §§ 32.330 and 32.425 are Regulations. EPA also proposes that 40 into a single rule in 1995. proposed to be removed from this rule CFR Part 32, Governmentwide These proposed amendments would as part of EPA’s effort to eliminate Debarment and Suspension eliminate Part 15 in its entirety, and unnecessary regulatory provisions. (Nonprocurement) and amend EPA’s suspension and These sections were part of EPA’s Governmentwide Requirements for debarment rule at Part 32 by adding the original 1982 assistance debarment Drugfree Workplace (Grants), be few procedures needed to implement regulation and were retained when EPA amended simultaneously by adding the statutorily mandated ineligibility published its version of the OMB procedures needed to administer the provisions of the CAA and the CWA. Nonprocurement Governmentwide ineligibility provisions of the Clean Air In addition to significantly reducing Debarment and Suspension Rule Act (CAA), Clean Water Act (CWA), and regulatory text, the proposed rule will (Common Rule) in 1988. Although the EO 11738. reduce the confusion that occurred Common Rule does not prescribe a DATES: Comments must be submitted on because EPA had one set of procedures ‘‘reconsideration’’ procedure, or before November 13, 1995. for mandatory and discretionary facility § 32.320(c) authorizes a debarred respondent to request, at any time, that ADDRESSES: ineligibility (Part 15), and another for Comments may be mailed to the debarment decision be reversed or Robert Meunier, Director, Suspension discretionary suspension and debarment actions (Part 32). When the proposed that the period or scope of a debarment and Debarment Division (3902F), U.S. be reduced. Even without this Environmental Protection Agency, 401 amendments become final, pre- conviction cases involving violations of provision, EPA believes that the M St. SW, Washington, DC 20460, or debarring and suspending official has delivered to EPA, Fairchild Building, the CAA and CWA will, like cases involving other environmental statutes, inherent authority to reconsider a 499 South Capitol St., room 217 suspension or debarment decision. between 8 a.m. and 4:30 p.m. be candidates for suspension and proposed debarment under 40 CFR Part The proposed removal of the Comments and data may also be §§ 32.330 and 32.425 reconsideration submitted electronically by electronic 32 and 48 CFR Subpart 9.4. The following regulatory provisions provisions will not affect a respondent’s mail (e-mail) to: will be affected under this proposed opportunity to file an appeal under [email protected]. rule. §§ 32.335 and 32.430. Although also not Electronic comments must be submitted Part 15 of Title 40 of the Code of prescribed in the OMB Common Rule, as an ASCII file avoiding the use of Federal Regulations will be removed. the seldom used Part 32 appeal special characters and any form of Part 32 of Title 40 of the Code of provisions are being retained because encryption. Comments and data will Federal Regulations will be amended to they provide an inexpensive procedure also be accepted on disks in incorporate references to the CAA and for challenging EPA suspension and WordPerfect in 5.1 file format or ASCII CWA ineligibility provisions in the title, debarment determinations. file format. All comments and data in table of contents, and authorities A record has been established for this electronic form must be identified by section. rulemaking under docket number the docket number [FRL–5219–6]. No General references will be added to ‘‘[FRL–5219–6]’’ (including comments Confidential Business Information (CBI) the purpose clauses at § 32.100(e) and and data submitted electronically as should be submitted through e-mail. the definitions of ‘‘facility’’ and ‘‘CAA described below). A public version of Electronic comments on this proposed or CWA ineligibility’’ will be added to this record, including printed paper rule may be filed online at many Federal the definitions at § 32.105. versions of electronic comments, which Depository Libraries. Additional New paragraphs (d) are added to does not include any information information on electronic submissions §§ 32.110 (Coverage) and 32.115 claimed as CBI, is available for can be found below. (Policy), to indicate that CAA and CWA inspection from 8 a.m. to 4 p.m., FOR FURTHER INFORMATION CONTACT: ineligibility are within the scope of this Monday through Friday, excluding legal Robert F. Meunier, Director, Suspension rule; and the statutory authority of holidays. The public record is located in and Debarment Division (3902F), 401 M agency heads to grant exceptions to Room 217 of the EPA Fairchild Building Street S.W., Washington, DC 20460. CAA and CWA ineligible facilities has located at 499 South Capitol Street, Telephone: (202) 260–8025. been added to the exceptions provisions Washington, DC. 47136 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules Electronic comments can be sent apply when they are inconsistent with Dated: August 21, 1995. directly to EPA at: applicable law. Moreover, section 205 Alvin Peschowitz, [email protected] allows EPA to adopt an alternative other Acting Assistant Administrator, Office of Electronic comments must be than the least costly, most cost-effective Administration and Resources Management. submitted as an ASCII file avoiding the or least burdensome alternative if the For the reasons set out in the use of special characters and any form Administrator publishes with the final preamble, 40 CFR Parts 15 and 32 are of encryption. rule an explanation why that alternative proposed to be amended as follows: The official record for this was not adopted. Before EPA establishes 1. Part 15 is removed. rulemaking, as well as the public 2. The title of Part 32 is revised to any regulatory requirements that may version, as described above will be kept read as follows: in paper form. Accordingly, EPA will significantly or uniquely affect small transfer all comments received governments, including tribal PART 32ÐGOVERNMENTWIDE electronically into printed, paper form governments, it must have developed DEBARMENT AND SUSPENSION as they are received and will place the under section 203 of the UMRA a small (NONPROCUREMENT) AND paper copies in the official rulemaking government agency plan. The plan must GOVERNMENTWIDE REQUIREMENTS record which will also include all provide for notifying potentially FOR DRUG-FREE WORKPLACE comments submitted directly in writing. affected small governments, enabling (GRANTS); CLEAN AIR ACT AND The official rulemaking record is the officials of affected small governments CLEAN WATER ACT INELIGIBILITY OF paper record maintained at the address to have meaningful and timely input in FACILITIES IN PERFORMANCE OF in ADDRESSES at the beginning of this the development of EPA regulatory FEDERAL CONTRACTS, GRANTS AND document. proposals with significant Federal LOANS Rulemaking Analysis intergovernmental mandates, and 3. The authorities citation for part 32 informing, educating, and advising is revised to read as follows: B. Executive Order 12866 small governments on compliance with Authority: EO 12549; 41 U.S.C. 701 et seq.; This rulemaking has been determined the regulatory requirements. 7 U.S.C. 136 et seq.; 15 U.S.C. 2601 et seq.; not to be significant under EO 12866. Today’s proposed rule contains no 20 U.S.C. 4011 et seq.; 33 U.S.C. 1251 et seq.; However, it has been sent to the Office Federal mandates (under the regulatory 42 U.S.C. 300f, 4901, 6901, 7401, 9801 et seq.; EO 12689; EO 11738; Pub. L. 103–355 of Management and Budget for review provisions of Title II of the UMRA) for for consistency with the OMB Common § 2455. State, local, or tribal governments or the Rule. private sector. The proposed rule 4. Section 32.100 is amended by adding new paragraph (e) as follows: C. Regulatory Flexibility Act imposes no enforceable duties on any of The EPA certifies that this proposed these governmental entities or the § 32.100 Purpose. rule would not have a significant private sector. This proposed rule does * * * * * economic impact on a substantial not change the current statutory and (e) Facilities ineligible to provide number of small entities. regulatory duties that arise from goods, materials, or services under conditions of federal assistance which, Federal contracts, loans or assistance, D. Paperwork Reduction Act as defined by UMRA, do not constitute pursuant to Section 306 of the Clean Air The Paperwork Reduction Act does a ‘‘Federal intergovernmental mandate’’ Act (CAA) or Section 508 of the Clean not apply because this rule does not or a ‘‘Federal private sector mandate.’’ Water Act (CWA) are excluded in contain information collection Thus, today’s proposed rule is not accordance with the terms of those requirements for the approval of OMB subject to the requirements of sections statutes. Reinstatement of a CAA or under 44 U.S.C. 3501 et seq. 202 and 205 of the UMRA. CWA ineligibile facility may be Unfunded Mandates Reform Act requested in accordance with the EPA has determined that this procedures at § 32.321. Title II of the Unfunded Mandates proposed rule contains no regulatory 5. Section 32.105 is amended by Reform Act of 1995 (UMRA), P.L. 104– requirements that might significantly or adding in alphabetical order the 4, establishes requirements for Federal uniquely affect small governments. The following definitions. agencies to assess the effects of their proposed rule would eliminate the regulatory actions on State, local, and separate procedures in 40 CFR Part 15 § 32.105 Definitions. tribal governments and the private for administering the Clean Air Act and * * * * * sector. Under section 202 of the UMRA, Clean Water Act ineligibility provisions, CAA or CWA ineligibility. The status EPA generally must prepare a written and incorporate simplified ineligibility of a facility which, as provided in statement, including a cost-benefit procedures in EPA’s existing section 306 of the Clean Air Act (CAA) analysis, for proposed and final rules nonprocurement suspension and and section 508 of the Clean Water Act with ‘‘Federal mandates’’ that may debarment rules (40 CFR Part 32). None (CWA), is ineligible to be used in the result in expenditures to State, local, performance of a Federal contract, of these amended procedures would and tribal governments, in the aggregate, subcontract, loan, assistance award or impose significant or unique regulatory or to the private sector, of $100 million covered transaction. Such ineligibility or more in any one year. Before requirements on small governments. commences upon conviction of a facility promulgating an EPA rule for which a Therefore, the proposed rule is not owner, lessee, or supervisor for a written statement is needed, section 205 subject to section 203 of the UMRA. violation of section 113 of the CAA or of the UMRA generally requires EPA to List of Subjects in 40 CFR Parts 15 and section 309(c) of the CWA, which identify and consider a reasonable 32 violation occurred at the facility. The number of regulatory alternatives and ineligibility of the facility continues adopt the least costly, most cost- Administrative practice and until such time as the EPA Debarring effective or least burdensome alternative procedure, Debarment and suspension, Official certifies that the condition that achieves the objectives of the rule. Ineligibility. giving rise to the CAA or CWA criminal The provisions of section 205 do not conviction has been corrected. Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules 47137 Facility. Any building, plant, (b) The EPA Debarring Official is the ACTION: Proposed rule. installation, structure, mine, vessel, official authorized to grant exceptions floating craft, location or site of under this section for EPA. SUMMARY: EPA is proposing to act on operations at which, or from which, a 10. Section 32.315 is amended by revisions to the California State Federal contract, subcontract, loan, adding a new paragraph (c) to read as Implementation Plan (SIP) which assistance award or covered transaction follows: concern two negative declarations from is to be performed. Where a location or the Mojave Desert Air Quality § 32.315 Settlement and voluntary Management District for two volatile site of operations contains or includes exclusion. more than one building, plant, organic compound (VOC) source installation or structure, the entire * * * * * categories: Asphalt Air Blowing and (c) The EPA Debarring Official may location or site shall be deemed the Vacuum Producing Devices or Systems. consider matters regarding present facility unless otherwise limited by The intended effect of proposing to responsibility, as well as any other EPA. include these negative declarations in matter regarding the conditions giving the SIP is to meet the requirements of * * * * * rise to alleged CAA or CWA violations the Clean Air Act, as amended in 1990 6. Section 32.110 is amended by in anticipation of entry of a plea, (CAA or the Act). In the Final Rules adding a new paragraph (d) to read as judgment or conviction. If, at any time, Section of this Federal Register, the follows: it is in the interest of the United States EPA is acting on the state’s SIP revision § 32.110 Coverage. to conclude such matters pursuant to a as a direct final rule without prior comprehensive settlement agreement, * * * * * proposal because the Agency views this the EPA Debarring Official may as a noncontroversial revision (d) Except as provided in § 32.215 of conclude the debarment and this Part, Federal agencies shall not use amendment and anticipates no adverse ineligibility matters as part of any such comments. A rationale for this action is a CAA or CWA ineligible facility in the settlement, so long as he or she certifies performance of any Federal contract, set forth in the direct final rule. If no that the condition giving rise to the CAA adverse comments are received in subcontract, loan, assistance award or or CWA violation has been corrected. covered transaction. response to this proposed rule, no 11. Section 32.321 is added to read as further activity is contemplated in * * * * * follows: relation to this rule. If EPA receives 7. Section 32.115 is amended by adverse comments, the direct final rule revising paragraph (d) to read as § 32.321 Reinstatement of facility eligibility. will be withdrawn and all public follows: (a) A written petition to reinstate the comments received will be addressed in § 32.115 Policy. eligibility of a CAA or CWA ineligible a subsequent final rule based on this proposed rule. The EPA will not * * * * * facility may be submitted to the EPA institute a second comment period on (d) It is EPA policy to exercise its Debarring Official. The petitioner bears this document. Any parties interested in authority to reinstate CAA or CWA the burden of providing sufficient commenting on this action should do so ineligible facilities in a manner which is information and documentation to at this time. consistent with the policies in establish, by a preponderance of the paragraphs (a) and (b) of this section. evidence, that the condition giving rise DATES: Comments on this proposed rule must be received in writing by October * * * * * to the CAA or CWA conviction has been corrected. If the material facts set forth 11, 1995. 8. Section 32.215 is amended by in the petition are disputed, and the ADDRESSES: revising paragraph (a) to read as follows: Written comments on this Debarring Official denies the petition, action should be addressed to: Daniel A. § 32.215 Exception provision. the petitioner shall be afforded the Meer, Rulemaking Section (A–5–3), Air * * * * * opportunity to have additional and Toxics Division, U.S. (a) Any agency head, or authorized proceedings as provided in § 32.314(b). Environmental Protection Agency, designee, may except any Federal (b) A decision by the EPA Debarring Region 9, 75 Hawthorne Street, San contract, subcontract, loan, assistance Official denying a petition for Francisco, CA 94105–3901. award or covered transaction, reinstatement may be appealed under Copies of the negative declarations are individually or as a class, in whole or § 32.335. available for public inspection at EPA’s Region 9 office and at the following in part, from the prohibitions otherwise § 32.330 [Removed] locations during normal business hours. applicable by reason of a CAA or CWA 12. Section 32.330 is removed. ineligibility. The agency head granting Rulemaking Section (A–5–3), Air and the exception shall notify the EPA § 32.425 [Removed] Toxics Division, U.S. Environmental Debarring Official of the exception as 13. Section 32.425 is removed. Protection Agency, Region IX, 75 soon, before or after granting the [FR Doc. 95–22088 Filed 9–8–95; 8:45 am] Hawthorne Street, San Francisco, CA exception, as may be practicable. The BILLING CODE 6560±50±P 94105 justification for such an exception, or Air Docket (6102), U.S. Environmental any renewal thereof, shall fully describe Protection Agency, 401 M Street SW., the purpose of the contract or covered 40 CFR Part 52 Washington, DC 20460 transaction, and show why the California Air Resources Board, [CA 137±1±7051b; FRL±5262±4] paramount interest of the United States Stationary Source Division, Rule requires the exception. Approval and Promulgation of State Evaluation Section, 2020 L Street, 9. Section 32.215 is further amended Implementation Plans; California State Sacramento, CA 95812 by adding a new paragraph (b) to read Implementation Plan Revision, Mojave Mojave Desert Air Quality Management as follows: Desert Air Quality Management District District (formerly San Bernardino County Air Pollution Control District, § 32.215 Exception provision. AGENCY: Environmental Protection 15428 Civic Drive, Suite 200, * * * * * Agency (EPA). Victorville, CA 92392–2382. 47138 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules FOR FURTHER INFORMATION CONTACT: Julie direct final rule without prior proposal ACTION: Proposed rule. A. Rose, Rulemaking Section, A–5–3, because the Agency views this as a Air and Toxics Division, U.S. noncontroversial revision and SUMMARY: EPA proposes to approve Environmental Protection Agency, anticipates no adverse comments. A revisions to the following states State Region 9, 75 Hawthorne Street, San detailed rationale for the approval is set Implementation Plans (SIPs) for ozone: Francisco, CA 94105–3901, Telephone: forth in the direct final rule. If no Delaware, the District of Columbia, (415) 744–1184. adverse comments are received in Maryland, Pennsylvania, and Virginia. This action is based upon revision SUPPLEMENTARY INFORMATION: This response to that direct final rule, no further activity is contemplated in requests submitted by these states to document concerns negative satisfy the requirements of the Clean Air declarations for two VOC source relation to this proposed rule. If EPA does receive adverse comments, the Act, as amended November 15, 1990 categories from the Mojave Desert Air and the Photochemical Assessment direct final rule will be withdrawn and Quality Management District: (1) Monitoring Stations (PAMS) all public comments received will be Asphalt Air Blowing submitted to EPA regulations. The PAMS regulation addressed in a subsequent final rule on December 20, 1994 and (2) Vacuum required states to provide for the based on this proposed rule. EPA will Producing Devices or Systems establishment and maintenance of an not institute a second comment period submitted to EPA on December 29, 1994 enhanced ambient air quality network on this proposal. Any parties interested by the California Air Resources Board. in the form of PAMS by November 12, in commenting on this proposal should For further information, please see the 1993. information provided in the Direct Final do so at this time. In the Final Rules section of this action which is located in the Rules DATES: Comments must be received on Federal Register, EPA is approving Section of this Federal Register. or before October 11, 1995. these states’ SIP revisions as a direct Authority: 42 U.S.C. 7401–7671q. ADDRESSES: Comments may be mailed to final rule without prior proposal Dated: July 10, 1995. Susan Studlien, Acting Director, Air, because the Agency views these as Felicia Marcus, Pesticides and Toxics Management noncontroversial SIP revisions and Regional Administrator. Division, EPA-New England, JFK anticipates no adverse comments. A [FR Doc. 95–22147 Filed 9–8–95; 8:45 am] Federal Bldg (AAA), Boston, MA detailed rationale for the approval is set 02203–2211. Copies of the State forth in the direct final rule. If no BILLING CODE 6560±50±W submittal and EPA’s technical support adverse comments are received in document are available for public response to this proposed rule, no 40 CFR Part 52 inspection by appointment during further activity is contemplated in normal business hours at the Air, relation to this rule. If EPA receives [CT±18±1±6482b; A±1±FRL±5271±4] Pesticides and Toxics Management adverse comments, the direct final rule Division, EPA-New England, One will be withdrawn and all public Approval and Promulgation of Air Congress Street, 10th floor, Boston, MA comments received will be addressed in Quality Implementation and the Bureau of Air Management, a subsequent final rule based on this PlansÐConnecticut; PM10 Attainment Department of Environmental proposed rule. EPA will not institute a Plan and Contingency Measures for Protection, State Office Building, 79 Elm second comment period on this action. New Haven Street, Hartford, CT 06106–1630. Any parties interested in commenting AGENCY: Environmental Protection FOR FURTHER INFORMATION CONTACT: on this action should do so at this time. Agency (EPA). Matthew B. Cairns, (617) 565–4982. DATES: Comments must be received in writing by October 11, 1995. ACTION: Proposed rule. SUPPLEMENTARY INFORMATION: For additional information, see the direct ADDRESSES: Written comments on this SUMMARY: EPA is proposing full action should be addressed to Marcia L. approval of a State Implementation Plan final rule which is located in the Rules Section of this Federal Register. Spink, Associate Director, Air Programs, (SIP) revision submitted by the State of Mailcode 3AT00, U.S. Environmental Connecticut to satisfy certain federal Authority: 42 USC 7401–7671q. Protection Agency, Region III, 841 requirements for the New Haven initial Dated: May 26, 1995. Chestnut Building, Philadelphia, PM10 nonattainment area. The purpose John P. DeVillars, Pennsylvania 19107. Copies of the of this action is to bring about the Regional Administrator, EPA–New England. documents relevant to this action are attainment of the national ambient air [FR Doc. 95–22131 Filed 9–8–95; 8:45 am] available for public inspection during quality standards (NAAQS) for BILLING CODE 6560±50±P normal business hours at the Air, particulate matter with an aerodynamic Radiation, and Toxics Division, U.S. diameter less than or equal to a nominal Environmental Protection Agency, 10 micrometers (PM10). EPA also 40 CFR Part 52 Region III, 841 Chestnut Building, proposes full approval of reasonable Philadelphia, Pennsylvania 19107; and available control measures (RACM) and [DE22±1±7160b, DC19±1±7159b, MD36±1± the Delaware Department of Natural contingency measures for the New 7161b, PA48±1±7162b, VA42±1±7163b; Resources & Environmental Control, 89 FRL±5291±9] Haven initial PM10 moderate Kings Highway, P.O. Box 1401, Dover, nonattainment area as established in Approval and Promulgation of Air Delaware 19903; District of Columbia this SIP revision, since Connecticut has Quality Implementation Plans; Department of Consumer and demonstrated implementation of RACM Delaware, the District of Columbia, Regulatory Affairs, 2100 Martin Luther will attain and maintain the PM10 Maryland, Pennsylvania, Virginia; King Avenue, SE., Washington, DC NAAQS. Additionally, EPA proposes Revisions to the State Implementation 20020; Maryland Department of the approval of Connecticut’s adoption of Plans (SIPs) Addressing Ozone Environment, 2500 Broening Highway, the PM10 NAAQS and emergency Monitoring Baltimore, Maryland, 21224; episode regulation. In the Final Rules Pennsylvania Department of Section of this Federal Register, EPA is AGENCY: Environmental Protection Environmental Protection, P.O. Box approving the State’s SIP revision as a Agency (EPA). 8468, 400 Market Street, Harrisburg, Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules 47139 Pennsylvania 17105; Virginia revision amendment and anticipates no 40 CFR Part 52 Department of Environmental Quality, adverse comments. A detailed rationale [TN±126±6580b; FRL±5282±9] 629 East Main Street, Richmond, for the approval is set forth in the direct Virginia, 23219; Department of Public final rule. If no adverse comments are Approval and Promulgation of Health, Air Management Services, 321 received in response to that direct final Implementation Plans; Tennessee: University Avenue, Philadelphia, rule, no further activity is contemplated Approval of Revisions to Permit Pennsylvania 19104. in relation to this proposed rule. If EPA Requirements FOR FURTHER INFORMATION CONTACT: receives adverse comments, the direct AGENCY: Catherine L. Magliocchetti, Ozone/CO & final rule will be withdrawn and all Environmental Protection Agency (EPA). Mobile Sources Section, Mailcode public comments received will be 3AT21, U.S. Environmental Protection addressed in a subsequent final rule ACTION: Proposed rule. Agency, Region III, 841 Chestnut based on this proposed rule. The EPA SUMMARY: The EPA proposes to approve Building, Philadelphia, Pennsylvania will not institute a second comment 19107, (215) 597–6863. the State Implementation Plan (SIP) period on this document. Any parties revision submitted by the State of SUPPLEMENTARY INFORMATION: For interested in commenting on this Tennessee for the purpose of further information regarding the PAMS document should do so at this time. establishing revisions to the permit rulemaking for Delaware, the District of requirements for major sources of air Columbia, Maryland, Pennsylvania, and DATES: To be considered, comments pollution in the Nashville/Davidson Virginia, see the information provided must be received by October 11, 1995. County area. In the final rules section of in the Direct Final action of the same ADDRESSES: Written comments on this this Federal Register, the EPA is title which is located in the Rules and action should be addressed to Scott approving the State’s SIP revision as a Regulations Section of this Federal Southwick, at the EPA Regional Office direct final rule without prior proposal Register. listed below. Copies of the documents because the Agency views this as a List of Subjects in 40 CFR Part 52 relative to this action are available for noncontroversial revision amendment Environmental protection, Air public inspection during normal and anticipates no adverse comments. A pollution control, Hydrocarbons, business hours at the following detailed rationale for the approval is set Incorporation by reference, Nitrogen locations. The interested persons forth in the direct final rule. If no dioxide, Ozone, Volatile Organic wanting to examine these documents adverse comments are received in Compounds. should make an appointment with the response to this proposed rule, no further activity is contemplated in Authority: 42 U.S.C. 7401–7671q. appropriate office at least 24 hours before the visiting day. relation to this proposed rule. If EPA Dated: August 18, 1995. receives adverse comments, the direct W. Michael McCabe, Air and Radiation Docket and final rule will be withdrawn and all Regional Administrator, Region III. Information Center (Air Docket 6102), public comments received will be [FR Doc. 95–22159 Filed 9–8–95; 8:45 am] U.S. Environmental Protection addressed in a subsequent final rule BILLING CODE 6560±50±P Agency, 401 M Street SW., based on this proposed rule. The EPA Washington, DC 20460. will not institute a second comment Environmental Protection Agency, period on this document. Any parties 40 CFR Part 52 Region 4, Air Programs Branch, 345 interested in commenting on this document should do so at this time. [KY±069±3±6904b; FRL±5277±3] Courtland Street NE., Atlanta, GA 30365. DATES: To be considered, comments Approval and Promulgation of must be received by October 11, 1995. Commonwealth of Kentucky, Natural Implementation Plans and Designation ADDRESSES: Written comments on this Resources and Environmental of Areas for Air Quality Planning action should be addressed to Karen C. Purposes; Commonwealth of Kentucky Protection Cabinet, Department for Borel, at the EPA Regional Office listed Environmental Protection, Division below. Copies of the documents relative AGENCY: Environmental Protection for Air Quality, 803 Schenkel Lane, Agency (EPA). to this action are available for public Frankfort, KY 40601. inspection during normal business ACTION: Proposed rule. FOR FURTHER INFORMATION CONTACT: hours at the following locations. The SUMMARY: The EPA proposes to approve Scott Southwick of the EPA Region 4 interested persons wanting to examine the State Implementation Plan (SIP) Air Programs Branch at (404) 347–3555 these documents should make an revision submitted by the (extension 4207) and at the above appointment with the appropriate office Commonwealth of Kentucky through address. Reference file Ky–069–3–6904. at least 24 hours before the visiting day. the Natural Resources and Air and Radiation Docket and Environmental Protection Cabinet SUPPLEMENTARY INFORMATION: For Information Center (Air Docket 6102), approving the redesignation to additional information see the direct U.S. Environmental Protection attainment and maintenance plan of the final rule which is published in the Agency, 401 M Street SW., Lexington area because it meets the rules section of this Federal Register. Washington, DC 20460 maintenance plan and redesignation Dated: August 8, 1995. Environmental Protection Agency, requirements. EPA also proposes to R.F. McGhee, Region 4 Air Programs Branch, 345 approve the 1990 baseline emissions Courtland Street NE., Atlanta, Georgia inventory of the area. In the final rules Acting Regional Administrator. 30365 section of this Federal Register, the EPA [FR Doc. 95–22157 Filed 9–8–95; 8:45 am] Bureau of Environmental Health is approving the Commonwealth’s SIP BILLING CODE 6560±50±P Services, Metropolitan Health revision as a direct final rule without Department, Nashville-Davidson prior proposal because the Agency County, 311—23rd Avenue, North, views this as a noncontroversial Nashville, Tennessee 37203. 47140 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules FOR FURTHER INFORMATION CONTACT: copies of the documents EPA is Section 328(a) of the Act requires that Karen C. Borel, Regulatory Planning and proposing to incorporate by reference EPA establish requirements to control Development Section, Air Programs are contained in Docket No. A–93–16 air pollution from OCS sources located Branch, Air, Pesticides & Toxics (Section X). This docket is available for within 25 miles of states’ seaward Management Division, Region 4 public inspection and copying boundaries that are the same as onshore Environmental Protection Agency, 345 Monday—Friday during regular requirements. To comply with this Courtland Street NE., Atlanta, Georgia business hours at the following statutory mandate, EPA must 30365. The telephone number is 404/ locations: incorporate applicable onshore rules 347–3555 x4197. Reference file TN– EPA Air Docket (A–5), Attn: Docket into Part 55 as they exist onshore. This 126–1–6580a. No. A–93–16 Section X, Environmental limits EPA’s flexibility in deciding SUPPLEMENTARY INFORMATION: For Protection Agency, Air and Toxics which requirements will be additional information see the direct Division, Region 9, 75 Hawthorne St., incorporated into Part 55 and prevents final rule which is published in the San Francisco, CA 94105. EPA from making substantive changes rules section of this Federal Register. EPA Air Docket (LE–6102), Attn: Air to the requirements it incorporates. As Docket No. A–93–16 Section X, Dated: August 9, 1995. a result, EPA may be incorporating rules Environmental Protection Agency, 401 into Part 55 that do not conform to all Patrick M. Tobin, M Street SW, Room M–1500, of EPA’s state implementation plan Acting Regional Administrator. Washington, DC 20460. (SIP) guidance or certain requirements [FR Doc. 95–22146 Filed 9–8–95; 8:45 am] A reasonable fee may be charged for of the Act. Consistency updates may BILLING CODE 6560±50±P copying. result in the inclusion of state or local FOR FURTHER INFORMATION CONTACT: rules or regulations into Part 55, even Christine Vineyard, Air and Toxics though the same rules may ultimately be 40 CFR Part 55 Division (A–5–3), U.S. EPA Region 9, 75 disapproved for inclusion as part of the [FRI±5292±4] Hawthorne Street, San Francisco, CA SIP. Inclusion in the OCS rule does not 94105, (415) 744–1197. imply that a rule meets the requirements Outer Continental Shelf Air of the Act for SIP approval, nor does it SUPPLEMENTARY INFORMATION: Regulations Consistency Update for imply that the rule will be approved by California Background EPA for inclusion in the SIP. AGENCY: Environmental Protection On September 4, 1992, EPA EPA Evaluation and Proposed Action Agency (‘‘EPA’’). promulgated 40 CFR Part 55,1 which ACTION: Notice of proposed established requirements to control air On July 10, 1995 (60 FR 35538), EPA rulemaking—consistency update. pollution from OCS sources in order to proposed interim approval of the attain and maintain federal and state Operating Permits Program submitted SUMMARY: EPA is proposing to update a ambient air quality standards and to by the Santa Barbara County APCD. EPA portion of the Outer Continental Shelf comply with the provisions of Part C of is now proposing to update 40 CFR Part (‘‘OCS’’) Air Regulations. Requirements title I of the Act. Part 55 applies to all 55 by incorporating the requirements of applying to OCS sources located within OCS sources offshore of the States this program, in response to Santa 25 miles of states’ seaward boundaries except those located in the Gulf of Barbara County APCD’s request and to must be updated periodically to remain Mexico west of 87.5 degrees longitude. maintain consistency with onshore consistent with the requirements of the Section 328 of the Act requires that for requirements. These proposed corresponding onshore area (‘‘COA’’), as such sources located within 25 miles of requirements will apply to the extent mandated by section 328(a)(1) of the a state’s seaward boundary, the that they are rationally related to the Clean Air Act (‘‘the Act’’), the Clean Air requirements shall be the same as would attainment or maintenance of federal or Act Amendments of 1990. The portion be applicable if the sources were located state ambient air quality standards or of the OCS air regulations being updated in the COA. Because the OCS Part C of title I of the Act, that they are pertain to the operating permit requirements are based on onshore not designed expressly to prevent requirements for OCS sources for which requirements, and onshore requirements exploration and development of the the Santa Barbara County Air Pollution may change, section 328(a)(1) requires OCS, that they are applicable to OCS Control District (Santa Barbara County that EPA update the OCS requirements sources, and that they do not solely APCD) is the designated COA. The OCS as necessary to maintain consistency regulate pollutants or precursors to requirements for the above District, with onshore requirements. pollutants for which there is no federal contained in the Technical Support Pursuant to § 55.12 of the OCS rule, or state ambient air quality standard. Document, are proposed to be consistency reviews will occur (1) at These proposed Santa Barbara County incorporated by reference into the Code least annually; (2) upon receipt of a APCD operating permit requirements of Federal Regulations and are listed in Notice of Intent (NOI) under § 55.4; or applicable to OCS sources will not be the appendix to the OCS air regulations. (3) when a state or local agency submits finalized in Part 55 until EPA takes final DATES: Comments on the proposed a rule to EPA to be considered for action granting full or interim approval update must be received on or before incorporation by reference in Part 55. to the Santa Barbara County APCD October 11, 1995. This NPR is being promulgated in Operating Permits Program. ADDRESSES: Comments must be mailed response to the submittal of Part 70 The following Santa Barbara County (in duplicate if possible) to: EPA Air operating permit rules by a local air APCD Part 70 permit requirement were Docket (A–5), Attn: Docket No. A–93–16 pollution control agency. submitted for inclusion in Part 55: Section X, Environmental Protection 1 Rule 370 Potential to Emit—Limitations for Agency, Air and Toxics Division, The reader may refer to the Notice of Proposed Part 70 Sources (Adopted 06/15/95) Region 9, 75 Hawthorne St., San Rulemaking, December 5, 1991 (56 FR 63774), and the preamble to the final rule promulgated Rule 1301 Part 70 Operating Permits— Francisco, CA 94105. September 4, 1992 (57 FR 40792) for further General Information (Adopted 11/09/93) Docket: Supporting information used background and information on the OCS Rule 1302 Part 70 Operating Permits— in developing the proposed notice and regulations. Permit Application (Adopted 11/09/93) Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules 47141 Rule 1303 Part 70 Operating Permits— Dated: August 25, 1995. Rule 305 Particulate Matter Concentration– Permits (Adopted 11/09/93) Felicia Marcus, Southern Zone (Adopted 10/23/78) Rule 1304 Part 70 Operating Permits— Regional Administrator. Rule 306 Dust and fumes—Northern Zone Issuance, Renewal, Modification and (Adopted 10/23/78) Reopening (Adopted 11/09/93) Title 40 of the Code of Federal Rule 307 Particulate Matter Emission Rule 1305 Part 70 Operating Permits— Regulations, Part 55, is proposed to be Weight Rate–Southern Zone (Adopted 10/ Enforcement (Adopted 11/09/93) amended as follows: 23/78) Rule 308 Incinerator Burning (Adopted 10/ Administrative Requirements PART 55Ð[AMENDED] 23/78) A. Regulatory Flexibility Act Rule 309 Specific Contaminants (Adopted 1. The authority citation for Part 55 10/23/78) As was stated in the final OCS continues to read as follows: Rule 310 Odorous Organic Sulfides regulation, the OCS rule does not apply Authority: Section 328 of the Clean Air Act (Adopted 10/23/78) to any small entities, and the structure (42 U.S.C. § 7401 et seq.) as amended by Rule 311 Sulfur Content of Fuels (Adopted of the rule averts direct impacts and Public Law 101–549. 10/23/78) mitigates indirect impacts on small Rule 312 Open Fires (Adopted 10/2/90) 2. Section 55.14 is proposed to be Rule 316 Storage and Transfer of Gasoline entities. This consistency update merely amended by revising paragraphs (Adopted 12/14/93) incorporates onshore Part 70 permit (e)(3)(ii)(F) to read as follows: Rule 317 Organic Solvents (Adopted 10/23/ requirements into the OCS rule to 78) maintain consistency with onshore § 55.14 Requirements that apply to OCS Rule 318 Vacuum Producing Devices or regulations as required by section 328 of sources located within 25 miles of states' Systems—Southern Zone (Adopted 10/23/ the Act and does not alter the structure seaward boundaries, by state. 78) of the OCS rule. Because this action * * * * * Rule 321 Control of Degreasing Operations does not create any new requirements, (e) * * * (Adopted 7/10/90) it does not have a significant impact on (3) * * * Rule 322 Metal Surface Coating Thinner (ii) * * * and Reducer (Adopted 10/23/78) a substantial number of small entities. (F) Santa Barbara County Air Rule 323 Architectural Coatings (Adopted B. Executive Order 12866 Pollution Control District Requirements 2/20/90) Applicable to OCS Sources. Rule 324 Disposal and Evaporation of The Office of Management and Budget Solvents (Adopted 10/23/78) (OMB) has exempted this regulatory * * * * * Rule 325 Crude Oil Production and 4. Appendix A to CFR Part 55 is action from Executive Order 12866 Separation (Adopted 1/25/94) proposed to be amended by revising review. Rule 326 Storage of Reactive Organic Liquid paragraph (b) (6) under the heading Compounds (Adopted 12/14/93) C. Unfunded Mandates California to read as follows: Rule 327 Organic Liquid Cargo Tank Vessel Loading (Adopted 12/16/85) Under Sections 202, 203, and 205 of Appendix A to 40 CFR Part 55—Listing Rule 328 Continuous Emission Monitoring the Unfunded Mandates Reform Act of of State and Local Requirements (Adopted 10/23/78) 1995 (‘‘Unfunded Mandates Act’’), Incorporated by Reference Into Part 55, Rule 330 Surface Coating of Miscellaneous signed into law on March 22, 1995, EPA by State Metal Parts and Products (Adopted 11/13/ must undertake various actions in 90) * * * * * Rule 331 Fugitive Emissions Inspection and association with proposed or final rules (California) * * * include a Federal mandate that may Maintenance (Adopted 12/10/91) * * * * * Rule 332 Petroleum Refinery Vacuum result in estimated costs of $100 million (b) Local requirements. Producing Systems, Wastewater Separators or more to the private sector or to State, * * * * * and Process Turnarounds (Adopted 6/11/ local, or tribal governments in the (6) The following requirements are 79) aggregate. contained in Santa Barbara County Air Rule 333 Control of Emissions from EPA has determined that the final Pollution Control District Requirements Reciprocating Internal Combustion Engines (Adopted 12/10/91) action promulgated today does not Applicable to OCS Sources: include a Federal mandate that may Rule 342 Control of Oxides of Nitrogen result in estimated costs of $100 million Rule 102 Definitions (Adopted 7/30/91) (NOx from Boilers, Steam Generators and Rule 103 Severability (Adopted 10/23/78) Process Heaters) (Adopted 03/10/92) or more to either State, local or tribal Rule 201 Permits Required (Adopted 7/2/ Rule 359 Flares and Thermal Oxidizers governments in the aggregate, or to the 79) (Adopted 6/28/94) private sector. This Federal action Rule 202 Exemptions to Rule 201 (Adopted Rule 370 Potential to Emit—Limitations for approves pre-existing requirements 3/10/92) Part 70 Sources (Adopted 06/15/95) under State or local law, and imposes Rule 203 Transfer (Adopted 10/23/78) Rule 505 Breakdown Conditions Sections no new Federal requirements. Rule 204 Applications (Adopted 10/23/78) A.,B.1,. and D. only (Adopted 10/23/78) Accordingly, no additional costs to the Rule 205 Standards for Granting Rule 603 Emergency Episode Plans State, local, or tribal governments, or to Applications (Adopted 7/30/91) (Adopted 6/15/81) Rule 206 Conditional Approval of the private sector, result from the action. Rule 1301 Part 70 Operating Permits— Authority to Construct or Permit to Operate General Information (Adopted 11/09/93) List of Subjects in 40 CFR Part 55 (Adopted 10/15/91) Rule 1302 Part 70 Operating Permits— Rule 207 Denial of Application (Adopted Permit Application (Adopted 11/09/93) Administrative practice and 10/23/78) Rule 1303 Part 70 Operating Permits— procedures, Air pollution control, Rule 210 Fees (Adopted 5/7/91) Permits (Adopted 11/09/93) Hydrocarbons, Incorporation by Rule 212 Emission Statements (Adopted 10/ Rule 1304 Part 70 Operating Permits— reference, Intergovernmental relations, 20/92) Issuance, Renewal, Modification and Nitrogen dioxide, Nitrogen oxides, Rule 301 Circumvention (Adopted 10/23/ Reopening (Adopted 11/09/93) 78) Outer Continental Shelf, Ozone, Rule 1305 Part 70 Operating Permits— Rule 302 Visible Emissions (Adopted 10/ Enforcement (Adopted 11/09/93) Particulate matter, Permits, Reporting 23/78) and Recordkeeping requirements, Sulfur Rule 304 Particulate Matter—Northern [FR Doc. 95–22087 Filed 9–8–95; 8:45 am] oxides. Zone (Adopted 10/23/78) BILLING CODE 6560±50±P 47142 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules 40 CFR Part 81 final rule which is located in the Rules environmental assessment/regulatory Section of this Federal Register. impact review prepared for the Research [CT±22±1±7078b; A±1±FRL±5271±6] Authority: 42 USC 7401–7671q. Plan, and the final report ‘‘Establishing Dated: July 10, 1995. the Fee Percentage and Standard Clean Air Act Promulgation of Exvessel Prices for 1995’’ may be John P. DeVillars, Reclassification of PM10 obtained from the North Pacific Fishery Nonattainment AreasÐConnecticut; Regional Administrator, EPA-New England. Management Council, P.O. Box 103136, Approval of 1±Year Extension of [FR Doc. 95–22133 Filed 9–8–95; 8:45 am] Anchorage, AK 99510. Attainment Date for New Haven BILLING CODE 6560±50±P Locations where interested persons may participate in the September 18, AGENCY: Environmental Protection 1995, public hearing by teleconference Agency (EPA). DEPARTMENT OF COMMERCE are as follows: ACTION: Proposed rule. 1. Anchorage—North Pacific Fishery National Oceanic and Atmospheric Management Council, 600 West 4th SUMMARY: EPA is proposing full Administration approval of Connecticut’s request for a Avenue, Anchorage, AK (907–271– 2809); 1-year extension of the attainment date 50 CFR Part 677 for the New Haven PM10 nonattainment 2. Juneau—National Marine Fisheries area. This action is based on monitored [Docket No. 950822211±5211±01; I.D. Service, Alaska Region, 706 West 9th 080395A] air quality data for the national ambient Street, Juneau, AK (907–271–7228); 3. Seattle—Alaska Fisheries Science air quality standard for PM10 during the RIN 0648±AD80 Center, 7600 Sand Point Way Northeast, years 1992–94. This action is being Building 4, Room 7600, Seattle, WA taken under the Clean Air Act. In the North Pacific Fisheries Research Plan (206–526–4197); Final Rules Section of this Federal AGENCY: National Marine Fisheries 4. Newport—Oregon Department of Register, EPA is approving the Service (NMFS), National Oceanic and Fish and Wildlife, 2040 Southeast Connecticut’s extension request as a Atmospheric Administration (NOAA), Marine Science Drive, Newport, OR direct final rule without prior proposal Commerce. (503–867–0300). because the Agency views this as a noncontroversial revision and ACTION: Proposed rule; public hearing by FOR FURTHER INFORMATION CONTACT: anticipates no adverse comments. A teleconference. Susan Salveson, 907–586–7228. SUPPLEMENTARY INFORMATION: detailed rationale for the approval is set SUMMARY: NMFS issues a proposed rule forth in the direct final rule. If no to implement Amendment 1 to the Background adverse comments are received in North Pacific Fisheries Research Plan Regulations implementing the response to that direct final rule, no (Research Plan). Regulations further activity is contemplated in Research Plan became effective October implementing this amendment would 6, 1994 (59 FR 46126, September 6, relation to this proposed rule. If EPA delay full implementation of the does receive adverse comments, the 1994). A regulatory amendment was Research Plan until 1997 and establish published in the Federal Register on direct final rule will be withdrawn and 1996 observer coverage requirements for all public comments received will be January 9, 1995 (60 FR 2344), that the Research Plan fisheries. This delay clarified 1995 observer coverage addressed in a subsequent final rule is necessary to provide the North Pacific based on this proposed rule. EPA will requirements and revised the definition Fishery Management Council (Council) of certain terms set out under § 677.2. not institute a second comment period additional time to address certain issues on this proposal. Any parties interested Two additional rules have been presented by implementation of the published in the Federal Register that in commenting on this proposal should Research Plan. To remain consistent do so at this time. make other minor substantive changes with the Council’s intent, observer to the regulations implementing the DATES: Comments must be received on coverage requirements in regulations or before October 11, 1995. Research Plan. A final rule published on that implement Amendment 35 to the July 5, 1995 (60 FR 34904), and required ADDRESSES: Comments may be mailed to Fishery Management Plan (FMP) for the vessels and shoreside processors to Susan Studlien, Acting Director, Air, Groundfish Fishery of the Bering Sea facilitate transmission of observer data. Pesticides and Toxics Management and Aleutian Islands Area are proposed Finally, a proposed rule published on Division, EPA-New England, JFK to be extended through 1996. August 16, 1995 (60 FR 42470) revised Federal Bldg (AAA), Boston, MA DATES: Comments on this proposed rule 1995 observer coverage requirements for 02203–2211. Copies of Connecticut’s must be received by November 6, 1995. crab catcher vessels and exempted submittal and EPA’s technical support A public hearing on the proposed rule certain crab catcher vessels required to document are available for public will be held by teleconference on obtain observer coverage from paying inspection by appointment during Monday, September 18, 1995, at 1 p.m., 1995 Research Plan fees. normal business hours at the Air, Alaska local time. The Research Plan adopted by the Pesticides and Toxics Management ADDRESSES: Comments on this proposed Council at its December 1993 meeting Division, EPA-New England, One rule may be sent to Ronald J. Berg, established a two-phase implementation Congress Street, 10th floor, Boston, MA Chief, Fisheries Management Division, strategy for the Research Plan. The first and the Bureau of Air Management, Alaska Region, NMFS, 709 West 9th phase is occurring in 1995 and serves to Department of Environmental Street, Juneau, AK 99801, or P.O. Box collect start-up funding for full Protection, State Office Building, 79 Elm 21668, Juneau, AK 99802–1668, Attn: implementation of the Research Plan. Street, Hartford, CT 06106–1630. Lori J. Gravel. Copies of the Observer During 1995, NMFS is assessing and FOR FURTHER INFORMATION CONTACT: Plan may also be obtained from this collecting Research Plan fees. Matthew B. Cairns, (617) 565–4982. address. Participants in the Research Plan SUPPLEMENTARY INFORMATION: For Copies of the Research Plan as revised fisheries are continuing independently additional information, see the direct by proposed Amendment 1, the to obtain required observer coverage Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules 47143 from NMFS-certified observer of the year, so that adequate start-up As a result, specifications for observer contractors. ‘‘Double payments’’ for funds may be collected for full embarkment/disembarkment ports for observer services and the Research Plan implementation of the Research Plan in observers also are unnecessary for 1996. fee liability are avoided in 1995 through 1997. This means that NMFS will The Council’s intent to maintain 1995 either catcher vessel exemptions from continue to assess fees through early observer coverage levels through 1996 the fee liability or processor credits up 1996 for fish harvested and retained in would also apply to mothership to each processor’s Research Plan fee the Research Plan fisheries during the processor vessel and shoreside liability. Under the Research Plan last few months of 1995. Collected processor observer coverage adopted by the Council and NMFS, the funds would continue to be held in an requirements set out in regulations Research Plan would be fully interest-bearing account and would be implementing Amendment 35 to the implemented starting in 1996, and used to award contracts to provide FMP for the Groundfish Fishery of the observer coverage would be provided to observers under the Research Plan Bering Sea and Aleutian Islands Area. participants in Research Plan fisheries starting in 1997. Final regulations implementing The current Research Plan allows a through contractual arrangements Amendment 35, published on July 5, delay in the full implementation of the between NMFS and companies awarded 1995 (60 FR 34904) and codified at plan beyond 1995, only if insufficient contracts to provide observer services 50 CFR 675.25(b), are effective through for the Research Plan fisheries. funds exist to support contract awards December 31, 1995. In keeping with the The Council, at its April 1995 for the first half of 1996. NMFS believes Council’s intent to maintain 1995 meeting, raised some concerns about that the 1995 fee collection program will proceeding with the Research Plan and provide sufficient funds to support observer coverage levels in 1996, NMFS requested NMFS to delay the contract awards to initiate full proposes to extend the Amendment 35 solicitation process for awarding implementation of the Research Plan. requirements through 1996 by including contracts to provide observers under the Through mid-July 1995, NMFS had them under regulations implementing Research Plan during 1996. The Council collected $4.2 million in Research Plan 1996 Research Plan observer coverage also requested NMFS to initiate an fees. The final report ‘‘Establishing the requirements at § 677.10(a)(1). NMFS amendment to the Research Plan that Fee Percentage and Standard Exvessel also proposes to clarify that the would delay full implementation of the Prices for 1995’’ (see ADDRESSES) additional observer coverage Research Plan for at least 6 months. estimates that $4.8 million will be requirements implemented under NMFS informed the Council that the needed for start-up funding to support Amendment 35 are effective only design and implementation of the contractual arrangements for observer through October 15 of the second Research Plan and its specification coverage during the first 6 months of pollock season defined under 50 CFR process are tied to an annual cycle. Mid- full implementation of the Research 675.23(e). year implementation of the Research Plan. NMFS anticipates that this amount NMFS notes that regulations at Plan would create significant will be collected in 1995 and that full § 677.10(g) set out vessel safety administrative and operational implementation of the Research Plan requirements applicable in 1996 and problems. Therefore, NMFS suggested a can be pursued for 1997. beyond. No changes to these 1-year delay of the full implementation Therefore, the Council’s request to requirements are proposed, however, of the Research Plan, rather than the 6- delay full implementation of the the regulatory text would be revised to month delay requested by the Council. Research Plan requires an amendment clarify that these requirements apply to During a May 16, 1995, teleconference, to the Research Plan. At its June 1995 vessels required to carry observers in the Council reaffirmed its desire to meeting, the Council requested that the 1996 under § 677.10(a). date for full implementation of the delay the Research Plan and agreed to NMFS further notes that the following extend the delay for a 1-year period. The Research Plan be established by sections of the Observer Plan still would Council sought a delay in full regulations rather than by the Research be in effect until full implementation of implementation of the Research Plan in Plan. The intent of this request was to the Research Plan in 1997: (1) Standards order to provide additional time to allow for a revision of this date through of observer conduct; and (2) reconsider certain elements of the a regulatory amendment, rather than an Description, specifications, and work Research Plan that were previously amendment to the Research Plan. statement for certified domestic adopted by the Council. The Council’s Given that adequate start-up funds observer contractors, including conflict concerns are as follows: Minimum will be collected during 1995, no reason of interest standards for NMFS-certified levels of observer insurance coverage, exists to continue the fee collection observers and contractors and minimum number of contractors that program during 1996. As a result, will provide observer coverage, duration Research Plan fees will not be assessed conditions for contractor and observer of contracts, notification requirements for fish caught in 1996. The annual certification revocation. Copies of the for obtaining observer coverage, Research Plan specification process Observer Plan dated May 1994 are allowances for emergency replacement becomes unnecessary for 1996, because available from NMFS (see ADDRESSES). of observers as well as transfer of no reason exists to establish a 1996 fee Public comments on the proposed observers among vessels, adequate percentage or standard exvessel prices amendment to the Research Plan and its monitoring and control of industry on which to base fee assessments. The implementing regulations are invited for compliance with observer coverage Council intends that 1996 observer 60 days. During this comment period, requirements, and ability of coverage levels remain unchanged from NMFS will conduct public hearings, as supplemental or voluntary observer 1995 levels. These observer coverage required by section 313(c)(2) of the programs to meet increased compliance requirements for the groundfish and Magnuson Act, in Alaska, Oregon, and monitoring requirements of future crab fisheries are set out at § 677.10(a). Washington to receive public comments management programs under As in 1995, participants in the on the proposed regulations (see DATES consideration by the Council. groundfish and crab Research Plan and ADDRESSES for dates and locations). The Council also expressed its intent fisheries would be responsible for NMFS will consider the public to continue the fee collection program making their own arrangements and comments received in preparing the implemented for 1995 for the remainder paying for required observer coverage. final rule implementing the amendment. 47144 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules Classification PART 677ÐNORTH PACIFIC location on the same dock and has The Assistant General Counsel for FISHERIES RESEARCH PLAN distinct and separate equipment at each Legislation and Regulation of the location to process those pollock and 1. The authority citation for part 677 that receives pollock harvested by Department of Commerce certified to continues to read as follows: the Chief Counsel for Advocacy of the catcher vessels in the catcher vessel Small Business Administration that this Authority: 16 U.S.C. 1801 et seq. operational area, defined at § 675.22(g) proposed rule, if adopted, would not 2. In § 677.6, paragraph (b)(2) is of this chapter, during the second have a significant economic impact on redesignated as paragraph (b)(3), a new pollock season that starts on August 15, a substantial number of small entities. paragraph (b)(2) is added, and the under § 675.23(e) of this chapter, is An effect of the proposed rule would be heading to newly redesignated required to have a NMFS-certified to eliminate the 1996 fee assessment paragraph (b)(3) is revised to read as observer, in addition to the observer program authorized under the Research follows: required under paragraphs (a)(2)(i) and Plan. (ii) of this section, at each location The vessel owners who will benefit § 677.6 Research Plan fee. where pollock is offloaded, for each day from this delay are those owners whose * * * * * of the second pollock season until the vessels fall into the following categories: (b) * * * chum salmon savings area is closed about 4,000 halibut vessels, 1,400 (2) Fee assessments during 1996. under § 675.22(h)(2) of this chapter, or groundfish vessels less than 60 ft length Processors of Research Plan fisheries October 15, 1996, whichever occurs will not be assessed fees based on catch overall (LOA), and approximately 270 first. from Research Plan fisheries that is crab catcher vessels; these owners will * * * * * be relieved from having to pay the retained during the 1996 calendar year. (3) Fee assessments applicable after Research Plan fee and will not be (b) Observer requirements applicable December 31, 1996. * * * required to have observer coverage. In after December 31, 1996. * * * addition, owners of all processors will * * * * * * * * * * 3. In § 677.10, the headings for benefit because they will pay the direct (g) Vessel safety requirements observer cost which is less than the paragraphs (a) and (b) and the introductory text to paragraph (g) are applicable after December 31, 1995. Research Plan fee. Groundfish catcher Any vessel that is required to carry vessels over 60 ft LOA will pay direct revised, paragraphs (a)(1)(i)(C) through (a)(1)(i)(F) are redesignated as observers under paragraph (a) or (b)(1) observer costs; these costs will equal or of this section must have onboard exceed the Research Plan fee. In general paragraphs (a)(1)(i)(D) through (a)(1)(i)(G), respectively and paragraphs either: the direct observer costs are about 1.1 (a)(1)(i)(C) and (a)(2)(iii) are added to percent of the exvessel value of * * * * * read as follows: landings. About 30 crab catcher vessels 4. In § 677.11, paragraph (a)(4) is are required to carry observers. Owners § 677.10 General requirements. revised to read as follows: of most of these vessels will pay direct (a) Observer requirements applicable observer costs that may be 2 to 4 times § 677.11 Annual Research Plan through December 31, 1996. (1) * * * specifications. higher than what they would pay in (i) * * * terms of Research Plan fees. (C) Each mothership processor vessel (a) * * * Thus, while the proposed rule would that receives pollock harvested by (4) Observer coverage. For the period affect a substantial number of small catcher vessels in the catcher vessel January 1, 1995, through December 31, entities during 1996, the effect would operational area, defined at § 675.22(g) 1996, observer coverage levels in not be economically significant. As a of this chapter, during the second Research Plan fisheries will be as result, a regulatory flexibility analysis pollock season that starts on August 15 required by § 677.10(a). After December was not prepared. This proposed rule under § 675.23(e) of this chapter, is 31, 1996, the level of observer coverage has been determined to be not required to have a second NMFS- will be determined annually by NMFS, significant for purposes of E.O. 12866. certified observer aboard, in addition to after consultation with the Council and List of Subjects in 50 CFR Part 677 the observer required under paragraphs the State of Alaska, and may vary by (a)(1)(i)(A) and (B) of this section, for fishery and vessel or processor size, Fisheries, Reporting and each day of the second pollock season recordkeeping requirements. depending upon the objectives to be met until the chum salmon savings area is for the groundfish, halibut, and king and Dated: September 5, 1995 closed under § 675.22(h)(2) of this Tanner crab fisheries. The Regional Gary Matlock, chapter, or October 15, 1996, whichever Director may change observer coverage occurs first. Program Management Officer, National inseason pursuant to § 677.10(b)(2)(ii). Marine Fisheries Service. * * * * * For the reasons set out in the (2) * * * * * * * * preamble, 50 CFR part 677 is proposed (iii) Each shoreside processor that [FR Doc. 95–22510 Filed 9–6–95; 3:17 pm] to be amended as follows: offloads pollock at more than one BILLING CODE 3510±22±F 47145 Notices Federal Register Vol. 60, No. 175 Monday, September 11, 1995 This section of the FEDERAL REGISTER Natural Resources Conservation (This activity is listed in the Catalog of contains documents other than rules or Service Federal Domestic Assistance under No. proposed rules that are applicable to the 10.904, Watershed Protection and Flood public. Notices of hearings and investigations, Honey Creek Watershed, Vigo and Clay Prevention, and is subject to the provisions committee meetings, agency decisions and Counties, IN of Executive Order 12372, which requires rulings, delegations of authority, filing of intergovernmental consultation with State petitions and applications and agency AGENCY: Natural Resources and local officials) statements of organization and functions are Conservation Service. Robert L. Eddleman, examples of documents appearing in this State Conservationist. section. ACTION: Notice of a finding of no significant impact. [FR Doc. 95–22404 Filed 9–8–95; 8:45 am] BILLING CODE 3410±16±M SUMMARY: Pursuant to Section 102(2)(c) DEPARTMENT OF AGRICULTURE of the National Environmental Policy Forest Service Act of 1969; the Council on Muddy Fork of Silver Creek Watershed, Environmental Quality Regulations (40 Clark, Floyd and Washington Counties, Intergovernmental Advisory CFR Part 1500); and the Natural IN Committee Meeting Resources Conservation Service Regulations (7 CFR 650); The Natural AGENCY: Natural Resources AGENCY: Forest Service, USDA. Resources Conservation Service, U.S. Conservation Service. Department of Agriculture, gives notice ACTION: Notice of a Finding of No ACTION: Notice of meeting. that an environmental impact statement Significant Impact. is not being prepared for the Honey SUMMARY: The Intergovernmental Creek Watershed, Vigo and Clay SUMMARY: Pursuant to Section 102(2)(c) Advisory Committee (IAC) will meet on Counties, Indiana. of the National Environmental Policy September 28, 1995, at the Veterans of FOR FURTHER INFORMATION CONTACT: Act of 1969; the Council on Foreign Wars Post 5689, 37410 Main Robert L. Eddleman, State Environmental Quality Regulations (40 Street, Burney, CA 96013. The purpose Conservationist, Natural Resources CFR Part 1500); and the Natural of the meeting is to continue Conservation Service, 6013 Lakeside Resources Conservation Service discussions on the implementation of Boulevard, Indianapolis, Indiana, Regulations (7 CFR Part 650), the the Northwest Forest Plan. The meeting 46278, telephone (317) 290–3200. Natural Resources Conservation Service, U.S. Department of Agriculture, gives will begin at 9:00 a.m. on September 28 SUPPLEMENTARY INFORMATION: The notice that an environmental impact and continue until 4:30 p.m. the same environmental assessment of this statement is not being prepared for the day. The main agenda item will be federally assisted action indicates that Muddy Fork of Silver Creek Watershed, discussions on policy implications of the project will not cause significant Clark, Floyd, and Washington Counties, implementation and effectiveness local, regional, or national impacts on Indiana. monitoring. As time permits, other the environment. As a result of these items on the agenda will include an findings, Robert L. Eddleman, State FOR FURTHER INFORMATION CONTACT: update on Section II of the federal Conservationist, has determined that the Robert L. Eddleman, State watershed analysis guide, a presentation preparation and review of an Conservationist, Natural Resources from the California Coast Provincial environmental impact statement are not Conservation Service, 6013 Lakeside Advisory Committee, and other topics needed for this project. Boulevard, Indianapolis, Indiana 46278, relative to the Northwest Forest Plan. The project purpose is a plan for flood telephone (317) 290–3200. The IAC meeting will be open to the control. The planned works of SUPPLEMENTARY INFORMATION: The public. Written comments may be improvement covered by this Finding of environmental assessment of this submitted for the record at the meeting. No Significant Impact (FONSI) is the federally assisted action indicates that Time will also be scheduled for oral relocation of approximately 0.7 mile of the project will not cause significant public comments. Interested persons are Jordan Ditch. local, regional, or national impacts on encouraged to attend. The Notice of a FONSI has been the environment. As a result of these forwarded to the Environmental findings, Robert L. Eddleman, State FOR FURTHER INFORMATION CONTACT: Protection Agency and to various Conservationist, has determined that the Questions regarding this meeting may Federal, State, and local agencies and preparation and review of an be directed to Don Knowles, Executive interested parties. A limited number of environmental impact statement are not Director, Regional Ecosystem Office, 333 copies of the FONSI are available to fill needed for this project. SW 1st Avenue, P.O. Box 3623, single copy requests at the above The project purposes are a plan for Portland, OR 97208 (Phone: 503–326– address. Basic data developed during flood control, watershed protection and 6265). the environmental assessment are on municipal and industrial water supply. Dated: September 5, 1995. file and may be reviewed by contacting The planned works of improvement Robert L. Eddleman. covered by this Finding of No Donald R. Knowles, No administrative action on Significant Impact (FONSI) is Designated Federal Official. implementation of the proposal will be approximately 12.0 miles of debris [FR Doc. 95–22455 Filed 9–8–95; 8:45 am] taken until 30 days after the date of this removal, selective tree removal, and BILLING CODE 3410±11±M publication in the Federal Register. streambank stabilization. 47146 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices The Notice of a FONSI has been OMB Desk Officer: Don Arbuckle, Agency Form Numbers: BXA–621P, forwarded to the Environmental (202) 395–7340. 6051P, 6051P–a. Protection Agency and to various Agency: Bureau of Export OMB Approval Number: 0694–0012. Federal, State, and local agencies and Administration (BXA). Type of Request: Extension of a interested parties. A limited number of Title: Title: Quarterly Report on currently approved collection. copies of the FONSI are available to fill Exports of Parts to Service Equipment Burden: 14,776 reporting and single copy requests at the above Shipped Against a Validated Export recordkeeping hours. address. Basic data developed during License. Number of Respondents: 1,187. the environmental assessment are on Agency Form Number: None. Avg Hours Per Response: Varies file and may be reviewed by contacting OMB Approval Number: 0694–0003. between 1 and 30 hours depending on Robert L. Eddleman. Type of Request: Extension of a the requirement and one minute for No administrative action on currently approved collection. each record maintained. implementation of the proposal will be Burden: 5 hours. Needs and Uses: The Export taken until 30 days after the date of this Number of Respondents: 2 Administration Regulations require U.S. publication in the Federal Register. respondents filing quarterly reports. persons to report any requests that they Avg Hours Per Response: 30 minutes have received to take any action to (This activity is listed in the Catalog of for the reporting requirement and 1 comply with, further, or support an Federal Domestic Assistance under No. minute for recordkeeping. 10.904, Watershed Protection and Flood unsanctioned foreign boycott. The Needs and Uses: The Export information provided by firms is used Prevention, and is subject to the provisions Administration regulations permit firms of Executive Order 12372, which requires by BXA to monitor requests for intergovernmental consultation with State to apply for export licenses or reexport participation in foreign boycotts, and local officials) authorizations to ship parts needed to analyze changing trends for purposes of Robert L. Eddleman, service equipment previously exported deciding U.S. policy of discouraging under an export license. Once BXA State Conservationist. participation in restrictive trade grants authority to ship replacement practices, and to initiate boycott [FR Doc. 95–22405 Filed 9–8–95; 8:45 am] parts, the exporter is required to submit investigations. Without this data, BXA BILLING CODE 3410±16±M a quarterly report. These reports are would not have an adequate factual reviewed to make sure that there are no basis for implementing the U.S. boycott excessive shipments of spare parts. program. DEPARTMENT OF COMMERCE Affected Public: Businesses or other Affected Public: Businesses or other for–profit organizations. for–profit organizations. Agency Forms Under Review by the Frequency: Quarterly. Frequency: On occasion. Office of Management and Budget Respondent’s Obligation: Required to Respondent’s Obligation: Mandatory. obtain or retain benefits. OMB Desk Officer: Don Arbuckle, DOC has submitted to the Office of OMB Desk Officer: Don Arbuckle, (202) 395–7340. Management and Budget for clearance (202) 395–7340. the following proposals for collection of Agency: Bureau of Export Agency: Bureau of Export information under the provisions of the Administration (BXA). Administration (BXA). Paperwork Reduction Act (44 U.S.C. Title: Foreign Availability Procedures Title: Statement by Ultimate Chapter 35). and Criteria. Consignee and Purchaser. Agency: Bureau of Export Agency Form Number: None. Agency Form Number: BXA 629P. Administration (BXA). OMB Approval Number: 0694–0004. OMB Approval Number: 0694–0021. Title: Exceptions to the Import Type of Request: Extension of a Type of Request: Extension of a Certification and Delivery Verification currently approved collection. currently approved collection. Procedures. Burden: 2,550 hours. Burden: 4,289 hours. Agency Form Number: None. Number of Respondents: 10. Number of Respondents: 4,289. OMB Approval Number: 0694-0001. Avg Hours Per Response: Ranges Avg Hours Per Response: 1 hour. Type of Request: Extension of a between 105 and 300 hours. Needs and Uses: Most export license currently approved collection. Needs and Uses: BXA restricts the application requests must be Burden: 16 hours. export of goods and technology that accompanied by supporting documents Number of Respondents: 31. would make a significant contribution designed to elicit information Avg Hours Per Response: to the military potential of other concerning the intended end–use and Approximately 30 minutes. countries, unless it can be determined end–user of the goods abroad. In order Needs and Uses: The U.S. and that foreign availability of the same to verify what the U.S. exporter has told participating countries have agreed to goods and technology makes export BXA about the shipment, the ultimate establish Import Certificate and Delivery controls ineffective. The information consignee and purchaser are also Verification requirements to help provided is used in determining required to provide information on the control the disposition of strategically whether to conduct a foreign availability use of the item. The information is used important commodities. This reporting assessment. in making licensing decisions. requirement allows exporters to request Affected Public: Businesses or other Affected Public: Businesses or other an exception to the import certificate or for–profit organizations. for–profit organizations. delivery verification procedures. The Frequency: On occasion. Frequency: On occasion. information provided is used by BXA to Respondent’s Obligation: Required to Respondent’s Obligation: Required to determine if an exception request is obtain or retain benefits. obtain or retain benefits. warranted. OMB Desk Officer: Don Arbuckle, OMB Desk Officer: Don Arbuckle, Affected Public: Businesses or other (202) 395–7340. (202) 395–7340. for–profit organizations. Agency: Bureau of Export Agency: Bureau of Export Frequency: On occasion. Administration (BXA). Administration (BXA). Respondent’s Obligation: Required to Title: Report of Requests for Title: Quarterly Report of the Loan or obtain or retain benefits. Restrictive Trade Practice or Boycott. Sale of Aircraft Equipment Parts, Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices 47147 Accessories and Components by Type of Request: Extension of a Affected Public: Businesses or other Airlines. currently approved collection. for–profit organizations. Agency Form Number: None. Burden: 670 hours. Frequency: On occasion. OMB Approval Number: 0694–0035. Number of Respondents: 67. Respondent’s Obligation: Required to Type of Request: Extension of a Avg Hours Per Response: 10 hours. obtain or retain benefits. currently approved collection. Needs and Uses: BXA has established OMB Desk Officer: Don Arbuckle, Burden: 819 hours. procedures for voluntary self–disclosure (202) 395–7340. Number of Respondents: 190. of export violations. The information Agency: Bureau of Export Avg Hours Per Response: Annual provided is used by Export Enforcement Administration (BXA). recordkeeping time per respondent is to investigate and assess the nature and Title: Procedures for Acceptance or 4.3 hours and 2 hours for those gravity of the violation. By having such Rejection of Rated Order. companies that need to file quarterly a procedure, it allows BXA to Agency Form Number: None. reports. administer the regulations more OMB Approval Number: None. Needs and Uses: The Export effectively. Type of Request: Existing collection in Administration regulations allow Affected Public: Businesses or other use without an OMB control number. Burden: 31,500 hours. airlines operating abroad to lend or sell for–profit organizations. Number of Respondents: 25,000 with U.S. airplane parts to another airline Frequency: On occasion. multiple responses. without written BXA authority. Airlines Respondent’s Obligation: Voluntary. Avg Hours Per Response: participating must maintain records of OMB Desk Officer: Don Arbuckle, Approximately 15 minutes. (202) 395–7340. these transactions. For those countries Needs and Uses: This requirement is Agency: Bureau of Export in which inspections are now allowed, needed for the administration of the Administration (BXA). airlines must submit quarterly reports Defense Production Act. The purpose of Title: Telecommunications. on equipment transfers. If this the Act is to ensure the timely delivery procedure were not in place, individual Agency Form Number: None. OMB Approval Number: 0694–0078. of goods and services to meet current validated licenses would be required. national defense and emergency Affected Public: Businesses or other Type of Request: Extension of a preparedness requirements. To help for–profit organizations. currently approved collection. ensure the timely delivery, suppliers Frequency: Quarterly, recordkeeping. Burden: 92 hours. must accept or reject defense rated Respondent’s Obligation: Required to Number of Respondents: 15. orders and must do so by writing or by obtain or retain benefits. Avg Hours Per Response: Varies per electronic means. OMB Desk Officer: Don Arbuckle, the requirement from 15 minutes to 2 Affected Public: Businesses or other (202) 395–7340. hours. for–profit organizations. Agency: Bureau of Export Needs and Uses: For the shipment of telecommunications equipment to Frequency: On occasion. Administration (BXA). Respondent’s Obligation: Mandatory. proscribed countries, exporters must Title: Report on Unscheduled OMB Desk Officer: Don Arbuckle, provide end use assurances and provide Unloading and or Return of Cargo. (202) 395–7340. Agency Form Number: None. detailed information on the proposed Agency: National Oceanic and OMB Approval Number: 0694–0040. use. The information is used for Atmospheric Administration (NOAA). Type of Request: Extension of a licensing decisions and for enforcement Title: Request for Restoration Ideas – currently approved collection. purposes once a license is issued. New Bedford Harbor. Burden: 2 hours. Affected Public: Businesses or other Agency Form Number: None assigned. Number of Respondents: 2. for–profit organizations. OMB Approval Number: None. Avg Hours Per Response: 1 hour. Frequency: On occasion. Type of Request: New Collection. Needs and Uses: On rare occasions, a Respondent’s Obligation: Required to Burden: 100 hours. carrier may find itself in an emergency obtain or retain benefits. Number of Respondents: 50. situation in which controlled goods or OMB Desk Officer: Don Arbuckle, Avg Hours Per Response: 1 hours –– technology are unloaded at a destination (202) 395–7340. 2 responses per respondent. other than shown on the Shipper’s Agency: Bureau of Export Needs and Uses: Under the Export Declaration. In such instances, Administration (BXA). Comprehensive Environmental the carrier must notify BXA. Also, a Title: Import Certificates and End– Response, Compensation and Liability carrier who believes that a shipment User Certificates. Act, state and federal natural resource may be in violation must notify BXA. Agency Form Number: None. trustees, are responsible for the This data collection supports BXA’s OMB Approval Number: None. restoration of natural resources injured mission of controlling items for national Type of Request: Existing collection in by releases of hazardous substances. security or foreign policy reasons. use without an OMB control number. The collection provides an opportunity Affected Public: Businesses or other Burden: 1,144 hours. for the public to submit ideas for for–profit organizations. Number of Respondents: 4,576. restoration of resources that were Frequency: On occasion. Avg Hours Per Response: 15 minutes. injured by the release of contaminated Respondent’s Obligation: Required to Needs and Uses: A number of materials in the New Bedford obtain or retain benefits. countries are participating in a program environment. OMB Desk Officer: Don Arbuckle, to control the trade of strategic Affected Public: Individuals, (202) 395–7340. commodities through the Import businesses or other for–profit Agency: Bureau of Export Certificate–Delivery Verification organizations, not–for–profit Administration (BXA). procedure. This collection of institutions, state, local or tribal Title: Procedure for Voluntary Self– information is the certification of the government. Disclosure of Violations of the Export overseas importer to the U.S. Frequency: On occasion. Administration Act. Government that they will not reexport Respondent’s Obligation: Voluntary. Agency Form Number: None. commodities except in accordance with OMB Desk Officer: Don Arbuckle, OMB Approval Number: 0694–0058. U.S. export regulations. (202) 395–7340. 47148 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices Agency: National Oceanic and information collections should be sent investigate the application and report to Atmospheric Administration (NOAA). to Don Arbuckle, OMB Desk Officer, the Board. Title: Northeast Region Dealer Room 10202, New Executive Office As part of the investigation, the Purchase Reports. Building, Washington, D.C. 20503. Commerce examiner will hold a public Agency Form Numbers: NOAA 88–30 Dated: August 30, 1995 hearing on September 29, 1995, at 2:30 and 88–142. p.m., at the Fort Pierce Community Gerald Tache, OMB Approval Number: 0648–0229. Center, 600 N. Indian River Drive, Fort Type of Request: Revision of a Departmental Forms Clearance Officer, Office Pierce, Florida 34950. currently approved collection. of Management and Organization. Public comment on the application is Burden: 2,801 hours. [FR Doc. 95–22434 FIled 9–8–95; 8:45 am] invited from interested parties. Number of Respondents: 1,120 with BILLING CODE 3510±CW±F Submissions (original and 3 copies) multiple responses. shall be addressed to the Board’s Avg Hours Per Response: Ranges Executive Secretary at the address between 2 and 30 minutes depending on Foreign-Trade Zones Board below. The closing period for their the requirement. receipt is [60 days from date of Needs and Uses: Fishery statistics are [Docket 49±95] publication]. Rebuttal comments in collected by NMFS so that the Nation’s response to material submitted during fishery resources can be managed Proposed Foreign-Trade ZoneÐSt. the foregoing period may be submitted effectively. Dealer reporting is needed to Lucie County, FL; Application and during the subsequent 15-day period (to obtain fishery dependent data on the Public Hearing [75 days from date of publication]. landings and purchase of fish and An application has been submitted to A copy of the application and shellfish to monitor, evaluate, and accompanying exhibits will be available enforce fishery regulations, collect basic the Foreign-Trade Zones Board (the Board) by the Central Florida Foreign- during this time for public inspection at fishery statistics and to collect certain the following locations: effort information for economic and Trade Zone, Inc. (a not-for-profit corporation), to establish a general- Fort Pierce Station, biological assessment of the stocks. U.S. Customs Service, Affected Public: Businesses or other purpose foreign-trade zone at sites in St. Lucie County, Florida, within the limits 2990 Aviation Way, for–profit organizations. Fort Pierce, Florida 34946 Frequency: On occasion, weekly. of the Fort Pierce Customs Station, Office of the Executive Secretary, Respondent’s Obligation: Mandatory. which, with Customs concurrence, is Foreign-Trade Zones Board, Room 3716, OMB Desk Officer: Don Arbuckle, considered the functional equivalent of U.S. Department of Commerce, (202) 395–7340. a Customs port of entry for purposes of 14th & Pennsylvania Avenue, NW., Agency: National Oceanic and foreign-trade zone status. The Washington, DC 20230 Atmospheric Administration (NOAA). application was submitted pursuant to Dated: September 5, 1995. Title: Cooperative Game Fish Tagging the provisions of the Foreign-Trade John J. DaPonte, Jr., Report. Zones Act, as amended (19 U.S.C. 81a- Agency Form Number: NOAA 88–162. 81u), and the regulations of the Board Executive Secretary. OMB Approval Number: 0648–0247. (15 CFR part 400). It was formally filed [FR Doc. 95–22503 Filed 9–8–95; 8:45 am] Type of Collection: Extension of a on August 31, 1995. The applicant is BILLING CODE 3510±DS±P currently approved collection. authorized to make the proposal under Burden: 450 hours. Section 288.36, Florida Statutes [Order No. 766] Number of Respondents: 1,500. Annotated. Avg Hours Per Response: 2 minutes. Needs and Uses: Data are needed to The proposed new zone would Grant of Authority for Expansion determine migratory patterns, distance consist of 3 sites (1,588 acres) in St. Foreign-Trade Subzone 9B Kerr Pacific traveled, stock boundaries, age, and Lucie County: Site 1 (1,078 acres)—St. Corporation (Animal Feeds) Honolulu, growth patterns of billfish and other Lucie County International Airport; Site Hawaii recreational and commercially–valued 2 (102 acres)—King’s Highway Industrial Park, intersection of King’s Pursuant to its authority under the Foreign- species. Anglers volunteer to tag and Trade Zones Act of June 18, 1934, as Highway and Commercial Circle, Fort release fish, submitting a tagging card amended (19 U.S.C. 81a–81u), the Foreign- with information of the fish released Pierce; and, Site 3 (408 acres)—St. Lucie Trade Zones Board (the Board) adopts the and the location of release. This West Commerce Park, 590 N.W. Peacock following Order: information is used with information on Blvd., Port St. Lucie. Whereas, by an Act of Congress returned tags to perform analyses The application contains evidence of approved June 18, 1934, an Act ‘‘To necessary for the development of fishery the need for zone services in the St. provide for the establishment * * * of management plans. Lucie County area. Several firms have foreign-trade zones in ports of entry of Affected Public: Individuals. indicated an interest in using zone the United States, to expedite and Frequency: On occasion. procedures for warehousing/distribution encourage foreign commerce, and for Respondent’s Obligation: Voluntary. of such items as machine tools, other purposes,’’ as amended (19 U.S.C. OMB Desk Officer: Don Arbuckle, electronic components, medical 81a–81u) (the Act), the Foreign-Trade (202) 395–7340. equipment, food processing/ Zones Board (the Board) is authorized to Copies of the above information manufacturing, aircraft manufacture, grant to qualified corporations the collection proposals can be obtained by and boat building/marine industry. privilege of establishing foreign-trade calling or writing Gerald Tache, DOC Specific manufacturing approvals are zones in or adjacent to U.S. Customs Forms Clearance Officer, (202) 482– not being sought at this time. Requests ports of entry; 3271, Department of Commerce, Room would be made to the Board on a case- Whereas, the Board’s regulations (15 5327, 14th and Constitution Avenue, by-case basis. CFR Part 400) provide for the N.W., Washington, D.C. 20230. In accordance with the Board’s establishment of special-purpose Written comments and regulations, a member of the FTZ Staff subzones when existing zone facilities recommendations for the proposed has been designated examiner to cannot serve the specific use involved; Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices 47149 Whereas, an application from the zones in or adjacent to U.S. Customs Whereas, the Board has found that the Department of Business, Economic ports of entry; requirements of the Act and the Development & Tourism of the State of Whereas, the Board’s regulations (15 regulations are satisfied, and that the Hawaii, grantee of Foreign-Trade Zone 9 CFR Part 400) provide for the proposal is in the public interest; (Honolulu, Hawaii), requesting establishment of special-purpose Now, Therefore, the Board hereby authority to expand the scope of activity subzones when existing zone facilities orders: conducted under zone procedures at cannot serve the specific use involved; The grantee is authorized to expand FTZ Subzone 9B, at the Kerr Pacific Whereas, an application from the its zone as requested in the application, Corporation/HFM Division plant, Maryland Department of Transportation, subject to the Act and the Board’s (formerly Hawaiian Flour Mills, Inc.) in grantee of Foreign-Trade Zone 73, for regulations, including § 400.28, and Honolulu, Hawaii, to include the authority to establish special-purpose subject to a 2,000-acre activation limit. production of animal feed solely for subzone status at the rotary compressor Signed at Washington, DC, this 1st day of Hawaiian and export markets, and manufacturing plant of the Rotorex September 1995. requesting authority to expand the Company, Inc., in Walkersville, Paul L. Joffe, subzone boundary, was filed by the Maryland, was filed by the Board on Acting Assistant Secretary of Commerce for Board on June 8, 1994, and notice September 6, 1994, and notice inviting Import Administration, Alternate Chairman, inviting public comment was given in public comment was given in the Foreign-Trade Zones Board. the Federal Register (FTZ Docket 24–94, Federal Register (FTZ Docket 30–94, 59 Attest: 59 FR 35095, 7/8/94); and, FR 48850, 9–23–94); and John J. DaPonte, Jr., Whereas, the Board has found that the Whereas, the Board has found that the Executive Secretary. requirements of the FTZ Act and requirements of the FTZ Act and [FR Doc. 95–22504 Filed 9–8–95; 8:45 am] Board’s regulations are satisfied, and Board’s regulations are satisfied, and BILLING CODE 3510±DS±P that approval of the application is in the that approval of the application is in the public interest; public interest; Now, Therefore, the Board hereby Now, Therefore, the Board hereby International Trade Administration authorizes the expansion of the subzone authorizes the establishment of a [A±580±812] boundaries and the scope of activity at subzone (Subzone 73A) at the Rotorex Company, Inc., plant in Walkersville, Subzone 9B at the plant site of Kerr Dynamic Random Access Memory Maryland, at the location described in Pacific Corporation/HFM Division, in Semiconductors of One Megabit or the application, subject to the FTZ Act Honolulu, Hawaii, as described in the Above From the Republic of Korea; and the Board’s regulations, including application, and subject to the FTZ Act Preliminary Results of Antidumping § 400.28. and the Board’s regulations, including Duty Administrative Review § 400.28. Signed at Washington, DC, this 1st day of AGENCY: Import Administration/ Signed at Washington, DC, this 1st day of September 1995. September 1995. Paul L. Joffe, International Trade Administration/ Department of Commerce. Paul L. Joffe, Acting Assistant Secretary of Commerce for ACTION: Notice of Preliminary Results of Acting Assistant Secretary of Commerce for Import Administration, Alternate Chairman, Import Administration, Alternate Chairman, Foreign-Trade Zones Board. Antidumping Duty Administrative Foreign-Trade Zones Board. Attest: Review. Attest: John J. DaPonte, Jr., SUMMARY: In response to requests from John J. DaPonte, Jr., Executive Secretary. three respondents, one U.S. producer, Executive Secretary. [FR Doc. 95–22506 Filed 9–8–95; 8:45 am] and several interested parties, the [FR Doc. 95–22505 Filed 9–8–95; 8:45 am] BILLING CODE 3510±DS±P Department of Commerce (the BILLING CODE 3510±DS±P Department) has conducted an administrative review of the [Order No. 764] antidumping duty order on dynamic [Order No. 767] Expansion of Foreign-Trade Zone 122, random access memory semiconductors Corpus Christi, TX of one megabit or above from the Grant of Authority for Subzone Status; Republic of Korea. The review covers Rotorex Company, Inc. (Rotary Pursuant to its authority under the Foreign- three manufacturers/exporters of the Compressors), Walkersville, MD Trade Zones Act of June 18, 1934, as subject merchandise to the United amended (19 U.S.C. 81a-81u), the Foreign- States for the period of October 29, 1992 Pursuant to its authority under the Foreign- Trade Zones Board (the Board) adopts the through April 30, 1994 Trade Zones Act of June 18, 1934, as following Order: We have preliminarily determined amended (19 U.S.C. 81a–81u), the Foreign- Whereas, an application from the Port that sales have been made below the Trade Zones Board (the Board) adopts the of Corpus Christi Authority, grantee of foreign market value (FMV). If these following Order: Foreign-Trade Zone No. 122, requesting preliminary results are adopted in our Whereas, by an Act of Congress authority to expand its general-purpose final results of administrative review, approved June 18, 1934, an Act ‘‘To zone in the Corpus Christi, Texas, area, we will instruct U.S. Customs to assess provide for the establishment * * * of within the Corpus Christi Customs port antidumping duties equal to the foreign-trade zones in ports of entry of of entry, was filed by the Foreign-Trade difference between the United States the United States, to expedite and Zones (FTZ) Board on August 25, 1994 price (USP) and the FMV. Interested encourage foreign commerce, and for (Docket 29–94, 59 FR 48850, 9/23/94); parties are invited to comment on these other purposes,’’ as amended (19 U.S.C. Whereas, notice inviting public preliminary results. Parties who submit 81a–81u) (the Act), the Foreign-Trade comment was given in the Federal arguments in this proceeding are Zones Board (the Board) is authorized to Register and the application has been requested to submit with the argument grant to qualified corporations the processed pursuant to the FTZ Act and (1) a statement of the issue, and (2) a privilege of establishing foreign-trade the Board’s regulations; and, brief summary of the argument. 47150 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices EFFECTIVE DATE: September 11, 1995. assembled or packaged in Korea are not handling, foreign inland insurance, air FOR FURTHER INFORMATION CONTACT: included in the scope. freight, air insurance, U.S. duties, U.S. Thomas F. Futtner, Office of The scope of this review includes commissions, discounts, and rebates in Antidumping Compliance, Import memory modules. A memory module is accordance with section 772(d)(2) of the Administration, International Trade a collection of DRAMs, the sole function Act. Administration, U.S. Department of of which is memory. Modules include We calculated ESP based on packed, Commerce, 14th Street and Constitution single in-line processing modules (SIPs), ex-U.S. warehouse prices to unrelated Avenue NW., Washington, DC 20230, single in-line memory modules customers in the United States. We telephone: (202) 482–3814. (SIMMs), or other collections of DRAMs, made deductions, where appropriate, whether unmounted or mounted on a for discounts, rebates, foreign brokerage SUPPLEMENTARY INFORMATION: circuit board. Modules that contain and handling, foreign inland insurance, Background other parts that are needed to support air freight, air insurance, U.S. duties, the function of memory are covered. credit expenses, warranty expenses, On May 10, 1993, the Department of Only those modules which contain royalty payments, U.S. commissions, Commerce published in the Federal additional items which alter the advertising and promotion expenses, Register (58 FR 27520) the antidumping function of the module to something foreign banking charges, U.S. subsidiary duty order on dynamic random access other than memory, such as video packing expenses and U.S. and Korean memory semiconductors (DRAMS) from graphics adapter (VGA) boards and indirect selling expenses, including the Republic of Korea. On May 4, 1994, cards, are not included in the scope. inventory carrying costs in accordance the Department published (59 FR 23051) The scope of this review also includes with section 772(d)(2) of the Act. For a notice of ‘‘Opportunity to Request an video random access memory both purchase price and ESP sales, we Administrative Review’’ of this semiconductors (VRAMs), as well as added duty drawback, where applicable, antidumping duty order for the period any future packaging and assembling of pursuant to section 772(d)(1)(B) of the of October 29, 1992, through April 30, DRAMs. Act. 1994. We received timely requests for The scope of this review also includes We adjusted USP for taxes in review from Hyundai Electronics removable memory modules placed on accordance with our practice as Industries, Co. (Hyundai), Goldstar motherboards, with or without a central outlined in Siliconmanganese from Electron Co. (Goldstar), and Samsung processing unit (CPU), unless the Venezuela, Preliminary Determination Electronics Co. (Samsung). The importer of motherboards certifies with of Sales at Less-Than-Fair-Value petitioner, Micron Technologies Inc., the Customs Service that neither it, nor (LTFV), 59 FR 31204 (June 17, 1994). requested an administrative review of a party related to it or under contract to For DRAMs that were further these same three Korean manufacturers it, will remove the modules from the manufactured into memory modules of DRAMs. Two interested parties, PNY motherboards after importation. The after importation, we deducted all value Electronics and Pulsar Components scope of this review does not include added in the United States, pursuant to International, Inc., requested a review of DRAMs or memory modules that are section 772(e)(3) of the Act. The value sixteen Japanese resellers of Korean reimported for repair or replacement. added consists of the costs of the DRAMs. However, these two interested The DRAMs subject to this review are materials, fabrication, and general parties subsequently withdrew their classifiable under subheadings expenses associated with the portion of request. On June 15, 1994, the 8542.11.0001, 8542.11.0024, the merchandise further manufactured Department initiated a review of the 8542.11.0026, and 8542.11.0034 of the in the United States, as well as a above Korean manufacturers (59 FR Harmonized Tariff Schedule of the proportional amount of profit or loss 30770). The period of review (POR) for United States (HTSUS). Also included attributable to the value added. See, e.g., all respondents was October 29, 1992, in the scope are those removable Korean Notice of Final Determination of Sales through April 30, 1994. DRAMs contained on or within at LTFV; Certain Hot-Rolled Carbon The Department is conducting this products classifiable under subheadings Steel Flat Product, Certain Cold-Rolled administrative review in accordance 8471.91.0000 and 8473.30.4000 of the Carbon Steel Flat Product, Certain with section 751(a) of the Tariff Act of HTSUS. Although the HTSUS Corrosion-Resistant Carbon Steel Flat 1930, as amended (the Act). Unless subheadings are provided for Products and Certain Cut-to-Length otherwise indicated, all citations to the convenience and customs purposes, the Carbon Steel Plate from France, 58 FR statute and to the Department’s written description of the scope of this 37125 (July 9, 1993). Profit or loss was regulations are in reference to the review remains dispositive. calculated by deducting from the sales provisions as they existed on December price of the memory module all 31, 1994. United States Price production and selling costs incurred by In calculating USP, the Department the company for the memory module. Scope of the Review treated respondents’ sales as purchase The total profit or loss was then Imports covered by the review are price, as defined in section 772(b) of the allocated proportionately to all shipments of DRAMs of one megabit Act, when the merchandise was sold to components of cost. Only the profit or and above from the Republic of Korea unrelated U.S. purchasers prior to loss attributable to the valued added (Korea). For purposes of this review, importation. The Department treated was deducted. In determining the costs DRAMs are all one megabit and above respondents’ sales as exporter’s sale incurred to produce the memory DRAMs, whether assembled or price (ESP), as defined in section 772(c) module, we included materials, unassembled. Assembled DRAMs of the Act, when the merchandise was fabrication, and general expenses, include all package types. Unassembled sold to unrelated U.S. purchasers after including selling expenses and interest DRAMs include processed wafers, uncut importation. expenses. No other adjustments were die and cut die. Processed wafers We calculated purchase price based claimed or allowed. produced in Korea, but packaged, or on packed, f.o.b., f.c.a., or c.i.f. prices to assembled into memory modules in a unrelated customers in the United Foreign Market Value third country, are included in the scope; States. We made deductions, where In order to determine whether there wafers produced in a third country and appropriate, for foreign brokerage and were sufficient sales of DRAMs in the Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices 47151 home market to serve as a viable basis For each model where less than ten were not appropriately quantified or for calculating FMV, we compared the percent, by quantity, of the home market valued: volume of home market sales of DRAMs sales during the POR were made at 1. We reclassified certain capitalized to the volume of third country sales of prices below the COP, we included all costs from R&D to current costs of DRAMs, in accordance with section sales of that model in the computation production. We recalculated R&D costs 773(a)(1) of the Act. All three of FMV. For each model where ten to reflect the current costs incurred for respondents had viable home markets percent or more, but less than ninety all semiconductors. with respect to sales of DRAMs made percent, of the home market sales 2. We revised interest expense to during the POR in accordance with 19 during the POR were priced below the reflect the proportional amount incurred CFR 353.48(a). The Department relied merchandise’s COP, we excluded from by the semiconductor business. on monthly weighted-average home the calculation of FMV those home For Goldstar, the Department relied market prices in the calculation of FMV. market sales which were priced below on the submitted COP and CV Because Goldstar made some home the merchandise’s COP, provided that information, except in the following market sales to related parties during these below-cost sales were made over instances where the costs were not the POR, we tested these sales to ensure an extended period of time. For each appropriately quantified or valued: that, on average, the related party sales model where ninety percent or more of 1. We recalculated R&D costs to were at arms length. To conduct this the home market sales during the POR reflect the current costs incurred for all test, we compared the gross unit prices were priced below the COP and were semiconductors. of sales to related and unrelated made over an extended period of time, For Samsung, the Department relied customers net of all movement charges, we disregarded all sales of that model on the submitted COP and CV direct and indirect selling expenses, from our analysis. See Brass Sheet and information, except in the following valued-added tax and packing. See Final Strip from Canada: Preliminary Results instances where the costs were not Determination of Sales at LTFV; Certain of Antidumping Duty Administrative appropriately quantified or valued: Cold-Rolled Carbon Steel Flat Products Review, 60 FR 50670 (April 27, 1995). 1. We recalculated R&D costs to from Argentina, Appendix II, 58 FR In order to determine whether below- reflect the current costs incurred for all 87062 (July 9, 1993). Based on the cost sales had been made over an semiconductors. results of that test, we discarded from extended period of time, we compared 2. We revised interest expense to Goldstar’s home market database all the number of months in which below- reflect the proportional amount incurred related party sales not made at arm’s cost sales occurred for each product to by the semiconductor business. length. See Notice of Final the number of months during the POR When all home market sales of a such Determination of Sales at LTFV; Small in which each model was sold. If a or similar product in the Diameter Circular Seamless Carbon and product was sold in fewer than three contemporaneous month (as identified Alloy Steel, Standard, Line and Pressure months during the POR, we did not in the July 19, 1994 model match Pipe from Brazil, 60 FR 31960, 31971 exclude the below-cost sales unless memorandum) were excluded from our (June 19, 1995). there were below-cost sales in each analysis because the home market sales Because the Department found sales month of sale. If a product was sold in were priced below the COP, or when no made at prices less than the cost of three or more months, we did not home market sales of such or similar production (COP) during the less than exclude the below-cost sales unless merchandise were found, then we used fair value (LTFV) investigation, in there were below-cost sales in at least the CV of the merchandise sold in the accordance with our standard practice, three months during the POR. Id. United States as the basis for FMV in we found reasonable grounds to believe Finally, respondents did not provide accordance with section 773(e) of the or suspect that all three respondents had any information, nor is there any Act. We calculated the CV, in made sales at prices below the COP in information on the record of this accordance with section 773(e) of the the home market during the POR. Thus proceeding which indicates recovery of Act, as the sum of the cost of in accordance with section 773(b) of the all costs within a reasonable period of manufacture of the product sold in the Act, we examined whether the home time for sales found to have been made United States, home market selling, market sales of each model were made at prices below the cost of production. general and administrative (SG&A) at prices below their COP in substantial Therefore, in accordance with our expenses, and home market profit. The quantities over an extended period of practice, we have disregarded cost of manufacture of the product sold time, and whether such sales were made respondents’ sales found to have been in the United States is the sum of direct at prices which would permit recovery made at prices below the COP in material, direct labor, and variable and of all costs within a reasonable period substantial quantities over an extended fixed factory overhead expenses. For of time in the normal course of trade. period of time, which would not permit home market SG&A expenses, in We performed a model-specific COP recovery of all costs within a reasonable accordance with section 773(e)(B)(i) of test, in which we examined whether period of time in the normal course of our regulations, we used the larger of each home market sale was priced trade. the actual SG&A expenses reported by below the merchandise’s COP. The We calculated the COP for the the respondents or ten percent of the Department defines COP as the sum of merchandise based on the sum of each cost of manufacture, the statutory direct material, direct labor, variable respondent’s material costs, fabrication minimum for foreign SG&A expenses. and fixed factory overhead, general costs and general expenses in For home market profit, in accordance expenses, and packaging costs (19 CFR accordance with section 353.51(c) of the with section 773(e)(B)(ii) of our 353.51(c)(1994)). See Stainless Steel Department’s regulations (19 CFR regulations, we used the larger of the Hollow Products from Sweden; 353.51(c) (1994)). We adjusted actual profit reported by the Preliminary Results of Antidumping respondents’ cost data as described respondents or the statutory minimum Duty Administrative Review, 59 FR below: of eight percent of the sum of cost of 40521 (August 9, 1994). For each model, For Hyundai, the Department relied manufacture and SG&A expenses. See we compared this sum to the reported on the submitted COP and constructed Polyethylene Terephthalate Film, Sheet, home market unit price, net of price value (CV) information, except in the and Strip from the Republic of Korea; adjustments and movement expenses. following instances where the costs Preliminary Results of Antidumping 47152 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices Duty Administrative Review, 59 FR antidumping duties on all appropriate This notice serves as a preliminary 35098, 35100 (July 8, 1994). entries. Individual differences between reminder to importers of their We calculated FMV based on the USP and the FMV may vary from the responsibility under 19 CFR 353.26 to delivered prices to unrelated customers percentages stated above. Upon file a certificate regarding the and, where appropriate, to related completion of the review the reimbursement of antidumping duties customers in the home market. In Department will issue appraisement prior to liquidation of the relevant calculating FMV, we made adjustments, instructions on each exporter directly to entries during this review period. where appropriate, for inland freight, the U.S. Customs Service. Failure to comply with this requirement inland insurance, discounts, rebates, Furthermore, the following deposit could result in the Secretary’s Korean brokerage and handling charges, requirements will be effective for all presumption that reimbursement of and home market credit expenses. We shipments of dynamic random access antidumping duties occurred and the adjusted for Korean consumption tax in memory semiconductors of one megabit subsequent assessment of double accordance with our practice as and above, assembled or unassembled, antidumping duties. outlined in Siliconmanganese from entered, or withdrawn from warehouse, This administrative review and notice Venezuela, Preliminary Determination for consumption on or after the are in accordance with section 751(a)(1) of Sales at LTFV, 59 FR 31204 (June 17, publication date of the final results of of the Tariff Act (19 U.S.C. 1675(a)(1)) 1994). We deducted home market this administrative review, as provided and 19 CFR 353.22. packing costs from the home market by section 751(a)(1) of the Act. Dated: August 16, 1995. price and added U.S. packing costs to (1) The cash deposit rate for the Susan G. Esserman, the FMV. We also made, where reviewed companies will be those rate applicable, difference-in-merchandise Assistant Secretary for Import established in the preliminary results of Administration. adjustments. this review (except that no deposit will [FR Doc. 95–22501 Filed 9–8–95; 8:45 am] For comparison to purchase price be required for firms with zero or de sales, pursuant to 19 CFR 353.56, we minimis margins; i.e., margins less than BILLING CODE 3510±05±M made circumstance-of-sale adjustments 0.5%); to the FMV, where appropriate, for bank (2) For previously reviewed or [A±533±806] charges, royalty payments, and investigated companies not listed above, advertising. We made further the cash deposit rate will continue to be Sulfanilic Acid From India: Termination adjustments, where appropriate, for U.S. the company-specific rate published for of Antidumping Duty Administrative commissions and credit expenses in the most recent period; Review accordance with 19 CFR 353.56(a)(2). (3) If the exporter is not a firm AGENCY: Import Administration, Where commissions were paid on U.S. covered in this review or in the original International Trade Administration, sales and not paid on home market LTFV investigation, but the Department of Commerce. sales, we allowed an offset to FMV manufacturer is, the cash deposit rate amounting to the lesser of the weighted- will be the rate established for the most ACTION: Notice of Termination of average home market indirect selling recent period for the manufacturer of Antidumping Administrative Review. expenses, or the U.S. commissions in the merchandise; and accordance with 19 CFR 353.56(b) of SUMMARY: On April 14, 1995, the (4) If neither the exporter nor the Department of Commerce (the our regulations. manufacturer is a firm covered in this or For comparison to ESP sales, we made Department) published in the Federal any previous review conducted by the Register (60 FR 19017) the notice of deductions, where appropriate, for Department, the cash deposit rates will credit expenses, royalty payments, bank initiation of the administrative review of be 3.85%, the ‘‘all other’’ rate the antidumping duty order on charges and advertising expenses. We established in the LTFV investigation. also allowed an ESP offset to the FMV, sulfanilic acid from India. This review These deposit requirements shall amounting to the lesser of the weighted- has now been terminated as a result of remain in effect until publication of the average total of home market indirect a request by the respondents. final results of the next administrative selling expenses, or he total U.S. EFFECTIVE DATE: September 11, 1995. review. indirect selling expenses plus Interested parties may request FOR FURTHER INFORMATION CONTACT: commissions in accordance with 19 CFR disclosure within five days of the date Todd Peterson, Office of Antidumping 353.56(b)(2). of publication of this notice, and may Compliance, Import Administration, No other adjustments were claimed or International Trade Administration, allowed. request a hearing within ten days of the date of publication. Any hearing, if U.S. Department of Commerce, 14th Preliminary Results of the Review requested, will be held as early as Street and Constitution Avenue, NW., Washington, DC 20230, telephone: (202) As a result of this review, we convenient for the parties but not later 482–4195. preliminarily determine that the than 44 days after the date of following margins exist for the POR: publication or the first work day SUPPLEMENTARY INFORMATION: thereafter. Case briefs or other written comments from interested parties may Background Manufacturer/exporter Percent margin be submitted not later than 30 days after On March 29, 1995, Kokan Synthetics the date of publication of this notice. and M/S Kay International (collectively Hyundai Electronics Co., Ltd. . 0.202 Rebuttal briefs and rebuttal comments, ‘‘Kokan and M/S Kay’’), requested an (de minimis) Samsung Electronics Co., Ltd. 0.9936 limited to issues in the case briefs, may administrative review of the (de minimis) be filed not later than 37 days after the antidumping duty order on sulfanilic Goldstar Electron Co., Ltd...... 0.319 date of publication. The Department acid from India for the period March 1, (de minimis) will publish the final results of this 1994, through February 28, 1995, administrative review, including the pursuant to 19 CFR 353.22(a)(5). On The Department shall determine, and results of its analysis of issues raised in April 14, 1995, the Department the Customs Service shall assess, any such written comments. published in the Federal Register (60 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices 47153 FR 19017) the notice of initiation of that determination to determine whether it antidumping law of Mexico, the Panel administrative review. conforms with the antidumping or also determined that it was required to Kokan and M/S Kay timely withdrew countervailing duty law of the country examine the applicable provisions of the their request for a review on June 26, that made the determination. Mexican Constitution, treaties, statutes, 1995, pursuant to 19 CFR 353.22(a)(5). Under Article 1904 of the Agreement, legislative history, regulations, As a result, the Department has which came into force on January 1, administrative practice and judicial terminated the review. 1994, the Government of the United precedents—all to the extent that the This notice is published in States, the Government of Canada and Mexican Fiscal Tribunal would have accordance with section 751 of the the Government of Mexico established relied on such legal sources. Tariff Act of 1930, as amended (19 Rules of Procedure for Article 1904 The Panel further found that the U.S.C. 1675 and 19 CFR 353.22(a)(5). Binational Panel Reviews (‘‘Rules’’). guarantees of legality and legal security contained in Articles 14 and 16 of the Dated: August 30, 1995. These Rules were published in the Federal Register on February 23, 1994 Mexican Constitution impact both the Roland L. MacDonald, (59 FR 8686). The binational panel interpretation to be given to the Acting Deputy Assistant Secretary for review in this matter was conducted in standard of review and to the substance Compliance. accordance with these Rules. and procedure of any Mexican [FR Doc. 95–22502 Filed 9–8–95; 8:45 am] antidumping proceeding. A primary BILLING CODE 3510±DS±M Background function of judicial review by Mexican On September 1, 1994, Bethlehem courts and, consequently, by the Panel, Steel Corporation filed a First Request is the enforcement of these guarantees. North American Free Trade Agreement, for Panel Review with the Mexican The Panel concluded that in order for Article 1904 Binational Panel Reviews; Section of the NAFTA Secretariat the actions of Mexican authorities to be Notice of Decision of Binational Panel pursuant to Article 1904 of the North legal, the agency issuing or carrying out AGENCY: NAFTA Secretariat, United American Free Trade Agreement. On the such functions or performing such acts, States Section, International Trade same date, a Request for Panel Review must be ‘‘competent’’: the existence of Administration, Department of was also filed by US Steel Group, a unit the acting entity or unit must be Commerce. of USX Corporation. Panel review was formally established in a legal requested of the final antidumping duty ACTION: Notice of Decision of Binational provision; and that entity or unit must Panel. determination made by the Secretaria de only act in accordance with the express Comercio y Fomento Industrial with authority granted it by Mexican law. SUMMARY: respect to Imports of Cut-Length Plate, On August 30, 1995 the Panel Decision binational panel in Secretariat Case Covered by Customs Tariff Number MEX–94–1904–02 issued its Classifications 7208.32.01, 7208.33.01, In its decision the majority of the decision. This panel was convened to 7208.42.01 and 7208.43.01 of the Tariff Panel only addressed itself to review the final antidumping duty Schedule of the General Tax Import Complainants’ first areas of challenges— determination made by the Secretaria de Law, Originating in and Entering from that SECOFI’s actions were illegal Comercio y Fomento Industrial the United States of America. This because of jurisdictional errors—since (SECOFI) with respect to Imports of Cut- determination was published in the as a consequence of its findings, the Length Plate, Covered by Customs Tariff Diario Oficial on Tuesday August 2, other areas of challenge became Classifications 7208.32.01, 7208.33.01, 1994. The NAFTA Secretariat has unnecessary to address. 7208.42.01 and 7208.43.01 of the Tariff assigned Case Number MEX–94–1904– The Panel decided the following: Schedule of the General Tax Import 02 to this request. 1. The two administrative units that Law, Originating in and Entering from Complaints were filed by both carried out the antidumping the United States of America. The panel requestors challenging SECOFI’s final investigation and proceeding in its early majority remanded the determination to determination in three areas: stages (December 4, 1992–April 1, SECOFI to issue a new determination 1. Jurisdictional and technical errors; 1993), namely the Direccion General de within 21 days (by September 20, 1995) 2. Errors in the calculation of the Practicas Commerciales Internacionales that terminates the proceeding. A copy dumping margin; and (DGPCI) and the Direccion de Cuotas of the complete panel decision is 3. Errors in causation and injury Compensatorias (DCC), were available from the NAFTA Secretariat. determinations. incompetent to do so. They were not duly created and established in the Standard of Review FOR FURTHER INFORMATION CONTACT: manner required by Mexican Law, and, James R. Holbein, United States In reviewing SECOFI’s final therefore, their actions were illegal. Secretary, NAFTA Secretariat, Suite determination, the Panel determined 2. The visitation orders of July 13 and 2061, 14th and Constitution Avenue, that it must apply the standard of 14, 1993 were illegal because they were Washington, D.C. 20230, (202) 482– review and the general legal principles issued by an administrative unit that 5438. that a Mexican court (the Fiscal was incompetent to act. SUPPLEMENTARY INFORMATION: Chapter Tribunal) would apply when it reviews 3. The verification visits that took 19 of the North American Free Trade a final determination by SECOFI. The place on July 19–21, 1993 were Agreement (‘‘Agreement’’) establishes a Panel interpreted this obligation to performed in part by public officers mechanism to replace domestic judicial require it to apply Article 238 of the (Director and Assistant Director of review of final determinations in Federal Fiscal Code, in conjunction Investigation of Dumping and antidumping and countervailing duty with Articles 237 and 239, to the Subsidies) who lacked competence to cases involving imports from a NAFTA maximum extent, consistent with the act in that capacity because their country with review by independent nature of the binational panel review administrative units had not been binational panels. When a Request for process. legally established. Panel Review is filed, a panel is In deciding whether SECOFI’s 4. The ‘‘external advisors’’ who established to act in place of national determination under this standard of participated in the verification visits courts to review expeditiously the final review was in accordance with the also lacked competence to act. 47154 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices Order of the Panel which is highly soluble and rapidly ADDRESSES: The forum will be held in Pursuant to NAFTA Article 1904.8, converts to hydroxyapatite. Such the Red Auditorium at the National the Panel remanded SECOFI’s Final biomaterials have the potential to Institute of Standards and Technology, Determination to SECOFI for action not remineralize defective mineralized Gaithersburg, Maryland. To register to attend the Open Forum inconsistent with its decision. In tissues such as bone or teeth. and pay the $50 registration fee, particular, it directed SECOFI to issue a NIST Docket No. 94–043 interested parties may contact Lori new determination within 21 days that Title: Low Cost Renewable Polishing Phillips, NIST, Administration terminates the proceeding against the Lap. Building, Room B–116, Gaithersburg, Complainants and provides that: Description: Researchers in the 1. The exports of USX and Bethlehem Maryland 20899, (301) 975–4513, Precision Engineering Division at the facsimile (301) 948–2067. of the goods subject to this proceeding National Institute of Standards and enter Mexican territory with zero FOR FURTHER INFORMATION CONTACT: Technology have developed a new Belinda Collins, Director, Office of antidumping duties applied to them method for the fabrication of laps upon their importation; and Standards Services, NIST, (301) 975– wherein the substrate never contacts the 4000, facsimile (301) 963–2871. 2. Any cash deposits or customs polishing media or part being polished. bonds relative to antidumping duties The invention provides the potential to SUPPLEMENTARY INFORMATION: made or posted by the importers, in eliminate contamination of the part and/ Background order to import the goods manufactured or degradation of the substrate. The NIST, ACIL, and ANSI have explored by USX and Bethlehem, be refunded or concept offers the potential to cancelled as appropriate. issues facing both the private sector and significantly lower costs in appropriate government in laboratory accreditation. Dated: September 5, 1995. applications. Multiple, duplicate assessments occur James R. Holbein, NIST Docket No. 95–023D frequently for many laboratories, United States Secretary, NAFTA Secretariat. wasting resources for all parties. [FR Doc. 95–22435 Filed 9–8–95; 8:45 am] Title: Methods and Electrolyte Compositions for Electrodepositing Procedures need to be developed, BILLING CODE 3510±GT±M Chromium Coatings. toward a goal of one assessment per Description: A NIST process deposits laboratory, that are in accord with chromium plating up to 600 microns international guidelines and recognized National Institute of Standards and by all who require laboratory Technology thick. The plating process uses nontoxic trivalent chromium to produce a plating accreditation. Laboratories, accreditors, industry, and federal and state Notice of Government Owned three to four times harder, after heating, governments must be considered, and Inventions Available for Licensing than depositions using hexavalent chromium. the procedures must mesh with SUMMARY: The inventions listed below domestic and international are owned by the U.S. Government, as Dated: September 5, 1995. requirements. represented by the Department of Samuel Kramer, Problems of multiple and/or duplicate Commerce, and are available for Associate Director. accreditations result from accreditation licensing in accordance with 35 U.S.C. [FR Doc. 95–22509 Filed 9–8–95; 8:45 am] requirements that lack assurance for 207 and 37 CFR Part 404 to achieve BILLING CODE 3510±13±M reciprocity, or constrain acceptance expeditious commercialization of from outside sectors. Challenges raised results of federally funded research and by the National Research Council study, development. Open Forum on Laboratory Standards, Conformity, Assessment and Accreditation FOR FURTHER INFORMATION CONTACT: Trade,’’ * * * domestic policies and Technical and licensing information on AGENCY: National Institute of Standards procedures for assessing conformity of these inventions may be obtained by and Technology (NIST), Commerce. products and processes to standards require urgent improvement’’ must be writing to: Marcia Salkeld, National ACTION: Notice. Institute of Standards and Technology, addressed. Office of Technology SUMMARY: This notice announces an Speakers will address accreditation Commercialization, Physics Building, Open Forum for discussion of issues in issues and problems related to trade Room B–256, Gaithersburg, MD 20899; laboratory accreditation. The forum is needs, international perspectives, and Fax 301–869–2751. Any request for co-sponsored by ACIL (formerly U.S. economic impacts. They will information should include the NIST American Council of Independent consider the need for joint approaches Docket No. and Title for the relevant Laboratories), the American National by the private sector and government to invention as indicated below. Standards Institute (ANSI), and the further opportunities for greater acceptance of and reciprocity in SUPPLEMENTARY INFORMATION: The National Institute of Standards and laboratory accreditation programs. inventions available for licensing are: Technology (NIST). We invite all interested parties to attend and Forum Announcement NIST Docket No. 93–063 participate in defining needs for a more Title: Polymeric Amorphous Calcium streamlined system to eliminate current Laboratory Accreditation in the United Phosphate Compositions. duplication and unnecessary costs in States Description: Polymeric composites laboratory accreditation. We hope to ACIL, ANSI, and NIST are that can provide long-term release of stimulate discussion on means for cosponsoring an Open Forum for calcium and phosphate ions in achieving greater compatibility, discussion of issues in laboratory biological environments at levels coordination, and mutual recognition of accreditation. The forum will be an conducive to the formation of competent laboratory accreditation opportunity to define the needs for a hydroxyapatite have been developed. programs. more streamlined system to eliminate These composites utilize as their filler DATES: The forum will take place on current duplication and unnecessary phase amorphous calcium phosphate, Friday, October 13, 1995, at 9 a.m. costs. There is widespread agreement Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices 47155 that the current situation results in ADDRESSES: The modification and 368 Fore Street, Portland, ME; unnessary burdens. The forum is related documents are available for telephone: (207) 774–7016. intended to stimulate discussion on review upon written request or by Council address: New England means for achieving greater appointment in the following offices: Fishery Management Council, 5 compatibility, coordination, and mutual Permits Division, Office of Protected Broadway, Saugus, MA 01906–1097. recognition of competent laboratory Resources, NMFS, 1315 East-West FOR FURTHER INFORMATION CONTACT: accreditations. All interested parties are Highway, Room 13130 Silver Spring, Douglas G. Marshall, Executive Director, invited to attend and to express their MD 20910 (301/712–2289); and telephone: (617) 231–0422. views. Southwest Region, NMFS, 501 West SUPPLEMENTARY INFORMATION: On To date, several task groups have Ocean Blvd., Suite 4200, Long Beach, September 13, the morning session will assessed the problems encountered by CA 90802–4213. commence with a report from the their communities. The various FOR FURTHER INFORMATION CONTACT: E. Groundfish Committee on the status of stakeholders include laboratories and Ruth Johnson, 301/713–2289. Amendment #7 to the Northeast their customers, accreditation SUPPLEMENTARY INFORMATION: The organizations, industry, and government Multispecies Fishery Management Plan subject modification has been issued (FMP). There also will be an update and at all levels. They report overlapping under the authority of the Marine and contradictory requirements among recommendation from the Aquaculture Mammal Protection Act of 1972, as Committee on the Westport Scalloping regulations, contractual specifications, amended (16 U.S.C. 1361 et seq.), and and other voluntary applications, as enhancement project. the provisions of §§ 216.33(d) and (e) of The Marine Mammal Committee will well as a lack of reciprocity among the Regulations Governing the Taking bodies. The consequent duplication of report during the afternoon session. and Importing of Marine Mammals (50 Following that discussion, the Monkfish effort costs time and money and CFR part 216), the Endangered Species seriously degrades U.S. competitiveness Committee will report on the progress to Act of 1973, as admended (16 U.S.C. develop a monkfish total allowable in domestic and global markets. 1543 et seq.), the regulations governing Laboratories, accreditors, catch and evaluate trip limits and endangered species permit (50 CFR manufacturers, the National qualification criteria for limited access, 217–222), the Fur Seal Act of 1966, and Environmental Laboratory Accreditation directed monkfish permits. This will be the regulations governing the taking of Conference (NELAC), and government followed by the Gear Conflict fur seals (50 CFR 215). representatives, both federal and state, Committee update on the Council’s The Permit authorizes up to 30,000 request for emergency action to close will present their views. They will Pacific harbor seals to be inadvertently discuss the cost of multiple areas defined in the Southern New harassed annually during aerial surveys England Deepwater Gear Conflict accreditations for individual and an unspecified number of California laboratories; conflicting requirements of Resolution. sea lions (Zalophus californianus), those requiring accreditation; special On September 14, the morning Northern elephant seals (Mirounga programs tailored to narrow customer or session will begin with an update from angustrirostris), and Northern fur seals supplier bases; non-uniformity of the Lobster Committee Chairman on the (Callorhinus ursinus) will be requirements and lack of reciprocity; progress of Amendment #6 to the opportunistically harassed during these international trade implications; and Lobster FMP. Later, reports will be surveys. This Permit was extended until other pertinent factors. received from the Council Chairman, A panel discussion and open September 30, 1999. Executive Director, Northeast Regional exchange of ideas at the October 13 Dated: August 31, 1995. Director, Northeast Fisheries Science forum will explore concepts for future Ann D. Terbush, Center, Atlantic States Marine Fisheries collaboration that will lead to ‘‘one-stop Chief, Permits and Documentation Division, Commission, U.S. Coast Guard and the shopping’’ in laboratory accreditation. Office of Protected Resources, National Mid-Atlantic Council Liaison. Marine Fisheries Service. Dated: September 5, 1995. Special Accommodations Samuel Kramer, [FR Doc. 95–22402 Filed 9–8–95; 8:45 am] BILLING CODE 3510±22±F This meeting is physically accessible Associate Director. to people with disabilities. Requests for [FR Doc. 95–22508 Filed 9–8–95; 8:45 am] sign language interpretation or other BILLING CODE 3510±13±M [I.D. 090195C] auxiliary aids should be directed to New England Fishery Management Douglas G. Marshall at the Council (see ADDRESSES), at least 5 days prior to the National Oceanic and Atmospheric Council; Meeting meeting date. Administration AGENCY: National Marine Fisheries Dated: September 5, 1995. [I.D. 083095E] Service (NMFS), National Oceanic and Richard W. Surdi, Atmospheric Administration (NOAA), Marine Mammals Acting Director, Office of Fisheries Commerce. Conservation and Management, National AGENCY: National Marine Fisheries ACTION: Notice of public meeting. Marine Fisheries Service. Service (NMFS), National Oceanic and SUMMARY: The New England Fishery [FR Doc. 95–22403 Filed 9–8–95; 8:45 am] Atmospheric Administration (NOAA), Management Council (Council) will BILLING CODE 3510±22±F Commerce. hold a 2-day public meeting to consider ACTION: Issuance of modification to actions affecting New England fisheries permit no. 918 (P191E). in the exclusive economic zone. COMPETITIVENESS POLICY COUNCIL DATES: The meeting will be held on SUMMARY: Notice is hereby given that on Notice of Forthcoming Meeting August 30, 1995, Permit No. 918, issued September 13, 1995, at 10:00 a.m. and to California Department of Fish and on September 14, 1995, at 9:00 a.m. SUMMARY: In accordance with the Game, 1416 Ninth Street, Sacramento, ADDRESSES: The meeting will be held at Federal Advisory Committee Act, Public CA 95814, was modified. the Mariner’s Church Banquet Center, Law 92–463, as amended, the 47156 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices Competitiveness Policy Council enhance research efforts directed toward FOR FURTHER INFORMATION CONTACT: announces a forthcoming meeting. evaluation, as well as increasing cost Dr. Lance Glasser, Director, ARPA/ETO, DATES: September 14; 2 p.m. to 5 p.m. efficiency of, planning, design, and 3701 N. Fairfax Drive, Arlington, VA ADDRESSES: Dirksen Senate Office management of Corps of Engineers 22203–1714; telephone: 703/696–2213. Building, Room 11, Washington, D.C. projects. It is also used to report visit Dated: September 6, 1995. 20510. information to Congress as required by L.M. Bynum, statute. FOR FURTHER INFORMATION CONTACT: Alternate OSD Federal Register Liaison Affected Public: Individuals or Howard Rosen, Executive Director, Officer, Department of Defense. households. Competitiveness Policy Council, Suite [FR Doc. 95–22454 Filed 9–8–95; 8:45 am] Frequency: On occasion. 300, 1726 M Street, N.W., Washington, BILLING CODE 5000±04±M Respondent’s Obligation: Voluntary. D.C. 20036, 632–1307. OMB Desk Officer: Mr. Timothy G. SUPPLEMENTARY INFORMATION: The Hunt. Competitiveness Policy Council (CPC) Department of the Army; Corps of Written comments and Engineers was established by the Competitiveness recommendations on the proposed Policy Council Act, as contained in the information collection should be sent to Intent to Prepare an Environmental Trade and Competitiveness Act of 1988, Mr. Hunt at the Office of Management Impact Statement for the Proposed Public Law 100–418, sections 5201– and Budget, Desk Officer for DoD, Room McDonald Gold Project, Lincoln, MT 5210, as amended by the Customs and 10202, New Executive Office Building, Trade Act of 1990, Public Law 101–382, Washington, DC 20503. AGENCY: U.S. Army Corps of Engineers, section 133. The CPC is composed of 12 DOD Clearance Officer: Mr. William DOD. members and is to advise the President Pearce. ACTION: Notice of intent. and Congress on matters concerning Written requests for copies of the competitiveness of the US economy. SUMMARY: The proposed action is an information collection proposal should open-pit mining operation with ore The Council’s chairman, Dr. C. Fred be sent to Mr. Pearce, WHS/DIOR, 1215 Bergsten, will chair the meeting. processed by heap leaching, and gold Jefferson Davis Highway, Suite 1204, and silver recovered by carbon The meeting will be open to the Arlington, VA 22202–4302. public subject to the seating capacity of adsorption. The project would be the room. Visitors will be requested to Dated: September 6, 1995. located in Lewis and Clark County, sign a visitor’s register. Patricia L. Toppings, approximately 8 miles east of Lincoln, Type of Meeting: Open. Alternate OSD Federal Register Liaison Montana. The project area covers 5,400 Agenda: The Council will discuss its Officer, Department of Defense. acres above the confluence of the annual report and consider additional [FR Doc. 95–22453 Filed 9–8–95; 8:45 am] Landers Fork with the Blackfoot River. business as suggested by its members. BILLING CODE 5000±04±M The majority of the gold deposit lies on Dated: September 5, 1995. state land in Section 6, T14N, R7W. Major facilities would include rock C. Fred Bergsten, Office of the Secretary piles, heap leach pads, solution ponds, Chairman, Competitiveness Policy Council. processing equipment, and auxiliary [FR Doc. 95–22604 Filed 9–8–95; 8:45 am] Meeting of the Semiconductor buildings. Two miles of Montana BILLING CODE 4739±54±M Technology Council; Notice Highway 200 would relocated 1,200 feet to the south. A project life of 25 years, SUMMARY: Under the provisions of PL from construction to reclamation, is DEPARTMENT OF DEFENSE 92–463, the ‘‘Federal Advisory Committee Act,’’ notice is hereby given anticipated. The applicant has determined that that the Semiconductor Technology Public Information Collection 205 million tons of ore can be mined Council will hold its third meeting. The Requirement Submitted to the Office of and processed economically at a gold Council’s mission is to: Link industry Management and Budget (OMB) for price of $375/ounce. This will require and national security needs to Review the removal of 440 million tons of opportunities for cooperative barren rock to uncover the ore, for a The Department of Defense has investments, foster pre-competitive total of over 600 million tons of rock to submitted to OMB for clearance, the cooperation among industry, be removed from the open pit. Phelps following proposal for collection of government and academia, recommend Dodge Mining Company, the majority information under the provisions of the opportunities for new R&D efforts and partner in the Seven-Up Pete Joint Paper Reduction Act (44 U.S.C. Chapter potential to rationalize and align on- Venture, will be the operator of the 35). going industry and government proposed mine. Phelps Dodge advocates Title and OMB Control Number: investments. Part of the meeting will be a commitment to mining in an Recreation Research—Use Surveys; closed to the public in accordance with environmentally responsible manner. OMB Control Number 0710–0002. Section 10(d) of the Federal Advisory Type of Request: Expedited The Seven-Up Pete Joint Venture Committee Act, and pursuant to the identified 16 candidate sites for either Processing—Approval date requested: appropriate provisions of Section 30 days following publication in the rock pile or heap leach sites. All sites 552b(c) (3) and (4), Title 5, U.S.C. There were within a 4-mile radius of the Federal Register. will be an open section from 12:30 to Number of Respondents: 37,500. McDonald gold deposit. The Co-Lead 1:30 p.m. for a discussion of agencies for preparation of the EIS have Responses Per Respondent: 1. MicroElectroMechanical Systems Annual Responses: 37,500. requested the applicant to consider (MEMS) technology. Advanced Average Burden Per Response: 5 additional alternative sites, and that registration is required for this session. minutes. some facilities be broken into smaller Annual Burden Hours: 3,000. DATES: September 18, 1995. units (i.e., three 100 million ton waste Needs and Uses: The information ADDRESSES: 1300 N. 17th St., Suite rock piles instead of one 300 million ton collected hereby, will be used to 1450, Arlington, VA 22209. waste rock pile. The Lead Agencies will Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices 47157 also specifically solicit comments from 2. Proposed Action. Under the Environmental Quality for a Water cooperating agencies and the interested proposed action, the existing project Quality Certificate. public regarding alternatives. will be investigated to identify possible d. A 45-day public review period will DATES: Public Scoping Meeting, October improvements to the navigation, flood be allowed so that all interested 12, 1995, 7 p.m., Lincoln Community control, environmental, and operation agencies, groups, and individuals will Hall, Lincoln, Montana. and maintenance features of the have the opportunity to comment on the Atchafalaya Basin Floodway System, DEIS. ADDRESSES: U.S. Army Corps of Louisiana, project. 5. Availability. The DEIS is scheduled Engineers, Omaha District, Planning 3. Alternatives. The alternatives being to be available to the public during the Division, 215 North 17th Street, Omaha, considered include regulating water fall of 1998. Nebraska 68102–4978; Montana distribution in the lower floodway Kenneth H. Clow, Department of Environmental Quality, between the Lower Atchafalaya River Colonel, U.S. Army District Engineer. Hard Rock Bureau, Reclamation and the Wax Lake Outlet; construction [FR Doc. 95–22436 Filed 9–8–95; 8:45 am] Division, 1625 11th Avenue Helena, of a barrier around Morgan City, BILLING CODE 3710±84±M Montana 59620–1601. Louisiana, to prevent flooding from FOR FURTHER INFORMATION CONTACT: Bob river backflooding events, moving the Nebel, U.S. Army Corps of Engineers, navigation channel from the Lower Environmental Assessment and (402) 221–4621, or Jim Robinson, Atchafalaya River; and channel Finding of No Significant Impact for Montana Department of Environmental development in the upper backwater the Proposed Consolidation of the Quality, (406) 444–4958. areas to facilitate drainage from rainfall Finance and Accounting Activities of Gregory D. Showalter, events. the U.S.Army Corps of Engineers Army Federal Register Liaison Officer. 4. Scoping Process. a. Public input for (USACE) to Memphis, TN scoping will be achieved through the FR Doc. 95–22437 Filed 9–8–95; 8:45 am] distribution of a widely circulated AGENCY: U.S. Army Corps of Engineers, BILLING CODE 3710±62±M Scoping Input Request to all segments of DOD. the public having an interest in the ACTION: Notice of availability. study/project. In addition, scoping Intent To Prepare a Draft SUMMARY: This notice of availability is Environmental Impact Statement meetings will be held in the vicinity of Plaquemine, Morgan City, and New for the Final Environmental Assessment (DEIS) for the Lower Atchafalaya Basin (EA) and Finding of No Significant Reevaluation Study, Louisiana Iberia, Louisiana, to request submission of views on alternatives, significant Impact (FONSI) prepared for the AGENCY: U.S. Army Corps of Engineers, resources in the study area, and any consolidation of the finance and DoD. other study-related issue considered accounting activities of Corps’ district, division and headquarters offices under ACTION: Notice of intent. important. Comments received as a result of this process will be compiled the Department of Defense’s Centralized SUMMARY: This study proposes to and analyzed, and a Scoping Document Service to Millington Naval Air Station develop recommendable solutions for summarizing the results will be made (NAS), Memphis, Tennessee. flood control, navigation, and available to all respondents. The establishment of the USACE environmental problems in the b. A tentative list of significant Finance Center (UFC) would provide Atchafalaya Basin Floodway System resources to be evaluated in the EIS the vehicle to realign existing resources and adjacent backwater areas. includes: wetlands; navigation facilities; to facilitate the continued development Alternatives being considered consist of flood control facilities; cultural of Corps of Engineers Financial various structural and non-structural resources; socio-economic resources; Management System (CEFMS) and measures, and will be compared to the biological resources, including deployment to all 60 USACE locations. no-action alternative. endangered and threatened species; Over a three year period CEFMS recreational resources, and water deployment and establishment of the FOR FURTHER INFORMATION: Questions quality. UFC would enable USACE to regarding the proposed study should be c. The U.S. Department of the Interior consolidate the operating finance and addressed to Mr. Troy Constance, U.S. will provide a Fish and Wildlife accounting functions currently Army Corps of Engineers, Planning Coordination Act Report. Coordination performed in all 60 locations into one Division (CELMN–PD–FB), P.O. Box will be maintained with the U.S. Fish site, freeing up about 67% FTE/ 60267, New Orleans, Louisiana 70160– and Wildlife Service and the National Manyears for redistribution or savings. 0267, telephone (504) 862–2742. Marine Fisheries Service concerning The consistency/standardization of SUPPLEMENTARY INFORMATION: 1. endangered species. Coordination will business processes in a CEFMS/single Authority. The Atchafalaya Basin be maintained with the Natural Finance & Accounting operating site project was authorized by the Flood Resources Conservation Service would also enhance productivity and Control Act of 1928 and subsequently regarding prime and unique farmlands. quality throughout USACE and provide modified by the Acts of 1934, 1936, We will prepare a Section 404(b)(1) additional opportunities for 1938, 1941, 1946, 1950, and 1954. The evaluation for review by the U.S. redistribution of effort. United States Senate Report to the 1994 Environmental Protection Agency and The No Action alternative was Energy and Water Development Act (PL other interested parties. Coordination evaluated and deemed unacceptable 103–126), dated 28 October 1993, will be maintained with the Advisory because it maintains the present finance directed the Corps to use available Council on Historic Preservation and and accounting activities at district, funds to investigate conditions at Wax the State Historic Preservation Officer. division, and headquarters. This Lake Outlet, Bayou Black, and other The Louisiana Department of Natural alternative would not capitalize on features and recommend any Resources will be consulted regarding savings which could be realized if the modifications desirable for flood consistency with the Coastal Zone action was implemented. Therefore, the protection, navigation, and Management Act. Application will be No Action alternative was not environmental management. made to the Louisiana Department of considered further. 47158 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices Although the proposed consolidation PECO requests an effective date of requests waiver of the Commission’s would have some adverse August 17, 1995, for the Service notice requirements for good cause socioeconomic effect on the employees Agreement. shown. displaced or whose jobs are terminated, PECO states that copies of this filing Copies of the filing were served upon the effects of this consolidation on the have been supplied to OE and to the the WSPP Executive Committee. natural and physical environment Pennsylvania Public Utility Comment date: September 15, 1995, would not be significant. Under Commission. in accordance with Standard Paragraph consolidation the financial management Comment date: September 15, 1995, E at the end of this notice. functions will continue to be performed; in accordance with Standard Paragraph the only change would be that some of E at the end of this notice. 5. Illinois Power Company these functions will be performed in a 2. PECO Energy Company [Docket No. ER95–1634–000] different city. The actual physical Take notice that on August 28, 1995, [Docket No. ER95–1631–000] displacement of the Corps’ employees Illinois Power Company (Illinois), relocating to Memphis, Tennessee, Take notice that on August 28, 1995, tendered for filing an Interchange should not have a significant effect on PECO Energy Company (PECO), filed a Agreement between Illinois and Kimball the environment. Affected Corps’ Service Agreement dated August 22, Power Company (Kimball). Illinois headquarters, division and district 1995, with LG&E Power Marketing Inc. states that the purpose of this agreement offices are almost exclusively located (LG&E) under PECO’s FERC Electric is to provide for the buying and selling within urban areas. The consolidation Tariff Original Volume No. 1 (Tariff). of capacity and energy between Illinois would require the Corps to dispose of The Service Agreement adds LG&E as a and Kimball. office space in some cities and to lease customer under the Tariff. Comment date: September 15, 1995, or utilize existing office space at PECO requests an effective date of in accordance with Standard Paragraph Millington NAS in Memphis, August 22, 1995, for the Service E at the end of this notice. Tennessee. Again, because this activity Agreement. would be confined primarily to urban PECO states that copies of this filing 6. Northeast Utilities Service Company areas, the environmental impact of this have been supplied to LG&E and to the [Docket No. ER95–1635–000] action would be minimal. Therefore, an Pennsylvania Public Utility environmental impact statement will Commission. Take notice that on August 28, 1995, not be prepared. Comment date: September 15, 1995, Northeast Utilities Service Company (NUSCO), tendered for filing, a unit FOR FURTHER INFORMATION CONTACT: in accordance with Standard Paragraph exchange agreement between NUSCO, Mr. Joseph Hand, U.S. Army Corps of E at the end of this notice. on behalf of The Connecticut Light and Engineers, P.O. Box 2288, Mobile, 3. PECO Energy Company Power Company, Western Alabama 36628–0001, (334) 694–3881. [Docket No. ER95–1632–000] Massachusetts Electric Company, SUPPLEMENTARY INFORMATION: Copies of Take notice that on August 28, 1995, Holyoke Water Power Company, the EA and FONSI will be available to Holyoke Power and Electric Company the public for review for 30 days PECO Energy Company (PECO), filed a Service Agreement dated August 22, and Public Service Company of New following publication of this notice. Hampshire, and Central Maine Power Gregory D. Showalter, 1995, with Northern Indiana Public Service Company (NIPSCO) under Company (CMP). Army Federal Register Liaison Officer. PECO’s FERC Electric Tariff Original NUSCO states that a copy of this filing [FR Doc. 95–22438 Filed 9–8–95; 8:45 am] Volume No. 1 (Tariff). The Service has been mailed to CMP. BILLING CODE 3710±92±M Agreement adds NIPSCO as a customer NUSCO requests that the Agreement under the Tariff. become effective on November 1, 1995. PECO requests an effective date of Comment date: September 15, 1995, DEPARTMENT OF ENERGY August 22, 1995, for the Service in accordance with Standard Paragraph Agreement. E at the end of this notice. Federal Energy Regulatory PECO states that copies of this filing 7. Delmarva Power and Light Company Commission have been supplied to NIPSCO and to the Pennsylvania Public Utility [Docket No. ER95–1639–000] [Docket No. ER95±1630±000, et al.] Commission. Take notice that on August 28, 1995, PECO Energy Corporation, et al.; Comment date: September 15, 1995, Delmarva Power and Light Company Electric Rate and Corporate Regulation in accordance with Standard Paragraph (Delmarva Power), tendered for filing a Filings E at the end of this notice. tariff providing for comprehensive 4. Engelhard Power Marketing, Inc. transmission service. Delmarva Power September 1, 1995. states that its filing modifies its Tariff Take notice that the following filings [Docket No. ER95–1633–000] No. 2 that was filed in Docket No. have been made with the Commission: Take notice that on August 28, 1995, ER95–222–000 and that its tariff is 1. PECO Energy Company Engelhard Power Marketing, Inc. consistent with the draft pro forma (ENGL), tendered for filing a letter from tariffs the Commission included with [Docket No. ER95–1630–000] the Executive Committee of the Western the proposed rule in ‘‘Promoting Take notice that on August 28, 1995, Systems Power Pool (WSPP) indicating Wholesale Competition Through Open- PECO Energy Company (PECO) filed a that ENGL had completed all the steps Access Non-Discriminatory Service Agreement dated August 17, for pool membership. ENGL requests Transmission Services by Public 1995, with Ohio Edison Company (OE) that the Commission amend the WSPP Utilities,’’ Docket No. RM95–8–000, IV under PECO’s FERC Electric Tariff Agreement to include it as a member. FERC Stats. and Regs. ¶32,514 (1995). Original Volume No. 1 (Tariff). The ENGL requests an effective date of Delmarva Power asks the Commission to Service Agreement adds OE as a August 17, 1995, for the proposed set an effective date for this filing of customer under the Tariff. amendment. Accordingly, ENGL November 1, 1995. Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices 47159 Comment date: September 15, 1995, Washington, D.C. 20426, in accordance that Dalton will reimburse Southern for in accordance with Standard Paragraph with Rules 211 and 214 of the the total actual cost of relocating the E at the end of this notice. Commission’s Rules of Practice and facilities. Dalton has requested the Procedure (18 CFR 385.211 and 18 CFR relocation to serve more efficiently the 8. Delmarva Power & Light Company 385.214). All such motions or protests gas requirements on its distribution [Docket No. ER95–1640–000] should be filed on or before the system which are growing in the area of Take notice that on August 28, 1995, comment date. Protests will be the proposed relocation point. Delmarva Power & Light Company considered by the Commission in Southern states that it will continue to (Delmarva) of Wilmington, Delaware, determining the appropriate action to be transport gas to the relocated Dalton No. tendered for filing revised rate schedule taken, but will not serve to make 2 delivery point, pursuant to its Rate sheets, and a request to suspend the protestants parties to the proceeding. Schedules FT and IT. Dalton does not operation of its fuel clause for the Any person wishing to become a party propose to add or change any purposes of making a one-time refund of must file a motion to intervene. Copies transportation demand to its firm fuel expense over-collections and of of this filing are on file with the service as a result of the relocation of resetting its Fuel Adjustments. The Commission and are available for public the delivery point. Southern further Company is proposing several revisions inspection. states that the installation of the to its rate schedules to define more Lois D. Cashell, proposed facilities will have no adverse clearly the operation of the fuel Secretary. impact on its peak day or firm adjustment clause. These revisions [FR Doc. 95–22451 Filed 9–8–95; 8:45 am] requirements. involve the following customers and BILLING CODE 6717±01±P Comment date: October 16, 1995, in rate schedules: Seaford, Rate Schedule accordance with Standard Paragraph G 62; Berlin, Rate Schedule 63; at the end of this notice. Middletown, Rate Schedule 65; and [Docket No. CP95±709±000, et al.] Smyrna, Rate Schedule 68. Delmarva 2. Colorado Interstate Gas Company requests an effective date of October 27, Southern Natural Gas Company, et al.; [Docket No. CP95–711–000] Natural Gas Certificate Filings 1995. Take notice that on August 25, 1995, Comment date: September 15, 1995, Colorado Interstate Gas Company (CIG), in accordance with Standard Paragraph September 1, 1995. P.O. Box 1087, Colorado Springs, E at the end of this notice. Take notice that the following filings have been made with the Commission: Colorado 80944, filed in Docket No. 9. Brooklyn Navy Yard Cogeneration CP95–711–000 a request pursuant to Partners, L.P. 1. Southern Natural Gas Company Sections 157.205, 157.216 and 157.212 [Docket No. QF95–302–000] [Docket No. CP95–709–000] of the Commission’s Regulations under the Natural Gas Act (18 CFR 157.205, On August 16, 1995, Brooklyn Navy Take notice that on August 25, 1995, 157.216 and 157.212) for authorization Yard Cogeneration Partners, L.P. of 366 Southern Natural Gas Company Madison Avenue, Suite 1103, New (Southern), P.O. Box 2563, Birmingham, to abandon the existing Fort Lupton taps York, New York 10017, submitted for Alabama 35202–2563, filed in Docket and to construct new delivery facilities filing an application for certification of No. CP95–709–000 a request pursuant to at the same location for Public Service a facility as a qualifying cogeneration Sections 157.205, 157.212, and 157.216 Company of Colorado (PSCo), a local facility pursuant to Section 292.207(b) of the Commission’s Regulations under distribution company, under CIG’s of the Commission’s Regulations. No the Natural Gas Act (18 CFR 157.205, blanket certificate issued in Docket No. determination has been made that the 157.212, and 157.216) for authorization CP83–21–000 pursuant to Section 7 of submittal constitutes a complete filing. to relocate certain delivery point the Natural Gas Act, all as more fully set According to the applicant, the facilities which serve Dalton Utilities forth in the request that is on file with natural gas-fired topping-cycle (Dalton). Southern makes such request, the Commission and open to public cogeneration facility is located in Kings under its blanket certificate issued in inspection. County, Brooklyn, New York. The Docket No. CP82–406–000, all as more CIG proposes to abandon two taps and facility will consist of two combustion fully set forth in the request on file with construct a new meter station and turbine generators, two unfired heat the Commission and open to public appurtenant facilities at Section 34, recovery boilers, two extraction/ inspection. Township 2 North, Range 66 West, condensing steam turbine generators, Specifically, Southern proposes to Weld County, Colorado. The proposed and related interconnection equipment. abandon two four-inch meter runs, a new facilities are to be bi-directional, The maximum net power production heater and some regulating equipment will increase deliverability and will cost capacity of the facility will be 315 MW. at its existing Dalton No. 2 Delivery $506,600. The deliveries at the Fort Thermal energy recovered from the Point which is currently located on Lupton delivery point will provide facility will be used for space heating, Southern’s 12-inch Chattanooga Branch service to PSCo’s Fort St. Vrain power water distillation and waste water Lines in Whitfield County, Georgia. plant and other loads in the area. treatment purposes. Installation of the Southern also proposes to construct and Currently, there is 15,500 Dth/d of facility began in January of 1995. operate a dual 4-inch orifice meter, entitlement under existing agreements, Comment date: October 11, 1995 in heater, regulators, and other but after the proposed installation, the accordance with Standard Paragraph E appurtenant facilities in order to initial deliveries will be up to 100,000 at the end of this notice. provide transportation service to Dalton Dth/d. The total annual and daily No. 2, at the relocation cite. It is stated contract entitlement for the contracts Standard Paragraph that Southern proposes to relocate the serving the Fort Lupton delivery E. Any person desiring to be heard or facilities to a site on its 12-inch facilities are within the certificated to protest said filing should file a Chattanooga Branch Lines in Whitfield entitlements. CIG’s existing tariff does motion to intervene or protest with the County, Georgia. The estimated cost of not prohibit this change and CIG states Federal Energy Regulatory Commission, the relocation of the delivery facilities is that there is sufficient capacity to 825 North Capitol Street, N.E., approximately $101,500. It is indicated accomplish the increased deliveries 47160 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices without detriment or disadvantage to 4. Williams Natural Gas Company authorization pursuant to Section 7 of other customers. the Natural Gas Act. [Docket No. CP95–717–000] Comment date: October 16, 1995, in Lois D. Cashell, accordance with Standard Paragraph G Take notice that on August 29, 1995, Secretary. at the end of this notice. Williams Natural Gas Company [FR Doc. 95–22452 Filed 9–8–95; 8:45 am] (Williams), P.O. Box 3288, Tulsa, BILLING CODE 6717±01±P 3. Colorado Interstate Gas Company Oklahoma 74101 filed in Docket No. [Docket No. CP95–712–000] CP95–717–000 a request pursuant to [Docket No. ER95±1381±000] Take notice that on August 25, 1995, Sections 157.205 and 157.212 of the Colorado Interstate Gas Company (CIG), Commission’s Regulations under the Alliance Strategies; Notice of Issuance P.O. Box 1087, Colorado Springs, Natural Gas Act (18 CFR 157.205 and of Order Colorado 80944, filed in Docket No. 157.212) for authorization to utilize the CP95–712–000 a request pursuant to facilities originally installed for the September 6, 1995. Sections 157.205 and 157.212 of the delivery of NGPA Section 311 gas to On July 17, 1995, Alliance Strategies Commission’s Regulations under the Missouri Gas Energy (MGE) for the (Alliance) submitted for filing a rate Natural Gas Act (18 CFR 157.205 and Simmons chicken hatchery in schedule under which Alliance will 157.212) for authorization to operate a McDonald County, Missouri, and for engage in wholesale electric power and new delivery point, the South Bennett other purposes under Williams’ blanket energy transactions as a marketer. delivery facilities, for service under authorization issued in Docket No. Alliance also requested waiver of CIG’s existing Rate Schedule NNT–2 for CP82–479–000 pursuant to Section 7(c) various Commission regulations. In Eastern Colorado Utility Company of the Natural Gas Act, all as more fully particular, Alliance requested that the (Eastern Colorado), a local distribution set forth in the request that is on file Commission grant blanket approval company, in Arapahoe County, with the Commission and open to under 18 CFR part 34 of all future issuances of securities and assumptions Colorado under the blanket certificate public inspection. issued in Docket No. CP83–21–000, of liability by Alliance. pursuant to Section 7(c) of the Natural Williams states that it will utilize the On August 25, 1995, pursuant to Gas Act, all as more fully set forth in the Section 311 facilities installed to deliver delegated authority, the Director, request which is on file with the transportation gas to MGE for Simmons Division of Applications, Office of Commission and open to public for any purpose. Williams began Electric Power Regulation, granted inspection. delivering gas to MGE for Simmons on requests for blanket approval under part CIG states that it will operate a tap, July 31, 1995 and reported such initial 34, subject to the following: Within thirty days of the date of the two-inch tee, valve, approximately 50 transportation in Docket No. ST95– order, any person desiring to be heard feet of two-inch pipe and appurtenant 3275–000. The authorization Williams or to protest the blanket approval of facilities. CIG states that it plans to is requesting will allow receipt point issuances of securities or assumptions of construct these facilities pursuant to flexibility in the future. Williams states liability by Alliance should file a Section 311 of the Natural Gas Policy that is has sufficient capacity to motion to intervene or protest with the Act. CIG estimates that cost of the accomplish the deliveries specified Federal Energy Regulatory Commission, proposed facilities is approximately without detriment to its other 825 North Capitol Street NE., $10,000. CIG asserts that it will provide customers. Washington, DC 20426, in accordance transportation service to Eastern The cost to construct the facilities was with Rules 211 and 214 of the Colorado pursuant to its open access $57,875 which will be partially Commission’s Rules of Practice and blanket certificate; and therefore, it has reimbursed. Procedure (18 CFR 385.211 and authorization for the proposed service. 385.214). Additionally, CIG notes that the Comment date: October 16, 1995, in Absent a request for hearing within proposed service is not prohibited by an accordance with Standard Paragraph G this period, Alliance is authorized to existing CIG tariff. CIG states that it has at the end of this notice. issue securities and assume obligations sufficient capacity to accomplish Standard Paragraphs or liabilities as a guarantor, indorser, deliveries to the proposed facilities surety, or otherwise in respect of any without detriment or disadvantage to G. Any person or the Commission’s security of another person; provided CIG’s other customers. staff may, within 45 days after issuance that such issuance or assumption is for CIG states that it does not currently of the instant notice by the Commission, some lawful object within the corporate make deliveries to Eastern Colorado at file pursuant to Rule 214 of the purposes of the applicant, and the proposed South Bennett delivery Commission’s Procedural Rules (18 CFR compatible with the public interest, and facility. CIG asserts that the proposed 385.214) a motion to intervene or notice is reasonably necessary or appropriate facilities will be capable of delivering of intervention and pursuant to Section for such purposes. approximately 850 Dth/d. Additionally, 157.205 of the Regulations under the The Commission reserves the right to CIG notes that the end use of the gas Natural Gas Act (18 CFR 157.205) a require a further showing that neither delivered by CIG to Eastern Colorado protest to the request. If no protest is public nor private interests will be will be for new residential development. filed within the time allowed therefor, adversely affected by continued CIG claims that the impact of the the proposed activity shall be deemed to approval of Alliance’s issuances of proposed changes will be minimal be authorized effective the day after the securities or assumptions of liability. because of the proposed delivery time allowed for filing a protest. If a Notice is hereby given that the volume size and the use of an existing protest is filed and not withdrawn deadline for filing motions to intervene agreement. within 30 days after the time allowed or protests, as set forth above, is Comment date: October 16, 1995, in for filing a protest, the instant request September 25, 1995. accordance with Standard Paragraph G shall be treated as an application for Copies of the full text of the order are at the end of this notice. available from the Commission’s Public Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices 47161 Reference Branch, Room 3308, 941 on file with the Commission and are [Docket No. RP95±433±000] North Capitol Street NE., Washington, available for public inspection. DC 20426. CNG Transmission Corporation; Notice Lois D. Cashell, of Filing of Report of Account No. 191 Lois D. Cashell, Secretary. Costs Secretary. FR Doc. 95–22408 Filed 9–8–95; 8:45 am] [FR Doc. 95–22447 Filed 9–8–95; 8:45 am] BILLING CODE 6717±01±M September 5, 1995. BILLING CODE 6717±01±M Take notice that on August 31, 1995, CNG Transmission Corporation (CNG), filed a report of certain data regarding [Docket No. RP95±432±000] [Docket No. RP95±429±000] its Account No. 191 Transition Costs, as Columbia Gas Transmission required by Section 18.1.D of the ANR Pipeline Company; Notice of Corporation; Notice of Proposed General Terms and Conditions of its FERC Gas Tariff. Proposed Changes in FERC Gas Tariff Changes In FERC Gas Tariff CNG states that this one-time September 5, 1995. September 5, 1995. reporting requirement was established as part of the comprehensive Order No. Take notice that on August 31, 1995, Take notice that on August 31, 1995, ANR Pipeline Company (ANR), 636 restructuring settlement among Columbia Gas Transmission Corporation CNG and its customers, in Docket No. tendered for filing as part of its FERC (Columbia) tendered a filing with the Gas Tariff, Second Revised Volume No. RS92–14. Section 18.1.D of the General Federal Energy Regulatory Commission Terms requires CNG to file a report by 1, the following tariff sheets, with an (Commission) for proposed changes to effective date of September 1, 1995: September 1, 1995, with supporting its FERC Gas Tariff, Second Revised workpapers, detailing the adjustments Ninth Revised Sheet No. 8 Volume No. 1, to be effective October 1, made by CNG under Section 18.1.D. The Eleventh Revised Sheet No. 9 1995: nature of these adjustments is set forth Eleventh Revised Sheet No. 13 First Rev Tenth Revised Sheet No. 25 in seven enumerated categories. As Eleventh Revised Sheet No. 16 provided under Section 18.1.D., CNG’s Thirteenth Revised Sheet No. 18 First Rev Tenth Revised Sheet No. 26 First Rev Tenth Revised Sheet No. 27 customers have 45 days to review this ANR states that the above-referenced First Rev Eleventh Revised Sheet No. 28 report, and to file comments with the tariff sheets are being filed pursuant to Commission. the approved recovery mechanism of its Columbia states that this Mid-Cycle CNG states that it has previously Tariff to implement recovery of $9.3 Transportation Costs Rate Adjustment reported all adjustments as required in million of costs that are associated with (TCRA) filing is being made in categories 1 through 6 of this Section, to its obligations to Dakota Gasification accordance with the General Terms and support its filings in Docket Nos. RP94– Company (Dakota). ANR proposes a Conditions (GTC) of its FERC Gas Tariff 31, RP94–300, and RP95–347. reservation fee surcharge applicable to (Section 36) which provides, among CNG states that it has served this data its Part 284 firm transportation other things, that Columbia will adjust upon all affected customers at the time customers to collect ninety percent its TCRA rates prospectively by means of each filing, and CNG has (90%) of the Dakota costs and an of a filing to become effective October incorporated this data by reference in adjustment to the maximum base tariff 1 of each year. the instant report. To satisfy the Section rates of Rate Schedule ITS and overrun 18.1.D. requirement as to the seventh Columbia states that copies of its category, ‘‘amounts received by Pipeline rates applicable to Rate Schedule FTS– filing have been mailed to all firm 2 so as to recover the remaining ten as a result of the direct bill’’ under this customers and affected state Section, CNG states that it is providing percent (10%). ANR has requested that commissions. the Commission accept the tendered detailed data regarding the amounts sheets to become effective September 1, Any person desiring to be heard or to received from each customer through 1995. protest said filing should file a motion direct bills in Docket Nos. RP94–31, to intervene or protest with the Federal RP94–300, and RP95–347. ANR states that all of its Volume No. Energy Regulatory Commission, 825 CNG states that copies of this report 1 customers and interested State North Capitol Street, NE, Washington, and enclosures are being mailed to Commissions have been mailed a copy DC 20426 in accordance with Rules 211 CNG’s customers and interested state of this filing. and 214 of the Commission’s Rules of commissions. Any person desiring to be heard or to Practice and Procedure. All such Any person desiring to be heard or to protest said filing should file a motion motions or protests should be filed on protest said filing should file a protest to intervene or protest with the or before September 11, 1995. Protests or motion to intervene with the Federal Commission, 825 North Capitol Street, will be considered by the Commission Energy Regulatory Commission, 825 N.E., Washington, D.C. 20426, in in determining the appropriate action to North Capitol Street, NE., Washington, accordance with Rules 211 and 214 of be taken, but will not serve to make DC 20426, in accordance with Rules 214 the Commission’s Rules of Practice and protestants parties to the proceeding. and 211 of the Commission’s Rules of Procedure (18 CFR 385.211, 385.214). Any person wishing to become a party Practice and Procedure, 18 CFR Sections All such motions or protests should be must file a motion to intervene. Copies 385.214 and 385.211. All motions or filed on or before September 11, 1995. of this filing are on file with the protests should be filed on or before Protests will be considered by the Commission and are available for public September 11, 1995. Protests will be Commission in determining the inspection. considered by the Commission in appropriate action to be taken, but will determining the appropriate action to be not serve to make protestants parties to Lois D. Cashell, taken, but will not serve to make the proceeding. Any person wishing to Secretary. protestants parties to the proceeding. become a party must file a motion to [FR Doc. 95–22411 Filed 9–8–95; 8:45 am] Any person wishing to become a party intervene. Copies of this application are BILLING CODE 6717±01±M must file a motion to intervene. Copies 47162 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices of this filing are on file with the available for public inspection in the or buydown amounts paid. Accordingly, Commission and are available for public Public Reference Room. El Paso states that it is submitting inspection. Lois D. Cashell, concurrently herewith, but under Lois D. Cashell, Secretary. separate cover letter, the schedules Secretary. [FR Doc. 95–22410 Filed 9–8–95; 8:45 am] reflecting such information for which El Paso has requested confidential [FR Doc. 95–22409 Filed 9–8–95; 8:45 am] BILLING CODE 6717±01±M treatment. BILLING CODE 6717±01±M El Paso requested that the [Docket No. RP95±427±000] Commission accept the tendered tariff sheets for filing and permit them to [Docket No. TM96±1±22±000] El Paso Natural Gas Company; Notice become effective on October 1, 1995. of Tariff Filing El Paso states that copies of the filing CNG Transmission Corporation; Notice September 5, 1995. were served upon all of El Paso’s of Proposed Changes in FERC Gas Take notice that on August 31, 1995, affected interstate pipeline system Tariff pursuant to Part 154 of the customers and interested state regulatory commissions. September 5, 1995. Commission’s Regulations Under the Natural Gas Act, El Paso Natural Gas Any person desiring to be heard or to Take notice that on August 31, 1995, Company (El Paso) tendered for filing a protest said filing should file a motion CNG Transmission Corporation (CNG), notice of the following: to intervene or protest with the Federal pursuant to Section 4 of the Natural Gas Energy Regulatory Commission, 825 (i) A revision to El Paso’s Take-or-Pay Act, Section 154.38(d)(6) of the North Capitol Street NE., Washington, Buyout and Buydown Monthly Direct Charge DC 20426, in accordance with Sections Commission’s Regulations providing for and Throughput Surcharge: (a) To reflect the the Annual Charge Adjustment, and addition of principal dollars to be amortized 385.214 and 385.211 of the Section 14 of the General Terms and based upon recent take-or-pay buyout and Commission’s Rules and Regulations. Conditions of CNG’s tariff, filed the buydown costs and (b) for interest pursuant All such motions or protests should be following revised tariff sheets to its to Sections 22 and 21, Take-or-Pay Buyout filed on or before September 11, 1995. FERC Gas Tariff, with a proposed and Buydown Cost Recovery of its Second Protests will be considered by the Revised Volume No. 1–A and Third Revised effective date of October 1, 1995: Commission in determining the Volume No. 1, FERC Gas Tariffs, appropriate action to be taken, but will Second Revised Volume No. 1 respectively; and not serve to make protestants parties to (ii) That the Annual Charge Adjustment the proceeding. Any person wishing to Fifth Revised Sheet No. 31 (ACA) in accordance with Section 21, Tenth Revised Sheet No. 32 Annual Charge Adjustment Provision, of said become a party must file a motion to Tenth Revised Sheet No. 33 Volume No. 1–A Tariff does not require a intervene. Copies of this filing are on Sixth Revised Sheet No. 35 change. file with the Commission and are Sixth Revised Sheet No. 36 available for public inspection in the El Paso states that the additional Public Reference Room. Original Volume No. 2 principal dollars to be amortized are El Lois D. Cashell, Eighth Revised Sheet Nos. 250 and 290 Paso’s last remaining take-or-pay case eligible for recovery under its Take-or- Secretary. Original Volume No. 2A Pay Buyout and Buydown Cost [FR Doc. 95–22412 Filed 9–8–95; 8:45 am] Eighth Revised Sheet Nos. 18, 28, 35, 48 and Recovery mechanism. BILLING CODE 6717±01±M 87 El Paso states that it proposed to amortize the direct bill portion of the [Docket No. CP95±713±000] CNG states that the proposed tariff additional costs over a period of one sheets reflect a new ACA unit rate of .22 month because the aggregate dollar El Paso Natural Gas Company; Notice cents per dekatherm. amounts are small and it would be of Request Under Blanket CNG states that copies of the filing administratively burdensome for the Authorization were served upon CNG’s jurisdictional majority of El Paso’s customers to have customers and interested state to account and pay for the de minimis September 5, 1995. commissions. direct bill amounts over a more Take notice that on August 25, 1995, extended period. With respect to the El Paso Natural Gas Company (El Paso), Any person desiring to be heard or to Throughput Surcharge, El Paso states P.O. Box 1492, El Paso, Texas 79978, protest said filing should file a motion that it proposed to amortize the filed a prior notice request with the to intervene or protest with the Federal additional take-or-pay costs over a Commission in Docket No. CP95–713– Energy Regulatory Commission, 825 period extending through March 31, 000 pursuant to Section 157.205 of the North Capitol Street, NE., Washington, 1996, which is the end of the Commission’s Regulations under the DC 20426, in accordance with sections amortization period for its Take-or-Pay Natural Gas Act (NGA) for authorization 385.214 and 385.211 of the Cost Recovery mechanism. El Paso to construct and operate a delivery point Commission’s Rules and Regulations. states that as a result of this filing, the to serve Southwest Gas Corporation All such motions or protests should be Throughput Surcharge has decreased (Southwest) in Cochise County, filed on or before September 11, 1995. $.0008 per dth, from $0.0348 to $0.0340 Arizona, under El Paso’s blanket Protests will be considered by the per dth. El Paso further states that its certificates issued in Docket Nos. CP82– Commission in determining the ACA surcharge of $0.0023 per dth to be 435–000 and CP88–433–000 pursuant to appropriate action to be taken, but will collected for the fiscal year beginning Section 7 of the NGA, all as more fully not serve to make protestants parties to October 1, 1995 reflects no change. set forth in the request which is open to the proceeding. Any person wishing to Pursuant to Section 21.6 of El Paso’s the public for inspection. become a party must file a motion to Volume No. 1 Tariff, El Paso is required El Paso proposes to construct and intervene. Copies of this filing are on to file with the Commission certain operate dual one-inch tap and valve file with the Commission and are information supporting the buyout and/ assemblies with appurtenances on its Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices 47163 26-inch diameter California Line and Electric Power Regulation, granted No. 472, issued May 29, 1987. The new 30-inch diameter California First Loop requests for blanket approval under Part ACA rate to be charged by Great Lakes Line in Cochise County. El Paso states 34, subject to the following: was established by FERC notice given that Southwest has agreed to reimburse Within thirty days of the date of the on July 10, 1995 and is to be effective El Paso for the estimated $21,700 order, any person desiring to be heard October 1, 1995. construction cost of the proposed or to protest the blanket approval of Any person desiring to be heard or to delivery tap. El Paso would deliver to issuances of securities or assumptions of protest said filing should file a motion Southwest on a firm basis liability by ElecTech should file a to intervene or protest with the Federal approximately 24.4 Mcf of natural gas motion to intervene or protest with the Energy Regulatory Commission, 825 per day, 98 Mcf per peak day, and 8,905 Federal Energy Regulatory Commission, North Capitol Street NE., Washington, Mcf per year by the third year of 825 North Capitol Street, N.W., DC 20426, in accordance with Rules 211 operating the proposed tap in the Washington, D.C. 20426, in accordance and 214 of the Commission’s Rules of Kartchner Caverns area. with Rules 211 and 214 of the Practice and Procedure (18 CFR 385.211 El Paso further states that its tariff Commission’s Rules of Practice and and 385.214). All such petitions or allows for construction of the proposed Procedure (18 CFR 385.211 and protests should be filed on or before delivery tap and that the volumes to be 385.214). September 11, 1995. Protests will be delivered at the tap are within Absent a request for hearing within considered by the Commission in Southwest’s certificated entitlements. El this period, ElecTech is authorized to determining the appropriate action to be Paso also states that it has sufficient issue securities and assume obligations taken, but will not serve to make capacity to deliver the requested natural or liabilities as a guarantor, endorser, protestants parties to the proceedings. gas volumes to Southwest without surety, or otherwise in respect of any Copies of this filing are on file with the detriment or disadvantage to El Paso’s security of another person; provided Commission and are available for public other customers. that such issuance or assumption is for inspection. Any person or the Commission’s staff some lawful object within the public Lois D. Cashell, may, within 45 days after the interest, and is reasonably necessary or Secretary. Commission has issued this notice, file appropriate for such purposes. [FR Doc. 95–22414 Filed 9–8–95; 8:45 am] pursuant to Rule 214 of the The Commission reserves the right to BILLING CODE 6717±01±M Commission’s Procedural Rules (18 CFR require a further showing that neither 385.214) a motion to intervene or notice public nor private interests will be of intervention and pursuant to Section adversely affected by continued [Docket No. TM96±1±110±000] 157.205 of the Regulations under the approval of ElecTech’s issuances of NGA (18 CFR 157.205) a protest to the securities or assumptions of liability. Iroquois Gas Transmission System request. If no protest is filed within the Notice is hereby given that the L.P.; Notice of Proposed Changes In allowed time, the proposed activity deadline for filing motions to intervene FERC Gas Tariff shall be deemed to be authorized or protests, as set forth above, is September 5, 1995. effective the day after the time allowed September 25, 1995. Take notice that on August 31, 1995, for filing a protest. If a protest is filed Copies of the full text of the order are Iroquois Gas Transmission System, L.P. and not withdrawn within 30 days after available from the Commission’s Public (Iroquois) tendered a filing to become the time allowed for filing a protest, the Reference Branch, Room 3308, 941 part of its FERC Gas Tariff, First Revised instant request shall be treated as an North Capitol Street NE., Washington, Volume No. 1, Ninth Revised Sheet No. application for authorization pursuant D.C. 20426. 4. The proposed effective date of the to Section 7 of the NGA. Lois D. Cashell, tariff sheet is October 1, 1995. Lois D. Cashell, Secretary. Iroquois states that, pursuant to Secretary. [FR Doc. 95–22449 Filed 9–8–95; 8:45 am] section 154.38(d)(6) of the [FR Doc. 95–22413 Filed 9–8–95; 8:45 am] BILLING CODE 6717±01±M Commission’s regulations and Section BILLING CODE 6717±01±M 12.2 of the General Terms and Conditions of its Tariff, Iroquois is [Docket No. TM96±1±51±000] making its Annual Charge Adjustment [Docket No. ER90±1399±000 (‘‘ACA’’) filing to reflect a decrease of Great Lakes Gas Transmission Limited $.0001 per Dth (from $.0024 to $.0023 ElecTech, Inc.; Notice of Issuance of Partnership; Notice of Proposed per Dth) in its ACA surcharge. Order Changes in FERC Gas Tariff Iroquois states that copies of its filing September 6, 1995. September 5, 1995. were served on all jurisdictional On July 19, 1995, ElecTech, Inc. Take notice that on August 31, 1995, customers and interested state (ElecTech) submitted for filing a rate Great Lakes Gas Transmission Limited commissions. schedule under which ElecTech will Partnership (Great Lakes) tendered for Any person desiring to be heard or to engage in wholesale electric power and filing to become part of its FERC Gas protest said filing should file a motion energy transactions as a marketer. Tariff, Second Revised Volume No. 1, to intervene or protest with the Federal ElecTech also requested waiver of the following tariff sheet, with a Energy Regulatory Commission, 825 various Commission regulations. In proposed effective date of October 1, North Capitol Street NE., Washington, particular, ElecTech requested that the 1995: DC 20426, in accordance with 18 CFR Commission grant blanket approval 385.214 and 385.211 of the under 18 CFR Part 34 of all future Fourth Revised Sheet No. 7 Commission’s Rules and Regulations. issuances of securities and assumptions Great Lakes states that the above tariff All such motions or protests should be of liability by ElecTech. sheet reflects the new ACA rate to be filed on or before September 11, 1995. On August 25, 1995, pursuant to charged pursuant to the Annual Charges Protests will be considered by the delegated authority, the Director, Adjustment Clause provisions Commission in determining the Division of Applications, Office of established by the Commission in Order appropriate action to be taken, but will 47164 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices not serve to make protestants parties to Copies of the full text of the order are [Docket No. TM96±1±99±000] the proceeding. Any person wishing to available from the Commission’s Public become a party must file a motion to Reference Branch, Room 3308, 941 Kern River Gas Transmission Company; Notice of Proposed intervene. Copies of this filing are on North Capitol Street NE., Washington, Changes in FERC Gas Tariff file with the Commission and are DC 20426. available for public inspection in the Lois D. Cashell, September 5, 1995. public reference room. Secretary. Take notice that on August 31, 1995, Lois D. Cashell, FR Doc. 95–22450 Filed 9–8–95; 8:45 am] Kern River Gas Transmission Company Secretary. (Kern River) tendered for filing to BILLING CODE 6717±01±M [FR Doc. 95–22415 Filed 9–8–95; 8:45 am] become part of its FERC Gas Tariff, First BILLING CODE 6717±01±M Revised Volume No. 1, Fourth Revised Sheet Nos. 5 and 6, to become effective [Docket No. TM96±1±46±000] on October 1, 1995. [Docket No. ER95±1421±000] Kern River states that the purpose of Kentucky West Virginia Gas Company; this filing is to establish pursuant to JPower; Notice of Issuance of Order Notice of Proposed Change in FERC Section 154.38(d)(6)(i) of the September 6, 1995. Gas Tariff Commission’s regulations a volumetric/ usage rate surcharge of $0.0023 per Mcf On July 21, 1995, JPower (JPower) September 5, 1995. submitted for filing a rate schedule applicable to service under all of Kern under which JPower will engage in Take notice that on August 31, 1995, River’s firm and interruptible wholesale electric power and energy Kentucky West Virginia Gas Company transportation rate schedules for the transactions as a marketer. JPower also (Kentucky West) tendered for filing to period October 1, 1995 through requested waiver of various Commission become part of its FERC Gas Tariff, September 30, 1996 (‘‘ACA Surcharge’’). regulations. In particular, JPower Third Revised Volume No. 1, Fourth This ACA Surcharge will recover the requested that the Commission grant Revised Sheet No. 163, to become charge assessed on Kern River by the blanket approval under 18 CFR Part 34 effective October 1, 1995. Commission for 1995 pursuant to Part of all future issuances of securities and 382 of the Commission’s regulations. Kentucky West states the revised tariff Any person desiring to be heard or to assumptions of liability by JPower. sheet amends its Annual Charge On August 25, 1995, pursuant to protest said filing should file a motion Adjustment (ACA) charge to place in delegated authority, the Director, to intervene or protest with the Federal effect the new ACA funding unit of Division of Applications, Office of Energy Regulatory Commission, 825 $.0023 per MCF which represents a Electric Power Regulation, granted North Capitol Street, NE., Washington, requests for blanket approval under Part decrease of $.0001 per MCF. This rate is DC 20426, in accordance with Rules 211 and 214 of the Commission’s Rules of 34, subject to the following: $.0018 per Dth as converted on Within thirty days of the date of the Kentucky West’s system. Practice and Procedure. All such order, any person desiring to be heard Kentucky West states that a copy of its motions or protests should be filed on or before September 11, 1995. Protests or to protest the blanket approval of filing has been served upon each of its will be considered by the Commission issuances of securities or assumptions of jurisdictional customers and interested in determining the appropriate action to liability by JPower should file a motion state commissions. to intervene or protest with the Federal be taken, but will not serve to make Any person desiring to be heard or to Energy Regulatory Commission, 825 protestants parties to the proceeding. protest said filing should file a motion North Capitol Street NE., Washington, Any person wishing to become a party to intervene or protest with the Federal DC 20426, in accordance with Rules 211 must file a motion to intervene. Copies and 214 of the Commission’s Rules of Energy Regulatory Commission, 825 of this filing are on file with the Practice and Procedure (18 CFR 385.211 North Capitol Street NE., Washington, Commission and are available for public and 385.214). DC 20426, in accordance with Sections inspection. Absent a request for hearing within 385.211 and 385.214 of the Lois D. Cashell, this period, JPower is authorized to Commission’s Rules of Practice and Secretary. issue securities and assume obligations Procedure. All such motions or protests [FR Doc. 95–22417 Filed 9–8–95; 8:45 am] or liabilities as a guarantor, indorser, should be filed on or before September BILLING CODE 6717±01±M surety, or otherwise in respect of any 11, 1995. Protests will be considered by the Commission in determining the security of another person; provided [Docket Nos. RP95±426±000 TM96±2±25± that such issuance or assumption is for appropriate action to be taken, but will 000] some lawful object within the corporate not serve to make protestants parties to purposes of the applicant, and the proceeding. Any person wishing to Mississippi River Transmission compatible with the public interest, and become a party must file a motion to Corporation; Notice of Proposed is reasonably necessary or appropriate intervene. Copies of this filing are on Changes in FERC Gas Tariff for such purposes. file with the Commission and are September 5, 1995. The Commission reserves the right to available for public inspection. Take notice that on August 31, 1995, require a further showing that neither Lois D. Cashell, public nor private interests will be Mississippi River Transmission adversely affected by continued Secretary. Corporation (MRT) submitted for filing approval of JPower’s issuances of [FR Doc. 95–22416 Filed 9–8–95; 8:45 am] to become part in its FERC Gas Tariff, securities or assumptions of liability. BILLING CODE 6717±01±M Third Revised Volume No. 1, the Notice is hereby given that the following tariff sheets listed below, with deadline for filing motions to intervene a proposed effective date of October 1, or protests, as set forth above, is 1995: September 25, 1995. Thirteenth Revised Sheet No. 5 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices 47165 Thirteenth Revised Sheet No. 6 its FERC Gas Tariff, Third Revised to intervene or protest with the Federal Eleventh Revised Sheet No. 7 Volume No. 1, the following tariff Energy Regulatory Commission, 825 Fourth Revised Sheet No. 8 sheets, to be effective on October 1, North Capitol Street NE., Washington, First Revised Sheet No. 234 1995. DC 20426, in accordance with Sections First Revised Sheet No. 235 Original Sheet No. 235A 11th Revised Sheet No. 5 385.211 and 385.214 of the 10th Revised Sheet No. 6 Commission’s Rules of Practice and MRT states that the purpose of the Procedure. All such motions or protests filing is to modify the Fuel Use and Loss National declares that the purpose of this filing is state the Annual Charge should be filed on or before September Adjustment provisions contained in 11, 1995. Protests will be considered by Section 24 of the General Terms and Adjustment (ACA) unit surcharge authorized by the Commission for Fiscal the Commission in determining the Conditions of its tariff to (1) Permit appropriate action to be taken, but will MRT, when necessary, to submit out-of- 1996 is $.0023 per Mcf or $.0022 per Dth when converted to National’s not serve to make protestants parties to cycle Fuel Use and Loss Adjustment the proceeding. Any person wishing to filings more frequency than once a year, measurement basis. National states that a copy of this become a party must file a motion to and (2) permit MRT to assess a filing were served on National’s intervene. Copies of this filing are on Compressor Fuel Tax Surcharge to jurisdictional customers and on the file with the Commission and are recover sales and use taxes assessed on interested State Commissions. available for public inspection. a monthly basis by the States of Any person desiring to be heard or to Lois D. Cashell, Arkansas and Louisiana on the value of protest said filing should file a motion Secretary. gas consumed as compressor fuel in to intervene or protest with the Federal [FR Doc. 95–22420 Filed 9–8–95; 8:45 am] such states. Energy Regulatory Commission, 825 MRT states that concurrent with the BILLING CODE 6717±01±M North Capitol Street NE., Washington, submission of the proposed tariff DC 20426, in accordance with Rules 214 modifications it is also proposing to or 211 of the Commission’s Rules of [Docket No. TM96±1±59±000] make its first out-of-cycle Fuel Use and Practice and Procedure (18 CFR 385.214 Loss Adjustment applicable to Rate Northern Natural Gas Company; Notice or 385.211). All such motions to Schedules FTS, SCT, ITS, FSS and ISS of Proposed Changes in FERC Gas intervene or protests should be filed on as well as its first Compressor Fuel Tax Tariff or before September 11, 1995. Protests Surcharge adjustment. will be considered by the Commission MRT states that copies of its filing September 5, 1995. in determining the appropriate action to have been mailed to all of its affected Take notice that on August 31, 1995, be taken, but will not serve to make customers and the State Commission of Northern Natural Gas Company protestants parties to the proceeding. Arkansas, Illinois, and Missouri. (Northern), tendered for filing changes Any person wishing to become a party Any person desiring to be heard or in its FERC Gas Tariff, Fifth Revised must file a motion to intervene. Copies protest the subject filing should file a Volume No. 1 and Original Volume No. of this filing are on file with the motion to intervene or protest with the 2, the following tariff sheets, proposed Commission and are available for public Federal Energy Regulatory Commission, to be effective October 1, 1995: inspection. 825 North Capitol Street NE., Fifth Revised Volume No. 1 Washington, DC 20426, in accordance Lois D. Cashell, Secretary. Third Revised Seventeenth Revised Sheet with Sections 385.211 and 385.214 of No. 50 the Commission’s Rules of Practice and [FR Doc. 95–22419 Filed 9–8–95; 8:45 am] Third Revised Seventeenth Revised Sheet Procedure (18 CFR 385.211 and BILLING CODE 6717±01±M No. 51 385.214). All such motions and protests First Revised Sixth Revised Sheet No. 52 Twenty-Second Revised Sheet No. 53 should be filed on or before September [Docket No. TM96±1±100±000] 11, 1995. Protests will be considered by First Revised Sixth Revised Sheet No. 59 the Commission in determining the Nora Transmission Company; Notice First Revised Seventh Revised Sheet No. 60 appropriate action to be taken, but will of Proposed Change in FERC Gas Original Volume No. 2 not serve to make protestants parties to Tariff First Revised 145th Revised Sheet No. 1C the proceeding. Any person wishing to First Revised Twentieth Revised Sheet No. become a party must file a motion to September 5, 1995. 1C.a intervene. Copies of this filing are on Take notice that on August 31, 1995, Nora Transmission Company (Nora) Northern states that the filing file with the Commission and available establishes the revised Annual Charge for public inspection. tendered for filing to become part of its FERC Gas Tariff, First Revised Volume Adjustment (ACA) rate effective October Lois D. Cashell, No. 1, Second Revised Sheet No. 163 to 1, 1995, for Northern’s transportation Secretary. become effective October 1, 1995. rates. The ACA rate is designed to [FR Doc. 95–22418 Filed 9–8–95; 8:45 am] Nora states the revised tariff sheet recover the charge assessed by the BILLING CODE 6717±01±M amends its Annual Charge Adjustment Commission pursuant to Part 382 of the (ACA) charge to place in effect the new Commission’s Regulations. Northern further states that copies of [Docket No. TM96±1±16±000] ACA funding unit of $.0023 per MCF which represents a decrease of $.0001 the filing have been mailed to each of National Fuel Gas Supply Corporation; per MCF. This rate is $.0022 per Dth as its customers and interested State Notice of Proposed Changes in FERC converted on Nora’s system. Commissions. Gas Tariff Nora states that a copy of its filing has Any person desiring to be heard or to been served upon each of its protest said filing should file a petition September 5, 1995. jurisdictional customers and interested to intervene or protest with the Federal Take notice that on August 31, 1995 state commissions. Energy Regulatory Commission, 825 National Fuel Gas Supply Corporation Any person desiring to be heard or to North Capitol Street NE., Washington, (National) tendered for filing as part of protest said filing should file a motion DC 20426, in accordance with Rules 214 47166 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices and 211 of the Commission’s Rules of appropriate action to be taken, but will [Docket No. TM96±1±28±000] Practice and Procedure (18 CFR 385.214 not serve to make protestants parties to and 385.211). All such petitions or the proceeding. Any person wishing to Panhandle Eastern Pipe Line protests must be filed on or before become a party must file a motion to Company; Notice of Proposed September 11, 1995. Protests will be intervene. Copies of this filing are on Changes in FERC Gas Tariff considered by the Commission in file with the Commission and are September 5, 1995. determining the appropriate action to be available for public inspection in the taken, but will not serve to make Public Reference Room. Take notice that on August 31, 1995, protestants parties to the proceeding. Panhandle Eastern Pipe Line Company Lois D. Cashell, Any person wishing to become a party (Panhandle) tendered for filing to must file a motion to intervene. Copies Secretary. become part of its FERC Gas Tariff, First of this filing are on file with the [FR Doc. 95–22422 Filed 9–8–95; 8:45 am] Revised Volume No. 1, revised tariff Commission and are available for public BILLING CODE 6717±01±M sheets list on Appendix A to the filing. inspection. Panhandle proposes that these tariff Lois D. Cashell, sheets become effective October 1, 1995. Secretary. [Docket No. TM96±1±64±000] Panhandle states that these revised [FR Doc. 95–22421 Filed 9–8–95; 8:45 am] tariff sheets are being submitted in BILLING CODE 6717±01±M Pacific Interstate Offshore Company; Notice of Change in Rate accordance with Section 18.2 (Annual Charge Adjustment Provision) of the [Docket No. TM96±1±37±000] September 5, 1995. General Terms and Conditions of Panhandle’s FERC Gas Tariff, First Northwest Pipeline Corporation; Notice Take notice that on August 31, 1995, Pacific Interstate Offshore Company Revised Volume No. 1. This filing of Proposed Change in FERC Gas reflects the Federal Energy Regulatory Tariff (PIOC) submitted for filing, to be part of its FERC Gas Tariff, Second Revised Commission’s change in the unit rate for September 5, 1995. Volume No. 1, the following tariff sheet: the Annual Charge Adjustment Take notice that on August 31, 1995, surcharge to be applied to rates for Northwest Pipeline Corporation Second Revised Sheet No. 6 recovery of 1995 Annual Charges (Northwest) tendered for filing as part of PIOC states the purpose of this filing pursuant to Order No. 472 in Docket No. its FERC Gas Tariff, the following tariff is to set forth the applicable Annual RM87–3–000. The surcharge attributable sheets with a proposed effective date of Charge Adjustment (ACA) surcharge of to fiscal year 1995 program costs is October 1, 1995: .23 cents per MMBtu, effective October $0.0023 per Mcf ($0.0023 per Dt. to Third Revised Volume No. 1 1, 1995. reflect Panhandle’s billing unit) of natural gas transported. First Revised Sixth Revised Sheet No. 5 PIOC states that a copy of this filing First Revised Fifth Revised Sheet No. 8 has been served on PIOC’s sole Panhandle states that copies of this Original Volume No. 2 customer, the Southern California Gas filing are being served on all customers subject to the tariff sheets and Nineteenth Revised Sheet No. 2.2 Company and the Public Utilities applicable state regulatory agencies. Northwest states that the purpose of Commission of the State of California this filing is to update Northwest’s tariff and other interested parties. Any person desiring to be heard or to to reflect the Commission approved Any person desiring to be heard or protest this filing should file a motion Annual Charge Adjustment (ACA) factor protest said filing should file a motion to intervene or protest with the Federal of .23¢ per Mcf to be effective for the to intervene or protest with the Federal Energy Regulatory Commission, 825 twelve-month period beginning October Energy Regulatory Commission, 825 North Capitol Street NE., Washington, 1, 1995. The ACA surcharge unit North Capitol Street NE., Washington, DC 20426, in accordance with Sections equates to .22¢ per MMBtu based on DC 20426, in accordance with Rules 211 385.214 and 385.211 of the Northwest’s system weighted average of or 214 of the Commission’s Rules of Commission’s Rules and Regulations. 1037 Btu per cubic foot of gas for the Practice and Procedure. All such All such motions or protests should be twelve months ended June 30, 1995, and motions or protests should be filed on filed on or before September 11, 1995. is a reduction of .01¢ per MMBtu from or before September 11, 1995. Protests Protests will be considered by the Northwest’s current ACA surcharge of will be considered by the Commission Commission in determining the .23¢ per MMBtu. appropriate action to be taken, but will Northwest states that a copy of this in determining the appropriate action to be taken, but will not serve to make not serve to make protestants parties to filing has been served upon Northwest’s the proceeding. Any person wishing to jurisdictional customers and upon protestants parties to the proceeding. Any person wishing to become a party become a party must file a motion to affected state regulatory commissions. intervene. Copies of this filing are on Any person desiring to be heard or must file a motion to intervene. Copies file with the Commission and are protest said filing should file a motion of this filing are on file with the available for public inspection in the to intervene or protest with the Federal Commission and are available for public Energy Regulatory Commission, 825 inspection. Public Reference Room. Lois D. Cashell, North Capitol Street NE., Washington, Lois D. Cashell, Secretary. DC 20426, in accordance with Sections Secretary. 385.214 and 385.211 of the [FR Doc. 95–22424 Filed 9–8–95; 8:45 am] [FR Doc. 95–22423 Filed 9–8–95; 8:45 am] Commission’s Rules of Practice and BILLING CODE 6717±01±M Procedure. All such motions or protests BILLING CODE 6717±01±M should be filed on or before September 11, 1995. Protests will be considered by the Commission in determining the Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices 47167 [Project No. 2493±006] A Minor Upgrade alternative that is Pipeline Company (Koch) under the substantially similar to the Refurbished terms of Koch’s Order No. 500 Puget Sound Power & Light Company; Project proposal described above was settlements approved by the Notice of Amendment to Application addressed in the draft Environmental Commission in Docket No. RP85–209 on September 5, 1995. Impact Statement issued on November August 4, 1994 (August 4, Order). 18, 1994. The Refurbished Project, like On June 28, 1995, Puget Sound Power Southern states that these take-or-pay the Minor Upgrade alternative, would & Light Company (Puget) filed an settlement costs represent the remaining not increase the 2,500 cubic feet per amendment to its application for a new costs associated with the buyout and license for the Snoqualmie River Project second (cfs) hydraulic capacity of the existing project. buydown of producer contracts by Koch No. 2493–006. Puget’s application for a as well flowthrough of take-or-pay costs new license proposed to make extensive Some minor differences between the from Koch’s upstream pipeline supplier, structural modifications to the project to Minor Upgrade alternative and the Sea Robin Pipeline Company (Sea add 31 megawatts (MW) to the existing Refurbished Project proposal are that generation capacity of 42 MW. The the Refurbished Project proposal Robin). Paragraph (6) of Article II of amendment was filed as a result of includes: (1) a flow continuation Southern’s Stipulation authorizes Puget’s inability to obtain additional system, (2) minor expansion of the Plant Southern to flow through, on an as- water rights necessary to support its 2 forebay to improve removal of billed basis, buyout and buydown costs original application. suspended sediments for Plant 2, (3) incurred from Koch as well as costs Puget is now proposing a Refurbished leaving Unit 4 of Plant 1 in place for flowed through by Koch from Sea Project that would (1) refurbish the historic preservation values, and (4) Robin. existing diversion dam foundation, in retaining and refurbishing the existing Southern is proposing to allocate and the same location, (2) install an foot bridge. bill these costs to its customers in Although the Refurbished Project inflatable dam or spillgate system to accordance with the methodology alternative is substantially similar to the replace the existing flashboard system, approved by the Commission in its (3) add a 75-foot-long inflatable spillway Minor Upgrade alternative already August 4 Order, as clarified in its for flood control, (4) add a sediment addressed in the draft Environmental subsequent order of July 6, 1995 in exclusion channel to transfer bed load Impact Statement, we are providing an from the Plant 2 intake to pass under the opportunity for additional Docket No. RP85–209. Southern new diversion dam, (5) modify the Plant interventions, and for entities to submitted the following tariff sheets to 1 intake, (6) modify the Plant 1 tailrace reconsider their terms, conditions, its FERC Gas Tariff, Seventh Revised channel, (7) remove Units 1–5 penstocks prescriptions and comments submitted Volume No. 1, with the proposed in Plant 1, (8) install new 6-foot and 8- previously with respect to this effective date of October 1, 1995: foot diameter penstocks for new Plant 1, application. Comments and/or petitions Second Revised Sheet No. 23 Units 1 and 2, (9) install a new Unit 1, for intervention will be due 30 days Second Revised Sheet No. 24 sized for 600 cfs, (10) install a new Unit from the date of issuance of this notice Second Revised Sheet No. 25 2, sized for 200 cfs, (11) replace the with response comments due 45 days Plant 1 elevator and elevator house, (12) from the date of issuance. Southern states that copies of the stabilize the transformer house and A copy of the application and filing were served upon Southern’s machine shops for seismic stability, (13) amendment are available for inspection customers and interested state remove Units 1 through 3 and Unit 5 and reproduction at the Commission’s commissions. from Plant 1, (14) retire (in place) Unit Public Reference and Files Maintenance Any person desiring to be heard or to 4 in Plant 1, (15) refurbish the existing Branch located at 941 North Capitol protest said filing should file a motion Plant 2 intake and tunnel, (16) refurbish Street NE., Room 3104, Washington, DC to intervene or protest with the Federal the existing gatehouse and penstocks for 20426 or by calling (202) 208–1371. A Energy Regulatory Commission, 825 Plant 2, (17) modify the existing Plant copy is also available for inspection and North Capitol Street NE., Washington, 2 forebay for improved safety and reproduction at Puget Sound Power & DC 20426, in accordance with Rules 211 operation, (18) upgrade Units 1 and 2 in Light Company, P.O. Box 97034, Plant 2, (19) install a flow bypass Bellevue, WA 98009–9734, or by calling and 214 of the Commission’s Rules of system, and (20) refurbish the Plant 2 (206) 462–3058. The applicant contact Practice and Procedure. All such powerhouse for seismic stability. The for this project is Ms. Virginia Howell. motions or protests should be filed on Refurbished Project would add 7 MW to Contact Ms. Kathleen Sherman at or before September 11, 1995. Protests the existing 42 MW of generation. (202) 219–2834 for questions relating to will be considered by the Commission The Refurbished Project proposal also this proceeding. in determining the appropriate action to includes instream flows that were Lois D. Cashell, be taken, but will not serve to make identified as potential conditions of a Secretary. protestants parties to the proceeding. Water Quality Certification by the [FR Doc. 95–22425 Filed 9–8–95; 8:45 am] Any person wishing to become a party Washington State Department of must file a motion to intervene. Copies BILLING CODE 6717±01±M Ecology, in a letter dated May 12, 1995. of Southern’s filing are on file with the These proposed minimum instream Commission and are available for public flows over Snoqualmie Falls are: [Docket No. RP95±430±000] inspection. From 10 AM to sunset. Lois D. Cashell, March 16–March 31 ...... 200 cfs Southern Natural Gas Company; Secretary. April 1–April 30...... 450 cfs Notice of Take-or-Pay Flowthrough May 1–May 31 ...... 700 cfs [FR Doc. 95–22426 Filed 9–8–95; 8:45 am] September 5, 1995. June 1–June 30...... 450 cfs BILLING CODE 6717±01±M July 1–July 15 ...... 200 cfs Take notice that on August 31, 1995, July 16–March 15 ...... 100 cfs Southern Natural Gas Company Nighttime flows over the falls would not be (Southern) filed to flowthrough take-or- less than 25 cfs. pay costs paid to Koch Gateway 47168 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices [Docket No. RP95±431±000] [Docket No. TM96±1±115±001] determined by the Commission, is $.0022/Mcf ($.0021/MMBtu converted) Southern Natural Gas Company; Sumas International Pipeline Inc.; as set forth on Texas Gas’s Annual Notice of GSR Cost Recovery Filing Notice of Tariff Filing Charges Bill for fiscal year 1995, to be September 5, 1995. September 5, 1995. effective October 1, 1995. Texas Gas states that copies of the Take notice that on August 31, 1995, Take notice that on August 29, 1995, revised tariff sheets are being mailed to Southern Natural Gas Company Sumas International Pipeline Inc. (SIPI), Texas Gas’s jurisdictional customers (Southern) set forth its revised demand tendered for filing as part of its FERC and interested state commissions. surcharges and revised interruptible Gas Tariff, Original Volume No. 2, the Any person desiring to be heard or to rates that will be charged in connection following tariff sheets, with a proposed protest said filing should file a motion with its recovery of GSR costs effective date of October 1, 1995: to intervene or protest with the Federal associated with the payment of price Substitute Fifth Revised Sheet No. 4 Energy Regulatory Commission, 825 differential costs under realigned gas First Revised Sheet Number 7 North Capitol Street, NE., Washington, supply contracts or contract buyout First Revised Sheet Number 8 DC 20426, in accordance with Sections costs associated with continuing SIPI states that the above tariff sheets 385.211 and 385.214 of the realignment efforts as well as sales reflect the new ACA unit surcharge rate Commission’s Rules and Regulations. function costs during the period May 1, of $.0023 per Mcf which is equivalent All such motions or protests should be 1995 through July 31, 1995. These GSR to $.0022 per MMBtu on SIPI’s system. filed on or before September 11, 1995. costs have arisen as a direct result of Any person desiring to protest said Protests will be considered by the customers’ elections during filing should file a protest with the Commission in determining the restructuring to terminate their sales Federal Energy Regulatory Commission, appropriate action to be taken, but will entitlements under Order No. 636. 825 North Capitol Street NE., not serve to make protestants parties to Southern submitted the following Washington, DC 20426, in accordance the proceeding. Any person wishing to tariff sheets to its FERC Gas Tariff, with Rule 211 of the Commission’s become a party must file a motion to Seventh Revised Volume No. 1, with the Rules of Practice and Procedure 18 CFR intervene. Copies of this filing are on proposed effective date of October 1, 385.211) All such protests should be file with the Commission and are 1995. filed on or before September 11, 1995. available for public inspection in the Tariff Sheets Applicable to Contesting Protests will be considered by the Public Reference Room. Commission in determining the Parties: Lois D. Cashell, appropriate action to be taken, but will Twenty-Second Revised Sheet No. 15 Secretary. Twenty-Second Revised Sheet No. 17 not serve to make protestants parties to [FR Doc. 95–22429 Filed 9–8–95; 8:45 am] Twelfth Revised Sheet No. 18 the proceeding. Copies of this filing are Fifteenth Revised Sheet No. 29 on file with the Commission and are BILLING CODE 6717±01±M Fifteenth Revised Sheet No. 30 available for public inspection. Fifteenth Revised Sheet No. 31 Lois D. Cashell, Tariff Sheets Applicable to Secretary. [Docket No. CP95±721±000] [FR Doc. 95–22428 Filed 9–8–95; 8:45 am] Supporting Parties: Transcontinental Gas Pipe Line Third Revised Sheet No. 15A BILLING CODE 6717±01±M Corporation; Notice of Application Third Revised Sheet No. 17A September 5, 1995. Southern states that copies of the [Docket No. TM96±1±18±000] Take notice that on August 31, 1995, filing were served upon Southern’s Transcontinental Gas Pipe Line customers and interested state Texas Gas Transmission Corporation; Corporation (Transco), P.O. Box 1396, commissions. Notice of Proposed Changes in FERC Gas Tariff Houston, Texas 77251, filed in Docket Any person desiring to be heard or to No. CP95–721–000 an application protest said filing should file a motion September 5, 1995. pursuant to Section 7(b) of the Natural to intervene or protest with the Federal Take notice that on August 31, 1995, Gas Act for authorization to abandon a Energy Regulatory Commission, 825 Texas Gas Transmission Corporation certificated firm transportation service North Capitol Street NE., Washington, (Texas Gas) tendered for filing to for Columbia Gas Transmission DC 20426, in accordance with Rules 211 become part of its FERC Gas Tariff, First Corporation (Columbia Gas), effective and 214 of the Commission’s Rules of Revised Volume No. 1, the following January 31, 1994, all as more fully set Practice and Procedure. All such revised tariff sheets: forth in the application which is on file motions or protests should be filed on Eleventh Revised Sheet No. 10 with the Commission and open to or before September 11, 1995. Protests Eight Revised Sheet No. 11 public inspection. will be considered by the Commission Third Revised Sheet No. 11A Transco states that, by order issued in determining the appropriate action to Thirteenth Revised Sheet No. 12 January 31, 1983, in Docket No. CP82– be taken, but will not serve to make Fourth Revised Sheet No. 13 545–000, it was authorized to transport protestants parties to the proceeding. Texas Gas states that the revised tariff on a firm basis up to 9,000 dt equivalent Any person wishing to become a party sheets are being filed pursuant to of natural gas per day for Columbia Gas, must file a motion to intervene. Copies Section 23 of the General Terms and and subsequently filed the related of Southern’s filing with the Conditions of Texas Gas’s FERC GAS transportation agreement as its Rate Commission are available for public Tariff, First Revised Volume No. 1, Schedule X–244. Transco states that it inspection. which affords Texas Gas the right to receives the gas at a production platform Lois D. Cashell, recover the costs billed to Texas Gas by in High Island Block A–471, offshore Secretary. the Federal Energy Regulatory Texas, and delivers the gas at the [FR Doc. 95–22427 Filed 9–8–95; 8:45 am] Commission via the FERC ACA Unit interconnection between Transco and BILLING CODE 6717±01±M Charge method. That unit charge, as Transco-Columbia Gulf Transmission Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices 47169 Company’s jointly owned High Island Commission on its own motion believes and 214 of the Commission’s Rules of Block A–448 system, offshore Texas. that a formal hearing is required, further Practice and Procedure. All such Transco states that Article II of the notice of such hearing will be duly motions or protests should be filed on underlying transportation agreement given. or before September 11, 1995. Protests provides that the agreement become Under the procedure herein provided will be considered by the Commission effective August 5, 1982, and shall for, unless otherwise advised, it will be in determining the appropriate action to remain in force for a primary term of ten unnecessary for Transco to appear or be be taken, but will not serve to make years from the date on initial delivery, represented at the hearing. protestants parties to the proceeding. February 1, 1983, and year to year Lois D. Cashell, Any person wishing to become a party thereafter unless and until terminated Secretary. must file a motion to intervene. Copies by either party giving prior written [FR Doc. 95–22430 Filed 9–8–95; 8:45 am] of this filing are on file with the notice to the other party of not less than BILLING CODE 6717±01±M Commission and are available for public year, which termination may be inspection. effective at the end of the primary term Lois D. Cashell, or at the end of any year thereafter. [Docket No.: RP95±425±000] Secretary. Transco states that Columbia Gas [FR Doc. 95–22431 Filed 9–8–95; 8:45 am] provided written notice of termination Transwestern Pipeline Company; to Transco by letter dated December 1, Notice of Proposed Changes In FERC BILLING CODE 6717±01±M 1992, to be effective January 31, 1994. Gas Tariff Additionally, Transco states that, [Docket No. TM96±1±42±000] September 5, 1995. pursuant to a stipulation between Take notice that on August 31, 1995 Transco and Columbia Gas dated June Transwestern Pipeline Company; Transwestern Pipeline Company 20, 1994, and approved by the United Notice of Proposed Changes in FERC (Transwwestern) tendered for filing as States Bankruptcy Court for the District Gas Tariff of Delaware by June 20, 1994, Transco part of its FERC Gas Tariff, Second September 5, 1995. and Columbia Gas agreed, inter alia, to Revised Volume No. 1, the following Take notice that on August 31, 1995, terminate the agreement underlying tariff sheets, with a proposed effective Transwestern Pipeline Company Rate Schedule X–244. date of October 1, 1995: Transco further states that it does not 114th Revised Sheet No. 5 (Transwestern) tendered for filing as propose to abandon any facilities. 19th Revised Sheet No. 5A part of its FERC Gas Tariff, Second Any person desiring to be heard or to 13th Revised Sheet No. 5A.01 Revised Volume No. 1, the following make any protest with reference to said 11th Revised Sheet No. 5A.02 tariff sheets, with a proposed effective application should on or before 11th Revised Sheet No. 5A.03 date of October 1, 1995: Original Sheet No. 5B.01 September 26, 1995, file with the 113th Revised Sheet No. 5 Federal Energy Regulatory Commission, Transwestern states that it is seeking 18th Revised Sheet No. 5A Washington, DC 20426, a motion to to recover certain take-or-pay 10th Revised Sheet No. 5A.02 intervene or a protest in accordance settlement, buy-out, buy-down, and 10th Revised Sheet No. 5A.03 with the requirements of the contract reformation costs (‘‘TCR II 16th Revised Sheet No. 5B Commission’s Rules of Practice and Costs’’) paid by Transwestern. These Transwestern states that the tariff Procedure (18 CFR 385.214 or 385.211) costs qualify for recovery by sheets referenced above are being filed and the Regulations under the Natural Transwestern under Commission Order to adjust Transwestern’s Annual Charge Gas Act (18 CFR 157.10). All protests Nos. 500 and 528 as well as the terms Adjustment (ACA) pursuant to Section filed with the Commission will be and conditions of the Stipulation and 23 of the General Terms and Conditions considered by it in determining the Agreement (‘‘Stipulation’’) filed by of Transwestern’s FERC Gas Tariff, appropriate action to be taken but will Transwestern in Docket No. RP95–271– Second Revised Volume No. 1. The not serve to make the protestants parties 000 and approved by Commission order adjustment of the ACA Surcharge is to the proceeding. Any person wishing dated July 27, 1995. determined each fiscal year pursuant to to become a party to a proceeding or to In this filing, Transwestern is seeking the Commission’s Order No. 472. The participate as a party in any hearing recovery of $10,622,519.55 in TCR II ACA Surcharge of $0.0022/dth as therein must file a motion to intervene costs and is revising certain tariff sheets determined by the Commission reflects in accordance with the Commission’s and requesting authority to begin an decrease of $0.0001/dth from the Rules. recovery of such amounts under the currently effective ACA Surcharge of Take further notice that, pursuant to tariff sheets effective October 1, 1995. $0.0023/dth. the authority contained in and subject to Transwestern requested any waiver of Transwestern states that copies of the the jurisdiction conferred upon the any Commission Regulation and its filing were served on its gas utility Federal Energy Regulatory Commission tariff provisions as may be required to customers, interested state by Sections 7 and 15 of the Natural Gas allow the tariff sheets referenced above commissions, and all parties to this Act and the Commission’s Rules of to become effective on October 1, 1995. proceeding. Practice and Procedure, a hearing will Transwestern states that copies of the Any person desiring to be heard or to be held without further notice before the filing were served on its gas utility protest said filing should file a motion Commission or its designee on this customers, interested state to intervene or protest with the Federal application if no motion to intervene is commissions, and all parties to this Energy Regulatory Commission, 825 filed within the time required herein, if proceeding. North Capitol Street NE., Washington, the Commission on its own review of Any person desiring to be heard or to DC 20426, in accordance with Rules 211 the matter finds that permission and protest said filing should file a motion and 214 of the Commission’s Rules of approval for the proposed abandonment to intervene or protest with the Federal Practice and Procedure. All such are required by the public convenience Energy Regulatory Commission, 825 motions or protests should be filed on and necessity. If a motion for leave to North Capitol Street NE., Washington, or before September 11, 1995. Protests intervene is timely filed, or if the DC 20426, in accordance with Rules 211 will be considered by the Commission 47170 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices in determining the appropriate action to of this filing are on file with the North Capitol Street NE., Washington, be taken, but will not serve to make Commission and are available for public DC 20426. protestants parties to the proceeding. inspection. Lois D. Cashell, Any person wishing to become a party Lois D. Cashell, Secretary. must file a motion to intervene. Copies Secretary. [FR Doc. 95–22448 Filed 9–8–95; 8:45 am] of this filing are on file with the [FR Doc. 95–22433 Filed 9–8–95; 8:45 am] BILLING CODE 6717±01±M Commission and are available for public BILLING CODE 6717±01±M inspection. Lois D. Cashell, [Docket No. ER95±1382±000] ENVIRONMENTAL PROTECTION Secretary. AGENCY [FR Doc. 95–22432 Filed 9–8–95; 8:45 am] Utility-Trade Corp.; Notice of Issuance [FRL±5294±3] BILLING CODE 6717±01±M of Order Retrofit/Rebuild Requirements for 1993 September 6, 1995. [Docket No. TM96±1±30±000] and Earlier Model Year Urban Buses; On July 17, 1995, Utility-Trade Corp. Approval of an Application for Trunkline Gas Company; Notice of (UTC) submitted for filing a rate Certification of Equipment Proposed Change in FERC Gas Tariff schedule under which UTC will engage in wholesale electric power and energy AGENCY: Environmental Protection September 5, 1995. transactions as a marketer. UTC also Agency. Take notice that on August 31, 1995, requested waiver of various Commission ACTION: Notice of agency approval of an Trunkline Gas Company (Trunkline) regulations. In particular, UTC application for equipment certification. tendered for filing to become part of its requested that the Commission grant FERC Gas Tariff, First Revised Volume blanket approval under 18 CFR Part 34 SUMMARY: The Agency received an No. 1, Fourth Revised Sheet No. 13. of all future issuances of securities and application dated October 24, 1994 from Trunkline requests an effective date of assumptions of liability by UTC. the Engelhard Corporation (Engelhard) October 1, 1995. On August 25, 1995, pursuant to with principal place of business at 101 Trunkline states that the above- delegated authority, the Director, Wood Avenue, Iselin, New Jersey for referenced tariff sheet is being filed in Division of Applications, Office of certification of urban bus retrofit/ accordance with the Commission’s Electric Power Regulation, granted rebuild equipment pursuant to 40 CFR Order No. 472 and pursuant to Section requests for blanket approval under Part 85.1401–85.1415. On March 6, 1995 21 (Annual Charge Adjustment (ACA) 34, subject to the following: EPA published notification that the Provision) of the General Terms and Within thirty days of the date of the application had been received and made Conditions of Trunkline’s FERC Gas order, any person desiring to be heard the application available for public Tariff, First Revised Volume No. 1. or to protest the blanket approval of review and comment for a period of 45 Trunkline’s current ACA Unit issuances of securities or assumptions of days (60 FR 12185). EPA has completed Surcharge of $0.0023 per Dt effective liability by UTC should file a motion to its review of this application and the October 1, 1994 as approved by the intervene or protest with the Federal Director of the Manufacturers Commission’s Order dated September Energy Regulatory Commission, 825 Operations Division has determined that 30, 1994 in Docket No. TM95–1–30–000 North Capitol Street NE., Washington, it meets all the requirements for changes to $0.0022 per Dt with the DC 20426, in accordance with Rules 211 certification. Accordingly, EPA tracking of the ACA Unit Surcharge and 214 of the Commission’s Rules of approves the certification of this authorized for the fiscal year 1995. Practice and Procedure (18 CFR 385.211 equipment effective September 11, Trunkline requests waiver of any and 385.214). 1995. provisions of the Commission’s Absent a request for hearing within The candidate equipment provides a Regulations which may be necessary to this period, UTC is authorized to issue reduction in emissions of particulate make the tariff sheet and rates submitted securities and assume obligations or matter (PM) for Detroit Diesel herewith effective October 1, 1995. liabilities as a guarantor, indorser, Corporation 6V92TA MUI(mechanical Trunkline further states that copies of surety, or otherwise in respect of any unit injection) petroleum fueled diesel the filing are being served on all security of another person; provided engines. The certification of this customers subject to the tariff sheets and that such issuance or assumption is for equipment is applicable under program applicable state regulatory agencies. some lawful object within the corporate 2 only. It does not apply for operators Any person desiring to be heard or to purposes of the applicant, and utilizing Program 1 as Engelhard protest said filing should file a motion compatible with the public interest, and specifically applied under Program 2 to intervene or protest with the Federal is reasonably necessary or appropriate only and did not perform the additional Energy Regulatory Commission, 825 for such purposes. testing required for Program 1 North Capitol Street NE., Washington, The Commission reserves the right to certification. DC 20426, in accordance with Rules 211 require a further showing that neither The Engelhard application, as well as and 214 of the Commission’s Rules of public nor private interests will be other materials specifically relevant to Practice and Procedure (18 CFR 385.211 adversely affected by continued it, are contained in Public Docket A–93– and 385.214). All such petitions or approval of UTC’s issuances of 42, entitled ‘‘Certification of Urban Bus protests should be filed on or before securities or assumptions of liability. Retrofit/Rebuild Equipment’’. This September 11, 1995. Protests will be Notice is hereby given that the docket is located in room M–1500, considered by the Commission in deadline for filing motions to intervene Waterside Mall (Ground Floor), U.S. determining the appropriate action to be or protests, as set forth above, is Environmental Protection Agency, 401 taken, but will not serve to make September 25, 1995. M Street SW, Washington, DC 20460. protestants parties to the proceeding. Copies of the full text of the order are Docket items may be inspected from Any person wishing to become a party available from the Commission’s Public 8:00 a.m. until 4:00 p.m., Monday must file a motion to intervene. Copies Reference Branch, Room 3308, 941 through Friday. As provided in 40 CFR Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices 47171 Part 2, a reasonable fee may be charged SUPPLEMENTARY INFORMATION: The CCM functions as a catalytic by the Agency for copying docket I. Background converter and a muffler. It takes the materials. place of the original muffler in the DATES: The date of this notice, On October 24, 1995 Engelhard engine exhaust system. Through testing September 11, 1995, is the official applied for certification of a kit, for use in accordance with the Federal Test certification date for this application. on 2-cycle petroleum fueled diesel DDC Procedure for heavy-duty diesel The equipment is immediately available 6V92TA MUI urban bus engines for the engines, Engelhard documented that for installation. 1979 through 1989 model years, that emissions of particulate matter (PM) FOR FURTHER INFORMATION CONTACT: includes a catalytic converter muffler were reduced to a level of 0.22 g/bhp- Anthony Erb, Technical Support (CCM) and incorporates a ceramic in- hr with the candidate equipment Branch, Manufacturers Operations cylinder coating applied to the piston installed. Engelhard is certifying this Division (6405J), U.S. Environmental crowns, valve face and fire deck on the equipment to a maximum PM emission Protection Agency, 401 M St. SW, engine head. The application was level of 0.25g/bhp-hr. Washington, D.C. 20460. Telephone: submitted under EPA’s Urban Bus/ (202) 233–9259. Retrofit program under Program 2 only.1 TABLE A.ÐCERTIFICATION LEVELS PM level with stand- ard rebuild Engine model Model year and addition Code Family des- of CCM and ignation GPX coat- ing DDC 6V92TA MUI ...... 1979±1989 0.25 All All. Emission test results supplied by Bridgeport Transit District stated that IV. Operator Requirements and Engelhard in the application are shown their experience using GPX–4 ceramic Responsibilities in Table B. The test data show the coatings since 1991 has been positive. For operators who have chosen to reduction in PM. Hydrocarbon (HC), The engines have gotten better fuel comply with Program 2, this equipment carbon monoxide (CO), oxides of economy, emitted less smoke, and is immediately available for use and nitrogen (NOX) and smoke emissions consumed less lubrication oil. A copy of those who use this certified kit may were within the applicable emission the comments can be found in EPA claim the PM emissions reduction as standards with the CCM installed. Docket A–93–42. stated in Table A when calculating their Fleet Level Attained. TABLE B. CERTIFICATION EMISSION III. Certification Approval As stated in the regulations, operators TEST RESULTS (GM/BHP±HR) The Agency has reviewed this should maintain records for each engine application, along with comments in their fleet to demonstrate that they Rebuilt are in compliance with the requirements Base- engine received from interested parties, and beginning in January 1, 1995. These line en- with cat- finds that this equipment reduces records include purchase records, gine alyst particulate matter emissions without before and receipts, and part numbers for the parts causing urban bus engines to fail to rebuild GPX±4 and components used in the rebuilding coating meet any applicable Federal emission of urban bus engines. requirements. Additionally, EPA finds Mary D. Nichols, HC ...... 1.19 0.23 that installation of this equipment will CO ...... 2.53 0.46 Assistant Administrator for Air and not cause or contribute to an NOX ...... 9.55 5.53 Radiation. unreasonable risk to the public health, PM ...... 0.87 0.22 [FR Doc. 95–22491 Filed 9–8–95; 8:45 am] Smoke Test: welfare or safety, or result in any BILLING CODE 6560±50±P Accel ...... 6.0% additional range of parameter Lug ...... 3.4% adjustability or accessibility to Peak ...... 7.6% adjustment than that of the engine [FRL±5294±8] manufacturer’s emission related part. Ozone, Particulate Matter and Regional Urban bus operators who choose to The application meets the requirements Haze Implementation Program comply with Program 2 and use the for certification under the Retrofit/ Subcommittee Engelhard equipment will use the PM Rebuild Requirements for 1993 and emission value from Table A when Earlier Model Year Urban Buses (40 CFR AGENCY: Environmental Protection calculating their average fleet PM level. 85.1401 and 85.1415). Thus, the Agency Agency (EPA). II. Summary and Analysis of Comments hereby approves the certification of this ACTION: Notice of public meeting. equipment. EPA received comments from one SUMMARY: On November 8, 1990, the party on this Engelhard application EPA gave notice of the establishment of during the comment period. The Greater a Clean Air Act Advisory Committee 1 EPA promulgated the Retrofit/Rebuild bus retrofit/rebuild program as required by section Requirements for 1993 and Earlier Model Year 219(d) of the Clean Air Act Amendments (CAAA) Urban Buses on April 23, 1993 (58 FR 21359). This of 1990. final rule established the provisions for an urban 47172 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices (CAAAC) (55 FR 46993) which was 95–38. The docket is open for public recommendations from a broad established pursuant to the Federal inspection and copying between 8:30 spectrum of the public on new Advisory Committee Act (5 U.S.C. app. a.m. and 5:30 p.m., weekdays, at the Air approaches for implementing these 2). and Radiation Docket and Information programs. Toward this end, EPA has Today, EPA announces establishment Center (6102), room M–1500, 401 M established the Subcommittee to be of the Ozone, Particulate Matter (PM) Street, SW., Washington, DC 20460. A comprised of approximately 50 and Regional Haze Implementation reasonable fee may be charged for members from business and industry, Programs Subcommittee copying. environmental groups, State, local and (Subcommittee) under the CAAAC. The FOR FURTHER INFORMATION CONTACT: tribal governments, as well as other purpose of the Subcommittee is to Mr. John H. Haines, Designated Federal Federal agencies. Members of the provide advice and recommendations Officer for the Subcommittee, at 919– Subcommittee were selected on the on integrated approaches for 541–5533, or by mail at U.S. EPA, Office basis of their professional qualifications implementing potentially new national of Air Quality Planning and Standards, and diversity of perspectives in order ambient air quality standards (NAAQS) Air Quality Strategies and Standards that EPA has the benefit of the full range for ozone and particulate matter, as well Division, MD–15, Research Triangle of views in developing new approaches as a new regional haze program. These Park, North Carolina 27711. for implementing these programs. programs have an interrelationship in SUPPLEMENTARY INFORMATION: The EPA Meetings will be held approximately the atmospheric processes that form is presently reviewing the NAAQS for four times a year, as determined by the ozone and fine particulate matter and ozone and particulate matter. In a chairperson. The meetings will be open possess common sources of precursor related action, EPA is in the process of to the public and will be announced in emissions. Further, EPA recognizes the developing a regional haze program to the Federal Register. The Designated importance of considering these address visibility impairment in Federal Federal Officer will be present at all programs in an integrated manner if cost Class I areas. The EPA’s schedule for meetings and is authorized to adjourn effective control strategies are to be ozone calls for proposal in mid-1996 any meeting whenever it is determined developed to meet public health and and final action in mid-1997. The EPA to be in the public interest. Each welfare objectives. The EPA envisions is under a court-ordered schedule for meeting will be conducted in an open process that will examine key particulate matter to announce a accordance with an agenda approved in aspects of the existing implementation proposal decision by June 30, 1996, and advance of the meeting by the programs to provide for more effective to take final action by January 31, 1997. Designated Federal Officer. implementation of the potential new The development of a regional haze Dated: September 6, 1995. standards, as well as approaches that program is on a schedule similar to the John S. Seitz, will more completely integrate broad particulate matter review. Director, Office of Air Quality Planning and regional and national control strategies Based on the assessment to date, a Standards. with more localized efforts. The focus of principle consideration would be to [FR Doc. 95–22609 Filed 9–8–95; 8:45 am] the Subcommittee will be to assist EPA replace the existing 1-hour primary BILLING CODE 6560±50±M in developing implementation standard for ozone with a new 8-hour strategies, preparing supporting standard. Consideration is also given to analyses, and identifying and resolving replacing the existing 1-hour secondary [FRL±5294±2] impediments to the adoption of the standard for ozone with a new Environmental Radiation Protection resulting programs. secondary standard with a more Standards for Yucca Mountain, NV OPEN MEETING DATE: Notice is hereby appropriate averaging period. While the given that the Subcommittee will hold review of the particulate matter NAAQS AGENCY: U.S. Environmental Protection an open meeting on September 26, 1995 has not progressed as far as the ozone Agency. from 9 a.m. to 4 p.m. at the Sheraton review, preliminary assessments of the ACTIONS: Notice of Availability, Request Imperial, 4700 Emperor Boulevard, available scientific information suggest for Comments, and Announcement of Morrisville, North Carolina 27560. Due that fine particles are more likely to be Public Meetings. to the size of the meeting room, seating associated with reported health effects. is limited to approximately 150 In addition, fine particles are the major SUMMARY: As required under the Energy observers and will be made available on cause of visibility impairment. Policy Act of 1992 (Pub. L. 102–486), a first come, first served basis. To assist Therefore, consideration is being given the National Academy of Sciences/ EPA in planning the public meeting, to the establishment of a new 24-hour National Research Council (NAS) has persons interested in attending should and annual fine particle NAAQS to completed a study of the technical bases register with EPA by contacting Ms. replace the existing 24-hour PM–10 for environmental radiation protection Cathy Ward at TRC Environmental (particles with an aerodynamic diameter standards for the potential repository for Corporation at 919–419–7500 to give less than or equal to a nominal 10 radioactive waste at Yucca Mountain, their name and address before micrometers) standard. The existing Nevada (hereafter referred to as the NAS September 19, 1995. annual PM–10 standard is likely to be Report). The Environmental Protection The public is invited to submit retained. To address the welfare effects Agency (EPA) is announcing the written views and recommendations on of fine particles on visibility, availability of the NAS Report and new integrated approaches for consideration is being given to a requesting comments on its contents. implementing these programs. Such regional haze program which allows for Instructions for obtaining the NAS comments should be submitted (in regional variations in implementation. Report and submitting comments are duplicate) to Docket A–95–38 by Given the likelihood that both the given below. October 10, 1995. ozone and particulate matter NAAQS EPA is also announcing public INSPECTION OF DOCUMENTS: A transcript may be revised, as well as the meetings to inform the public of the role of the meeting as well as other relevant development of a new regional haze which the Agency will play in setting materials will be available for public program, EPA believes it is important at standards for Yucca Mountain and to inspection in EPA Air Docket No. A– this time to obtain the advice and solicit initial comments and concerns. Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices 47173 DATES: Even though this is an informal standards, i.e., for applicable activities (b) That compliance assessment be comment process, comments will be of in the U.S., for the management and conducted for the time when the greatest value if received on or before disposal of SNF and HLW in 40 CFR greatest risk occurs, within the limits October 26, 1995 at the address given part 191. (50 FR 38066). The NWPA was imposed by long-term stability of the below. amended by the Nuclear Waste Policy geologic environment; ADDRESSES: To obtain the NAS Report. Amendments Act of 1987 which did not (a) The use of a standard that sets a The entire NAS Report may be affect EPA’s authority or responsibility limit on the risk to individuals of purchased from the National Academy but did narrow the characterization of adverse health effects from releases from Press, 2101 Constitution Ave. NW., Box potential disposal sites for SNF and the repository; 285, Washington, DC 20055 or by HLW to Yucca Mountain, Nevada. (b) That compliance assessment be calling 800–624–6242 or 202–334–3313. In October 1992, the Waste Isolation conducted for the time when the Also, the Agency will make photocopies Pilot Plant Land Withdrawal Act (WIPP greatest risk occurs, within the limits of the Executive Summary available in LWA, Pub. L. 102–579) and the Energy imposed by long-term stability of the response to written requests sent to NAS Policy Act of 1992 (EnPA, Pub. L. 102– geologic environment; Report Executive Summary, Radioactive 486) were enacted. The WIPP LWA (c) Against a risk-based calculation of Waste Management Branch (6602J), exempted the potential Yucca Mountain the adverse effect of human intrusion Office of Radiation and Indoor Air, U.S. disposal system from coverage under 40 into the repository; Environmental Protection Agency, 401 CFR part 191. However, the EnPA (d) That the consequences of an M St. SW., Washington, DC 20460–0001 assigned the authority and intrusion be calculated to assess the or by calling 202–233–9310 or 800–331– responsibility to establish site-specific resilience of the repository to human 9477 and leaving your name and environmental radiation protection intrusion; (e) That resolution of policy issues be address. Finally, the text of the NAS standards for Yucca Mountain. It also done through a rulemaking process that Report will be available via computer on required EPA to contract with the NAS allows opportunity for wide-ranging EPA’s Technology Transfer Network; for to provide findings and input from all interested parties; access: call 919–541–5742 (modems up recommendations on the technical bases (f) That the critical-group approach be to 14,400 bps) or via Internet at TELNET of the Yucca Mountain standards prior used in the Yucca Mountain standards; ttnbbs.rtpnc.epa.gov. to writing those standards. The NAS and, A copy of the NAS Report is in both study began in February 1993 and was (g) That EPA require that the dockets which have been established for presented to the Agency on August 1, estimated risk calculated from the this rulemaking. One docket, designated 1995. assumed intrusion scenario be no Docket A–95–12, is located in Room ‘‘(A) Whether a health-based standard greater than the risk limit adopted for 1500 (ground level inside of Waterside based upon doses to individual the undisturbed-repository case because Mall near the Washington Information members of the public from releases to a repository that is suitable for safe long- Center), U.S. Environmental Protection the accessible environment (as that term term disposal should be able to continue Agency, 401 M St. SW., Washington, is defined in the regulations contained to provide acceptable waste isolation DC. The docket may be inspected in subpart B of part 191 of title 40, Code of Federal Regulations, as in effect on after some type of intrusion. between 8:30 a.m. and 12 noon and The NAS also reached several between 1:30 p.m. and 3:30 p.m. on November 18, 1985) will provide a reasonable standard for protection of the conclusions: weekdays. As provided in 40 CFR Part (a) An individual-risk standard would 2, a reasonable fee may be charged for health and safety of the general public; (B) Whether it is reasonable to assume protect public health, given the photocopying docket materials. This that a system for post-closure oversight particular characteristics of the site, other docket is in the Government of the repository can be developed, provided that policy makers and the Publications Department, Dickinson based upon active institutional controls, public are prepared to accept that very Library, University of Nevada-Las that will prevent an unreasonable risk of low radiation doses pose a negligibly Vegas, 4505 Maryland Parkway, Las breaching the repository’s engineered or small risk; Vegas, Nevada. geologic barriers or increasing the (b) The physical and geologic To send comments. To comment upon processes are sufficiently quantifiable the contents of the NAS Report, write to exposure of individual members of the public to radiation beyond allowable and the related uncertainties sufficiently NAS Report Comments, Radioactive boundable that performance can be Waste Management Branch (6602J), limits; and (C) Whether it is possible to make assessed over time frames during which Office of Radiation and Indoor Air, U.S. scientifically supportable predictions of the geologic system is relatively stable Environmental Protection Agency, 401 the probability that the repository’s or varies in a boundable manner; M St. SW., Washington, DC 20460– engineered or geologic barriers will be (c) It is not possible to predict, on the 0001. breached as a result of human intrusion basis of scientific analyses, the societal FOR FURTHER INFORMATION CONTACT: Ray over a period of 10,000 years.’’ factors for an exposure scenario. Clark, Radioactive Waste Management Specifying exposure scenarios therefore Branch (6602J), Office of Radiation and Recommendations and Conclusions of requires a policy decision that is Indoor Air, U.S. Environmental the NAS appropriately made in a rulemaking Protection Agency, 401 M St. SW., The EPA will now begin establishing process conducted by EPA; Washington, DC 20460–0001; telephone site-specific standards for Yucca (d) With respect to the second 202–233–9310. Mountain taking into account the question of Section 801, it is not SUPPLEMENTARY INFORMATION: The recommendations and conclusions of reasonable to assume that a system for Nuclear Waste Policy Act of 1982 the NAS. In the Executive Summary of post-closure oversight of the repository (NWPA, Pub. L. 97–425) established the their report, the NAS recommended: can be developed, based on active current national program for the (a) The use of a standard that sets a institutional controls, that will prevent disposal of spent nuclear fuel (SNF) and limit on the risk to individuals of an unreasonable risk of breaching the high-level radioactive waste (HLW). In adverse health effects from releases from repository’s engineered barriers or 1985, the Agency established generic the repository; increasing the exposure of individual 47174 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices members of the public to radiation Dated: September 5, 1995. Dated: September 5, 1995. beyond allowable limits; Mary Nichols, Susan B. Hazen, (e) With respect to the third question Assistant Administrator, Office of Air and Director, Environmental Assistance Division, in Section 801, it is not possible to make Radiation. Office of Pollution Prevention and Toxics. scientifically supportable predictions of [FR Doc. 95–22355 Filed 9–8–95; 8:45 am] [FR Doc. 95–22495 Filed 9–8–95; 8:45 am] the probability that a repository’s BILLING CODE 6560±50±P BILLING CODE 6560±50±F engineered or geologic barriers will be breached as a result of human intrusion [OPPTS±44620; FRL±4976±1] over a period of 10,000 years; and, [OPPTS±00174A; FRL±4977±1] (f) There is no scientific basis for TSCA Chemical Testing; Receipt of incorporating the ALARA [as low as Toxics Release Inventory Phase 3; Test Data reasonably achievable] principle into Chemical Use; Notice of Public the EPA standards or Nuclear Meeting; Change of Meeting Date AGENCY: Environmental Protection Regulatory Commission licensing Agency (EPA). regulations for the repository. AGENCY: Environmental Protection ACTION: Notice. Agency (EPA). Request for Comments on the NAS SUMMARY: This notice announces the Report ACTION: Notice. receipt of test data on ethyl acetate (CAS No. 141–78–6) and diglycidyl ether of As the first step in the public process, bisphenol A (CAS No. 1675–54–3) EPA is requesting comments on the SUMMARY: In the Federal Register of (DGEBPA), submitted pursuant to NAS Report. While comments will be August 22, 1995, EPA announced a 2– consent orders under the Toxic accepted on any part of the report, the day public meeting to receive public Substances Control Act (TSCA). Agency has several questions upon comments on whether to expand the Publication of this notice is in which it is particularly requesting reporting requirements of the Toxics compliance with section 4(d) of TSCA. comments. First, did the report Release Inventory (TRI) to include sufficiently answer the questions found chemical use data. This notice FOR FURTHER INFORMATION CONTACT: in the Act? Second, was there sufficient announces new dates for the meeting. Susan B. Hazen, Director, Environmental Assistance Division rationale to support the findings and DATES: The location of the meeting has (7408), Office of Pollution Prevention conclusions? Third, do provisions other not changed (Waterside Towers, and Toxics, Environmental Protection than those found in the findings and Conference Room, 907 6th St., SW., Agency, Rm. E–543B, 401 M St., SW., conclusions need to be included in the Washington, DC); however, the dates Washington, DC 20460, (202) 554–1404, EPA standards? Fourth, are any of the have been changed to October 18 and TDD (202) 554–0551; e-mail: TSCA- findings or conclusions which are 19, 1995, at 9 a.m. The issues paper will [email protected]. inappropriate or inaccurate regarding be available October 4, 1995, by SUPPLEMENTARY INFORMATION: Yucca Mountain? Fifth, would the cost contacting EPA at the telephone number Section of imposing the findings and listed under FOR FURTHER 4(d) of TSCA requires EPA to publish a recommendations be justifiable when INFORMATION CONTACT. In order to notice in the Federal Register reporting compared with the benefits provided? schedule speakers and accomodate the receipt of test data submitted pursuant to test rules promulgated Public Meetings attendees, please contact EPA by October 6, 1995. under section 4(a). Under 40 CFR 790.60, all results of testing conducted The second step in the standards- FOR FURTHER INFORMATION CONTACT: The pursuant to a consent order must be setting process will be to hold a series Toxic Substances Control Act Hotline, announced to the public in accordance of public meetings. The purpose of these Environmental Assistance Division, with section 4(d) of TSCA. meetings is to inform the public of the Office of Pollution Prevention and role of the Environmental Protection Toxics, 7408, Environmental Protection I. Test Data Submissions Agency including the extent and Agency, 401 M St., SW., Washington, Test data for ethyl acetate were limitations of its authority. They will DC 20460, Telephone: (202) 554–1404, submitted by The Chemical also be used to receive early comments e:mail: [email protected]. Manufacturers Association Oxo Process from and discuss issues with the public. Attention: Administrative Record No. Panel pursuant to a consent order at 40 Public meetings will be held: (a) from AR 128. CFR 799.5050. They were received by 1:00–5:00 p.m. and 6:30–9:30 p.m. on EPA on July 13, 1995. The submission September 20, 1995 in the Multi- SUPPLEMENTARY INFORMATION: The includes a final report entitled ‘‘A Ten- Purpose Building, 821 East Farm Road meeting is intended to explore issues Day Vapor Inhalation Study in the Rat.’’ in Amargosa Valley, Nevada (call Stan related to the possible collection of Ethyl acetate is used as a solvent for Sims at 702–727–7727 for directions); chemical use-related data, such as lacquers and enamel coatings, as a (b) from 1:00–5:00 p.m. and 6:30–9:30 materials accounting, under the solvent for inks, as a plastics solvent, p.m. on September 21, 1995 in Wright Emergency Planning and Community and in chemical synthesis. Hall, Room 103, University of Nevada- Right-to-Know Act or other appropriate Test data for DGEBPA were submitted Las Vegas, 4505 Maryland Parkway in Federal statutes. The purpose of the by The Society of the Plastics Industry Las Vegas, Nevada (see the campus map issues paper is to provide a focus for Epoxy Resin Systems DGEBPA Task on page 57 of the Las Vegas telephone discussion at the meeting. Speakers are Force pursuant to a testing consent directory for directions); and from 9:00 asked to bring a disk containing any order at 40 CFR Part 799.5000. They a.m.–noon and 1:00 p.m.–5:00 p.m. on written comments they may have. were received on June 14, 1995. The September 27, 1995 in the National List of Subjects submissions include a final report Gallery Ballroom, Radisson Barcelo entitled ‘‘DGEBPA: Two Week Dermal Hotel, 2121 P St., NW, in Washington, Environmental protection, Irritation Probe Study in Fischer 344 DC (call 202–293–3100 for directions). Community right-to-know. Rats’’ and a final report entitled Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices 47175 ‘‘DGEBPA: Two Week Dermal Irritation time spent by an agency representative FEDERAL RESERVE SYSTEM Study in Male B6C3F1 Mice.’’ on labor-management matters; (6) DEGEBPA is used as a principal respondent’s experience with the First United Bancshares, Inc.; Notice of component in epoxy resins which are Panel’s regulations and views over Application to Engage de novo in used for sealing and encapsulating, for various aspects of the regulations; (7) Permissible Nonbanking Activities making castings and pottings, for identification of the method(s) used to formulating light-weight foams, and as file request(s) for assistance; (8) The company listed in this notice has binders in laminates of fiber, glass, explanation for not using the Panel’s filed an application under § 225.23(a)(1) paper, wood sheets, and polyester cloth. request for assistance form; (9) of the Board’s Regulation Y (12 CFR EPA has initiated its review and suggestions for improving the form; (10) 225.23(a)(1)) for the Board’s approval under section 4(c)(8) of the Bank evaluation process for these data views on various aspects of the Panel’s Holding Company Act (12 U.S.C. submissions. At this time, the Agency is letter acknowledging receipt of the 1843(c)(8)) and § 225.21(a) of Regulation unable to provide any determination as request for assistance; (11) views on Y (12 CFR 225.21(a)) to commence or to to the completeness of the submissions. various aspects of the initial engage de novo, either directly or investigation process and on the manner II. Public Record through a subsidiary, in a nonbanking in which the Panel staff activity that is listed in § 225.25 of EPA has established a public record representative(s) conducted the Regulation Y as closely related to for this TSCA section 4(d) receipt of investigation(s); (12) if applicable, views data notice (docket number OPPTS– banking and permissible for bank on various aspects of the Panel’s 44620). This record includes copies of holding companies. Unless otherwise decision to decline to assert jurisdiction all studies reported in this notice. The noted, such activities will be conducted and explanation of the impact of that record is available for inspection from throughout the United States. decision on the parties; (13) if 12 noon to 4 p.m., Monday through applicable, views on various aspects of The application is available for Friday, except legal holidays, in the the Panel’s decision to assert immediate inspection at the Federal TSCA Nonconfidential Information Reserve Bank indicated. Once the jurisdiction in cases where an Center (NCIC) (also known as the TSCA application has been accepted for obligation-to-bargain issue was raised; Public Docket Office), Rm. B–607 processing, it will also be available for (14) views on various aspects of each of Northeast Mall, 401 M St., SW., inspection at the offices of the Board of seven specified procedures with which Washington, DC 20460. Governors. Interested persons may the respondent may have had express their views in writing on the Authority: 15 U.S.C. 2603. experience; (15) comments on how the question whether consummation of the procedures worked; (16) views on proposal can ‘‘reasonably be expected to List of Subjects holding a face-to-face procedure at the produce benefits to the public, such as Environmental protection, Test data. Panel’s office in Washington, D.C., greater convenience, increased rather than at the site of the impasse; competition, or gains in efficiency, that Dated: August 30, 1995. (17) if applicable, views on various outweigh possible adverse effects, such aspects of the Panel’s Decisions and Charles M. Auer, as undue concentration of resources, Orders and arbitration awards; (18) Director, Chemical Control Division, Office decreased or unfair competition, indication of whether the parties did of Pollution Prevention and Toxics. conflicts of interests, or unsound something other than what the Panel banking practices.’’ Any request for a [FR Doc. 95–22496 Filed 9–8–95; 8:45 am] ordered; (19) comments on the hearing on this question must be BILLING CODE 6560±50±F differences between mediation- accompanied by a statement of the arbitration by a Panel representative and reasons a written presentation would private mediation-arbitration where the not suffice in lieu of a hearing, FEDERAL LABOR RELATIONS respondent has participated in both identifying specifically any questions of AUTHORITY procedures; and (20) comments to the fact that are in dispute, summarizing the Chair. The letter accompanying the evidence that would be presented at a Federal Service Impasses Panel survey identifies (a) the group of hearing, and indicating how the party individuals asked to respond to the Information Collection Under OMB commenting would be aggrieved by survey (users of the Panel’s services in Review approval of the proposal. FY 94 and 95); (b) the time estimated for SUMMARY: The Federal Service Impasses completing and returning the survey (25 Comments regarding the application Panel submits the following information minutes or less and 14 days, must be received at the Reserve Bank collection requirement to OMB for respectively); (c) the purpose of the indicated or the offices of the Board of review and clearance under the survey (evaluation of the Panel’s Governors not later than September 25, Paperwork Reduction Act (44 U.S.C. services); and (d) how respondents can 1995. chapter 35). obtain a copy of the survey report. A. Federal Reserve Bank of St. Louis (Randall C. Sumner, Vice President) 411 DATES: September 11, 1995. Additional information or comments: Locust Street, St. Louis, Missouri 63166: The customer survey document lists Copies of the proposed survey and the following information: (1) supporting documents may be obtained 1. First United Bancshares, Inc., El Identification of respondent as either an from Linda A. Lafferty, Executive Dorado, Arkansas; to engage de novo agency or union representative; (2) Director, 607 14th Street, NW., Suite through its subsidiary, First United respondent’s organizational level of 220, Washington, D.C. 20424–0001, Trust Company, N.A., El Dorado, representation and years of experience (202) 482–6670. Arkansas, in trust company functions, in Federal sector labor-management pursuant to § 225.25(b)(3) of the Board’s relations; (3) number of cases taken Linda A. Lafferty, Regulation Y, and in providing portfolio before the Panel in 1994 and 1995; (4) Executive Director. investment advice, pursuant to § number of bargaining units and [FR Doc. 95–22500 Filed 9–8–95; 8:45 am] 225.25(b)(4)(iii) of the Board’s employees represented or serviced; (5) BILLING CODE 6727±01±M Regulation Y. 47176 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices Board of Governors of the Federal Reserve Board of Governors of the Federal Reserve GOVERNMENT PRINTING OFFICE System, September 5, 1995. System, September 5, 1995. Jennifer J. Johnson, Jennifer J. Johnson, Public Meeting for Federal, State and Deputy Secretary of the Board. Deputy Secretary of the Board. Local Agencies, and Others Interested [FR Doc. 95-22441 Filed 9-8-95; 8:45 am] [FR Doc. 95-22442 Filed 9-8-95; 8:45 am] in A Demonstration of GPO Access, the Online Service Providing the BILLING CODE 6210-01-F BILLING CODE 6210-01-F Federal Register and Other Federal Databases Malvern Bancorporation, et al.; State Street Boston Corporation; Formations of; Acquisitions by; and Change in Bank Control Notices; The Superintendent of Documents Mergers of Bank Holding Companies Acquisitions of Shares of Banks or will hold a public meeting for Federal, Bank Holding Companies; Correction state and local government agencies, The companies listed in this notice and any others interested in an have applied for the Board’s approval This notice corrects a notice (FR Doc. overview and demonstration of the under section 3 of the Bank Holding 95-20914) published on page 43800 of Government Printing Office’s online Company Act (12 U.S.C. 1842) and § the issue for Wednesday, August 23, service, GPO Access, provided under 225.14 of the Board’s Regulation Y (12 1995. the Government Printing Office CFR 225.14) to become a bank holding Electronic Information Access Under the Federal Reserve Bank of company or to acquire a bank or bank Enhancement Act of 1993 (Public Law Boston heading, the entry for State holding company. The factors that are 103–40). considered in acting on the applications Street Boston Corporation, Boston, The demonstration will be held are set forth in section 3(c) of the Act Massachusetts, is revised to read as (12 U.S.C. 1842(c)). follows: Thursday, October 19, 9 a.m.–10:30 a.m. and 11 a.m.–12:30 p.m. at the Johnson 1. State Street Boston Corporation, Each application is available for County Library, 9875 West 87 St., Boston, Massachusetts; to establish, immediate inspection at the Federal Overland Park, Kansas 66212. There is through its subsidiary, Boston Financial Reserve Bank indicated. Once the no charge to attend. application has been accepted for Data Services, Inc., Quincy, processing, it will also be available for Massachusetts, a de novo joint venture, The online Federal Register Service inspection at the offices of the Board of BancBoston State Street Investor offers access to the daily issues of the Governors. Interested persons may Services, L.P., Canton, Massachusetts, Federal Register by 6 a.m. on the day express their views in writing to the with The First National Bank of Boston, of publication. All notices, rules and Reserve Bank or to the offices of the N.A., Boston, Massachusetts, as co- proposed rules, Presidential documents, Board of Governors. Any comment on venturer, and thereby perform functions executive orders, separate parts, and an application that requests a hearing and activities that may be performed by reader aids are included in the database must include a statement of why a a trust company and provide data as ASCII text files, with graphics written presentation would not suffice processing and data transmission provided in TIFF format and as Adobe in lieu of a hearing, identifying services and activities incidental Acrobat Portable Document Format files specifically any questions of fact that thereto, pursuant to § 225.25(b)(3) and (PDF). The online Federal Register is are in dispute and summarizing the (b)(7) of the Board’s Regulation Y. The available via the Internet or as a dial-in evidence that would be presented at a services provided by the joint venture service. Historical data is available from hearing. may include the processing of creditor January 1994 forward. Unless otherwise noted, comments claims in bankruptcy proceedings or Other databases currently available regarding each of these applications plaintiff claims in class action legal online through GPO Access include the must be received not later than October proceedings, including processing claim Congressional Record; Congressional 5, 1995. information received from creditors and Record Index, including the History of A. Federal Reserve Bank of plaintiffs, creating a database regarding Bills; Congressional Bills; Public Laws; Philadelphia (Michael E. Collins, Senior creditors and plaintiffs, responding to U.S. Code; and GAO Reports. Vice President) 100 North 6th Street, inquiries from creditors and plaintiffs, Individuals interested in attending Philadelphia, Pennsylvania 19105: and printing and remitting payments to may reserve a space by contacting John 1. Malvern Bancorporation, Malvern, creditors and plaintiffs. Boston Berger, Product Manager at the GPO’s Pennsylvania; to become a bank holding Financial Data Services, Inc., is equally Office of Electronic Information company by acquiring 100 percent of owned by State Street Boston Dissemination Services, by Internet e- the voting shares of The National Bank Corporation and DST Systems, Inc. mail at [email protected]; by of Malvern, Malvern, Pennsylvania. Comments on this application must telephone: 202–512–1525; or by fax: B. Federal Reserve Bank of Atlanta be received by September 18, 1995. 202–512–1262 . Seating reservations (Zane R. Kelley, Vice President) 104 Board of Governors of the Federal Reserve will be accepted through Friday, Marietta Street, N.W., Atlanta, Georgia System, September 6, 1995. October 13, 1995. 30303: Jennifer J. Johnson, Dated: August 23, 1995. 1. Alabama National Bancorporation, Deputy Secretary of the Board. Michael F. DiMario, Shoal Creek, Alabama; to merge with National Commerce Corporation, [FR Doc. 95-22574 Filed 9-8-95; 8:45 am] Public Printer. Birmingham, Alabama, and thereby BILLING CODE 6210-01-F [FR Doc. 95–22243 Filed 9–8–95; 8:45 am] indirectly acquire Commerce BILLING CODE 1505±02±F Bankshares, Inc., Birmingham, Alabama, and National Bank of Commerce, Birmingham, Alabama. Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices 47177 Public Meeting for Federal, State and service. Historical data is available from requests under review, in compliance Local Agencies, and Others Interested January 1994 forward. with the Paperwork Reduction Act (44 in a Demonstration of GPO Access, the Other databases currently available U.S.C. Chapter 35). To request a copy of Online Service Providing the Federal online through GPO Access include the these requests, call the PHS Reports Register and Other Federal Databases Congressional Record; Congressional Clearance Office on (202)–690–7100. Record Index, including the History of 1. Interdisciplinary Generalist The Superintendent of Documents Bills; Congressional Bills; Public Laws; Curriculum (IGC) Project: External will hold a public meeting for Federal, U.S. Code; and GAO Reports. Evaluation—New—The main focus of state and local government agencies, Individuals interested in attending the IGC project deals with the medical and any others interested in an may reserve a space by contacting John faculty and curriculum by requiring overview and demonstration of the Berger, Product Manager at the GPO’s demonstration schools to develop Government Printing Office’s online Office of Electronic Information collaborative, clinically-oriented service, GPO Access, provided under Dissemination Services, by Internet e- teaching during the first two years of the Government Printing Office mail at [email protected]; by medical school among the generalist telephone: 202–512–1525; or by fax: Electronic Information Access faculty, require primary care, 202–512–1262 . Seating reservations Enhancement Act of 1993 (Public Law community-based preceptorships for will be accepted through Monday, 103–40). The demonstration will be first and second year medical students, October 2, 1995. held Friday, October 6, 8:30 A.M.–10 and expose students to 150 hours of A.M. and 10:30 a.m.–12: p.m. at the Dated: August 23, 1995. curriculum time in the preclinical years Phoenix Center, 2701 South Minnesota Michael F. DiMario, (half of which must be devoted to direct Avenue, Sioux Falls, South Dakota Public Printer. supervised patient care experiences; schools funded for the IGC will 57105. There is no charge to attend. [FR Doc. 95–22244 Filed 9–8–95; 8:45 am] implement their own curricula which The online Federal Register Service BILLING CODE 1505±02±F adhere to these guidelines. Two mail offers access to the daily issues of the surveys will be conducted for the Federal Register by 6 a.m. on the day evaluation of the Interdisciplinary of publication. All notices, rules and DEPARTMENT OF HEALTH AND Generalist Curriculum Project; a proposed rules, Presidential documents, HUMAN SERVICES longitudinal survey of faculty at the IGC executive orders, separate parts, and Public Health Service demonstration schools on attitudes, reader aids are included in the database beliefs and observations about the IGC as ASCII text files, with graphics Agency Forms Undergoing Paperwork innovations, and a survey of deans at provided in TIFF format and as Adobe Reduction Act Review medical schools and colleges of Acrobat Portable Document Format files osteopathic medicine on the (PDF). The online Federal Register is Periodically, the Public Health (PHS) implementation of similar curriculum available via the Internet or as a dial-in publishes a list of information collection innovations. Number of Average Number of responses burden per Title respondents per re- response spondent (hour) Faculty Survey ...... 1552 1 .25 Survey of Deans ...... 153 1 .5 Estimated Total Annual Burden: 465 hours. Written comments and DEPARTMENT OF HOUSING AND imposed against contractors and recommendations concerning the URBAN DEVELOPMENT participants in HUD programs under proposed information collections certain circumstances. The Assistant should be sent within 30 days of this Office of the Assistant Secretary for Secretary for Public and Indian Housing notice to: Allison Eydt, Human Public and Indian Housing redelegates authority to issue LDPs, as Resources and Housing Branch, Office specified, to the Directors and Deputy [Docket No. FR±3932±D±01] of Management and Budget. New Directors of Public Housing and to the Administrators of Field Offices of Executive Office Building, Room 10235, Redelegation of Authority Washington, DC 20503. Native American Programs. AGENCY: Office of the Assistant James Scanlon, EFFECTIVE DATE: September 1, 1995. Secretary for Public and Indian Director, Data Policy Staff, Office of the Housing, HUD. FOR FURTHER INFORMATION CONTACT: Assistant Secretary for Health and PHS Casimir Bonkowski, Office of Public and Reports Clearance Officer. ACTION: Notice of redelegation of authority. Indian Housing, Department of Housing [FR Doc. 95–22377 Filed 9–8–95; 8:45 am] and Urban Development, 451 7th Street, BILLING CODE 4160±01±M SUMMARY: In this notice, the Assistant S.W., Room 4228, Washington, D.C. Secretary for Public and Indian Housing 20410, (202) 708–0440; or Dominic redelegates to certain HUD officials in Nessi, Director, Office of Native field offices (also referred to as State and American Programs, 451 7th Street, Area offices) the power and authority to S.W., Room B–133, Washington, DC order Limited Denials of Participation 20410, (202) 755–0032. A (LDPs). A Limited Denial of telecommunications device for the Participation is a sanction which may be hearing-impaired is available at 202– 47178 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices 708–0850. (These are not toll-free DEPARTMENT OF THE INTERIOR roads and trails year round or limit numbers.) motorized vehicle use to all-terrain Bureau of Land Management vehicles and snowmobiles. State and SUPPLEMENTARY INFORMATION: The HUD [CO±016±1220±00] local agencies and neighboring regulations at 24 CFR 24.700 provide landowners expressed concerns that that officials designated by the Temporary Travel Restrictions for the recent easements and acquisitions Secretary, including the Assistant Serviceberry Mountain Area of would open public lands in the Secretary for Public and Indian Colorado Serviceberry Mountain area to Housing, are authorized to order motorized traffic and cause Limited Denials of Participation (LDPs) AGENCY: Bureau of Land Management, unacceptable impacts to natural and to redelegate this authority. In the Department of the Interior. resources, especially wildlife and soils. present redelegation, the Assistant ACTION: Order of Area, Road and Trail In addition, consistent motor vehicle Secretary for Public and Indian Housing Use Restriction. limitations are needed throughout the redelegates to the Director and the adjoining public lands in the SUMMARY: This order closes certain Serviceberry Mountain area to avoid Deputy Director of Public Housing for public lands to motorized vehicle use public confusion. The affected public each HUD field office (also referred to (except snowmobiles) in the lands includes identified soil erosion as a State or Area office) and to the Serviceberry Mountain area of the Little hazards and important high quality big Administrator of each Field Office of Snake Resource Area, Craig district. game habitat. Native American Programs, the This order modifies the ‘‘unclassified’’ authority to order Limited Denials of Given due consideration of the Off-Highway Vehicle (OHV) designation concerns expressed by the public and Participation relating to programs under (3,108 acres) on public lands newly potential impacts of unrestricted the jurisdiction of the Assistant acquired through the Bridges Land motorized vehicle use, a modification of Secretary for Public and Indian Exchange (COC54336). It also modifies existing OHV use designations is Housing. the existing ‘‘open’’ (3,246 acres) and necessary to adequately protect natural Accordingly, the Assistant Secretary ‘‘limited’’ (1440 acres) OHV resources on public land, minimize for Public and Indian Housing designations on public lands adjoining conflicts with other uses, prevent redelegates authority as follows: the public lands acquired through the trespass problems, and ensure public exchange. This order is issued under the safety until these issues can be more Section A. Authority Redelegated authority of 43 CFR 8364.1 and 43 CFR thoroughly addressed in activity 8341.2(a) as a temporary measure while planning for these areas. Provisions will The Assistant Secretary for Public and the off-highway vehicle (OHV) Indian Housing redelegates the power be made to allow for necessary management portion of the Little Snake motorized travel on the public lands for and authority to order Limited Denials Resource Area Resource Management of Participation pursuant to 24 CFR administrative purposes and to facilitate Plan is reviewed and modified as non-motorized public access to the 24.700, whenever the program under needed to address public issues, public lands. which the cause for LDP arose is a concerns and needs, as well as resource The area, roads, and trails affected by program under the jurisdiction of the uses, development, impacts and this order will be posted with Assistant Secretary for Public and protection. appropriate regulatory signs. Indian Housing, to the Director and the This Order Affects All Public Lands in the Information, including detailed maps of Deputy Director of Public Housing for Serviceberry Mountain Area of Moffat the restricted area, roads and trails will each HUD field office (also referred to County Within be available at the access sites and in as a State or Area office) and to the T. 12 N,, R. 90 W., 6th PM the Resource Area Office and District Administrator of each Field Office of Sec. 21, S. 1⁄2 S. 1⁄2 (south of the fence line) Office at the addresses shown below. Native American Programs. Sec. 28 Persons who are exempt from the Sec. 29 restrictions contained in this notice Section B. No Authority to Further Sec. 31 include: Redelegate Sec. 32 1. Any Federal, State, or local officers Sec. 33 engaged in fire, emergency and law The authority granted in Section A, T. 11 N,, R. 90 W., 6th PM above, may not be further redelegated Sec. 5 enforcement activities. 2. BLM employees engaged in official pursuant to this redelegation. Sec. 6 Sec. 7 duties. Authority: Sec. 7(d) of the Department of Sec. 8 3. Persons or agencies holding a valid HUD Act (42 U.S.C. 3535(d)). Sec. 17 permit or right-of-way on or across the Dated: September 1, 1995. Sec. 18 restricted public land for access to Sec. 19 Michael B. Janis, private land, for purposes related to the Sec. 20 access of private land only. General Deputy Assistant Secretary for Public Sec. 21 4. Persons or agencies holding a and Indian Housing. Sec. 29 special use permit or right-of-way for Sec. 30 [FR Doc. 95–22383 Filed 9–8–95; 8:45 am] access to maintenance and operation of BILLING CODE 4210±33±M EFFECTIVE DATES: This restriction order authorized facilities within the shall be effective September 14, 1995, restricted area, for purposes related to and shall remain in effect until access for maintenance and operation of rescinded or modified by the authorized facilities, and provided such Authorized Officer. motorized use is limited to the routes SUPPLEMENTARY INFORMATION: Current specifically identified in the special use OHV use designations for public lands permit or right-of-way. in the Serviceberry Mountain area, 5. Grazing permittees authorized allow motorized vehicle use on and off during the permitted grazing season for Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices 47179 grazing related purposes provided such 2. A right of way to the United States Recreation and Public Purposes Act and motorized use is limited to existing for ditches and canals, pursuant to the applicable regulations of the Secretary roads and trails and subject to any Act of August 30, 1890 (43 U.S.C. 945). of the Interior, and will contain the additional conditions in the grazing 3. A reservation of all minerals to the following reservations to the United permit. Any motorized use before or United States, and the right to prospect, States: after the permitted grazing season mine and remove the minerals. 1. A right-of-way thereon for ditches necessary for maintenance and 4. A declaratory covenant stating that or canals constructed by the authority of operation of range facilities shall require the site has been used for disposal of the United States Act of August 30, 1890 advance approval by the authorized solid waste. (43 U.S.C. 945). officer specifically authorizing such use Publication of this Notice in the 2. All minerals shall be reserved to and subject to whatever restrictions are Federal Register segregates the public the United States, together with the deemed necessary. lands from all other forms of right to prospect for, mine and remove Penalties: Violations of this restriction appropriation under the public land such deposits from the same under order are punishable by fines not to laws and the general mining laws, but applicable law and such regulations as exceed $1,000 and/or imprisonment not not the mineral leasing laws or the the Secretary of the Interior may to exceed 12 months. Recreation and Public Purpose Act. prescribe. FOR FURTHER INFORMATION CONTACT: Detailed information concerning this Detailed information concerning this action is available for review at the John Husband, Area Manager, Little action is available for review at the California Desert District, 6221 Box Snake Resource Area, 1280 Industrial office of the Bureau of Land Springs Blvd., Riverside, CA 92507. For Avenue, Craig, Colorado 81625, (970) Management, Las Vegas District, 4765 a period of 45 days after publication of 824–4441 W. Vegas Drive, Las Vegas, Nevada. this notice in the Federal Register Mark Morse, District Manager, Craig Upon publication of this notice in the interested parties may submit comments District Office, 455 Emerson Street, Federal Register, the above described to the District Manager, California Craig, Colorado 81625–1129, (970) land will be segregated from all other Desert District, in care of the above 824–8261 forms of appropriation under the public address. Objections will be reviewed by land laws, including the general mining Carroll M. Levitt, the State Director, who may sustain, laws, except for conveyance under the Acting District Manager. vacate, or modify this realty action. In Recreation and Public Purposes Act, [FR Doc. 95–22299 Filed 9–8–95; 8:45 am] the absence of any adverse comments, leasing under the mineral leasing laws BILLING CODE 4310±JB±M the classification will become effective and disposals under the mineral November 13, 1995. material disposal laws. Dated: August 24, 1995. By no later than October 26, 1995, [CA±064±05±1430±00, CARI 1366] Henri R. Bisson, interested parties may submit comments Notice of Realty Action; Transfer of District Manager. regarding the proposed conveyance for Public Lands, Kern County, California [FR Doc. 95–22261 Filed 9–8–95; 8:45 am] classification of the lands to the District BILLING CODE 4310±40±P Manager, Las Vegas District, 4765 W. AGENCY: Bureau of Land Management, Vegas Drive, Las Vegas, Nevada 89108. Department of the Interior. [NV±930±4210±05; N±59989] CLASSIFICATION COMMENTS: Interested ACTION: Notice of Realty Action; parties may submit comments involving Recreation and Public Purpose Act Notice of Realty Action: Conveyance the suitability of the land for a Transfer Kern County, California. for Recreation and Public Purposes municipal solid waste landfill. Comments on the classification are SUMMARY: The following described land AGENCY: Bureau of Land Management. restricted to whether the land is has been examined and found suitable ACTION: Recreation and public purpose physically suited for the proposal, for classification for transfer to Kern conveyance. whether the use will maximize the County under the provisions of the future use or uses of the land, whether Recreation and Public Purposes Act, as SUMMARY: The following described the use is consistent with local planning amended (43 U.S.C. 869 et seq.). public land near Laughlin, Clark and zoning, or if the use is consistent County, Nevada has been examined and Mount Diablo Meridian with State and Federal programs. found suitable for conveyance for T.27S., R.39E., recreational or public purposes under APPLICATION COMMENTS: Interested Section 12: NW1⁄4SW1⁄4, W1⁄2NW1⁄4. the provisions of the Recreation and parties may submit comments regarding Containing 120 acres of public land, more Public Purposes Act, as amended (43 the specific use proposed in the or less. U.S.C. 869 et seq.). Clark County application and plan of development, SUPPLEMENTARY INFORMATION: The proposes to use the land for a municipal whether the BLM followed proper County of Kern has applied to transfer solid waste landfill. administrative procedures in reaching the site currently leased for the the decision, or any other factor not Mount Diablo Meridian, Nevada Ridgecrest Landfill. The lands are not directly related to the suitability of the needed for Federal purposes and T. 32 S., R. 66 E., land for a municipal solid waste 1 1 conveyance would be consistent with Sec. 8: NE ⁄4NE ⁄4; landfill. Sec. 9: NW1⁄4NW1⁄4. the 1980 California Desert Conservation Any adverse comments will be Area Plan, as amended. The lease and Containing 80 acres, more or less. reviewed by the State Director. In the conveyance of the land would be subject The land is not required for any absence of any adverse comments, the to the following terms and conditions: federal purpose. The conveyance is classification of the land described in 1. Provisions of the Recreation and consistent with current Bureau planning this Notice will become effective Public Purpose Act and applicable for this area and would be in the public November 13, 1995. The lands will not regulations of the Secretary of the interest. The patent, when issued, will be offered for conveyance until after the Interior. be subject to the provisions of the classification becomes effective. 47180 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices Dated: August 30, 1995. establish and administer an office on Recision of the Record of Decision on Michael F. Dwyer, Central Valley Project water the Final Environmental Impact District Manager, Las Vegas, NV. conservation best management practices Statement for the Narrows Project, [FR Doc. 95–22379 Filed 9–8–95; 8:45 am] that shall * * * develop criteria for Small Reclamation Loan Program, BILLING CODE 4310±HC±P evaluating the adequacy of all water Utah conservation plans developed by project contractors, including those plans AGENCY: Bureau of Reclamation, Bureau of Reclamation required by section 210 of the Interior. Reclamation Reform Act of 1982.’’ Also, ACTION: Notice. Central Valley Project Improvement according to Section 3405(e)(1), these Act, Criteria for Evaluating Water criteria will be developed ‘‘* * * with Conservation Plans the purpose of promoting the highest SUMMARY: Pursuant to the National level of water use efficiency reasonably Environmental Policy Act (NEPA) of AGENCY: Bureau of Reclamation, achievable by project contractors using 1969, as amended, the Department of Interior. best available cost-effective technology the Interior, Bureau of Reclamation ACTION: Notice of draft decision of and best management practices.’’ (Reclamation), has prepared a final evaluation of water conservation plans. The MP Criteria states that all parties environmental impact statement (EIS) (districts) that contract with on the proposed Narrows Project. The SUMMARY: To meet the requirements of EIS describes and presents the the Central Valley Project Improvement Reclamation for water supplies (municipal and industrial contracts environmental effects of three Act (CVPIA), the Bureau of Reclamation alternatives, including no action, for a (Reclamation) developed and published greater than 2,000 acre feet and agricultural contracts over 2,000 multiple purpose water development the Criteria for Evaluating Water project that would provide water for Conservation Plans (Criteria) dated irrigable acres) will prepare water conservation plans which will be irrigation and municipal use in north April 30, 1993. These Criteria were Sanpete County, Utah. This notice is for developed based on information evaluated by Reclamation based on the following required information detailed the purpose of rescinding the Record of provided during public scoping and Decision for this FEIS. public review sessions held throughout in the steps listed below to develop, Reclamation’s Mid-Pacific (MP) Region. implement, monitor, and update their FOR FURTHER INFORMATION CONTACT: Reclamation uses these Criteria to water conservation plans. The steps are: Charles A. Calhoun, Regional Director, evaluate the adequacy of all water 1. Coordinate with other agencies and Upper Colorado Region, Bureau of conservation plans developed by project the public. Reclamation, UC–100, Mail Room 6107, contractors in the MP Region, including 2. Describe the district. 125 South State Street, Salt Lake City, those required by the Reclamation 3. Inventory water resources. Utah 84138–1102; Telephone: (801) Reform Act of 1982. The Criteria were 4. Review the past water conservation 524–5592. plan and activities. developed and the plans evaluated for SUPPLEMENTARY INFORMATION: On July 5. Identify best management practices the purpose of promoting the most 28, 1995, the Carbon Water Committee, to be implemented. efficient water use reasonably et. al., filed an action in the United achievable by all MP Region’s 6. Develop schedules, budgets, and States District Court against contractors. Reclamation made a projected results. Reclamation for declaratory judgment commitment (stated within the Criteria) 7. Review, evaluate, and adopt the and injunctive relief. The primary to publish a notice of its draft water conservation plan. assertion in the complaint is that determination on the adequacy of each 8. Implement, monitor, and update Reclamation failed to comply with contractor’s water conservation plan in the water conservation plan. NEPA, in the preparation of the final the Federal Register and to allow the The MP contractors listed below have environmental impact statement (EIS) public a minimum of 30 days to developed water conservation plans for the proposed Narrows Project. comment on its preliminary which Reclamation has evaluated and determinations. This program is on- preliminarily determined meet the The complaint alleges a conflict of going; an updated list will be published requirements of the Criteria. interest on the part of the contractor that to recognize districts as plans are • Clear Creek Community Services Sanpete Water Conservancy District revised to meet the Criteria. District hired to prepare the EIS and the Loan • application. By this recision action, DATES: All public comments must be Fresno Irrigation District • Orland-Artois Water District Reclamation intends to initiate a close received by Reclamation by October 11, review of the NEPA document, • Stockton East Water District 1995. specifically in light of a possible conflict Public comment on Reclamation’s ADDRESSES: Please mail comments to of interest, to determine whether the preliminary (i.e., draft) determinations the address provided below. contractor accurately portrayed the at this time is invited. Copies of the FOR FURTHER INFORMATION CONTACT: environmental consequences of the plans listed above will be available for Debra Goodman, Bureau of Reclamation, proposed action, both for the public and review at Reclamation’s MP Regional 2800 Cottage Way, MP–402, the decision makers. Office and MP’s area offices. If you wish Sacramento, CA 95825. To be placed on to review a copy of the plans, please Any further action under NEPA or a mailing list for any subsequent contact Ms. Goodman to find the office processing of the loan application will information, please write Debra nearest you. await the outcome of this review. Goodman or telephone at (916) 979– 2397. Dated: August 28, 1995. Dated: September 6, 1995. SUPPLEMENTARY INFORMATION: Under Franklin E. Dimick, Charles A. Calhoun, provisions of Section 3405(e) of the Assistant Regional Director. Regional Director. CVPIA (Title 34 of Public Law 102–575), [FR Doc. 95–22300 Filed 9–8–95; 8:45 am] [FR Doc. 95–22498 Filed 9–8–95; 8:45 am] ‘‘The Secretary (of the Interior) shall BILLING CODE 4310±94±M BILLING CODE 4310±94±M Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices 47181 National Park Service initiated with the Fort Belknap INTERNATIONAL DEVELOPMENT Community Council, the Prairie Island COOPERATION AGENCY Notice of Inventory Completion of Community Council, the Shakopee Native American Human Remains in Sioux Community Council, the Upper Agency for International Development the Possession of the Utah Field Sioux Board of Trustees, the Lower House of Natural History State Park, Sioux Indian Community Council, the Housing Guaranty Program; Notice of Vernal, UT Flandreau Santee Sioux Executive Investment Opportunity AGENCY: National Park Service, Interior Committee, the Santee Sioux Tribal The U.S. Agency for International Council, the Sisseton-Wahpeton Sioux ACTION: Notice Development (USAID) has authorized Tribal Council, the Lower Brule Sioux the guaranty of loans to the Notice is hereby given in accordance Tribal Council, the Rosebud Sioux Infrastructure Leasing & Financial with provisions of the Native American Tribal Council, the Cheyenne River Services Limited, Bombay, Indian, Graves Protection and Repatriation Act, Sioux Tribal Council, the Oglala Sioux (‘‘Borrower’’) as part of USAID’s 25 U.S.C. 3003(d), of the completion of Tribe, the Devils Lake Sioux Tribe, the development assistant program. The an inventory of human remains in the Fort Peck Tribal Executive Board, the proceeds of these loans will be used to possession of the Utah Field House of Crow Creek Sioux Tribal Council, and finance a prototype program designed to Natural History State Park, Vernal UT. the Yankton Sioux Tribal Business and demonstrate the feasibility of private In May, 1953, a Ms. Wadel (or Wadell) Claims. sector provision of infrastructure in donated a single cranium to the Utah Based on the above mentioned India for the benefit of low income Field House of Natural History State information, officials of the Utah Field families. At this time, the Borrower Park. Writing on the occipital vault House of Natural History State Park plans to request bids from eligible reads: ‘‘skull of Sioux Chief Gall. Age 99 have determined pursuant to 25 U.S.C. lenders for a loan of $25.0 Million U.S. years and 7 months. Died 1879 at (2) that there is a relationship of shared Dollars (US$25,000,000). The name and Poplar, Montana, then the Ft. Peck group identity which can be reasonably address of the Borrower’s Military Post. He surrendered to General traced between this cranium and the representatives to be contacted by Miles.’’ Standing Rock Tribe. interested U.S. lenders or investment A detailed inventory and assessment bankers, the amount of the loan and of this human cranium has been made This notice has been sent to lineal project number are indicated below: by Utah Field House professional descendants of Chief Gall and to Infrastructure Leasing & Financial curatorial staff and specialists in officials of the Standing Rock Sioux Service Limited, India physical anthropology, forensic Tribal Council, the Fort Belknap anthropology, and prehistoric Community Council, the Prairie Island Project No.: 386–HG–IV archaeology in consultation with the Community Council, the Shakopee Housing Guaranty Loan Nos.: 386–HG– Standing Rock Sioux Tribal Council. Sioux Community Council, the Upper 015–AO1, 386–HG–016–AO1 Osteometric and forensic analyses by Sioux Board of Trustees, the Lower Amount: US$25,000,000 Dr. George Gill and Dr. Michael Charney Sioux Indian Community Council, the Attention: established that the cranium is siouan in Flandreau Santee Sioux Executive (1) Mr. Hari Shankaran, Vice President, configuration. Many of the details Committee, the Santee Sioux Tribal Infrastructure Leasing & Financial written on the skull are at variance with Council, the Sisseton-Wahpeton Sioux Services Ltd., India Habitat Centre, generally acknowledged dates and Tribal Council, the Lower Brule Sioux 4th Floor, East Court, Zone VI, Lodhi locations of Chief Gall’s life. However, Tribal Council, the Rosebud Sioux Road, New Delhi 110 003, India; a photographic superimposition of the Tribal Council, the Cheyenne River Telefax No.: 011–(91–11) 463–6651 skull with known photographs of Sioux Tribal Council, the Oglala Sioux (preferred communication); Hunkpapa Chief Gall reveals a striking Tribe, the Devils Lake Sioux Tribe, the Telephone Nos.: 011–(91–11) 463– similarity in form. Fort Peck Tribal Executive Board, the 6637, 463–6641, 463–6642 Contact with the Standing Rock Sioux Crow Creek Sioux Tribal Council, and (2) Mr. Ravi Parthasarathy, Managing Tribal Council and the family of Gall’s the Yankton Sioux Tribal Business and Director, Infrastructure Leasing and descendants was initiated in June 1991. Claims Committee. Individuals or Financial Services Ltd., Mahindra On October 4, 1991, a grave located in representatives of any other indian tribe Towers, 4th Floor, Road No. 13, the St. Elizabeth Episcopal Cemetery, on that believes itself to be culturally Worli, Bombay 400 018; Telefax No.: the Standing Rock Sioux Tribe affiliated with these human remains 011–(91–22) 493–0080 (preferred Reservation and said to be the burial site should contact Dr. Sue Ann Bilbey, communication); Telephone Nos.: of Chief Gall was exhumed. Family Curator, Utah Field House of Natural 011–(91–22) 493–5190, 496–4353, members, a mortician, a doctor, and the History State Park, 235 East Main, 493–5127 South Dakota State Anthropologist, Vernal UT 84078, telephone (801)789– Interested lenders should contact the witnessed the excavation. The grave 3799 on or before [thirty days after Borrower and USAID immediately upon appeared to have not been previously publication of this notice in the Federal receipt of this Notice and indicate their disturbed. A shattered cranium in the Register]. Repatriation of the cranium to interest in bidding on the proposed grave yielded no corroborating the Standing Rock Sioux Tribe may financing. Those lenders expressing measurements. The lineal descendants begin after that date if no additional interest will be included in a short list of Chief Gall are satisfied that the claimants come forward. maintained by USAID for the purpose of remains in the grave are of their Dated: September 1, 1995 facilitating an accelerated auction ancestor. Francis P. McManamon procedure as and when the actual bid The Standing Rock Tribal Council date is set. It is anticipated that the acknowledges the lineal descendants Departmental Consulting Archeologist bidding will occur sometime in mid to decision on the identity of the cranium. Chief, Archeological Assistance Division late September, 1995. As soon as the bid Following the decision by Gall’s lineal [FR Doc. 95–22375; Filed 9–8–95; 8:45 am] date is established, and in lieu of decendants, broader consultation was BILLING CODE 4310±70±F another public notice, a formal Notice of 47182 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices Investment Opportunity will be Selection of investment bankers and/ Respondent is not currently authorized provided directly to those firms or lenders and the terms of the loan are to handle controlled substances in the appearing on the short list. The time initially subject to the individual State of New Mexico. between the actual receipt of the Notice discretion of the Borrower, and Respondent filed a request for a of Investment Opportunity announcing thereafter, subject to approval by hearing on the issues raised by the the bid date, and the due date for bids, USAID. Disbursements under the loan Order to Show Cause, and the matter may be as little as 24 hours. will be subject to certain conditions was docketed before Administrative Lenders seeking to be included in the required of the Borrower by USAID as Law Judge Paul A. Tenney. On May 2, short list should submit their name, set forth in agreements between USAID 1995, the Government filed a motion for address and telefax number to: Mr. and the Borrower. The full repayment of summary disposition, which was Charles Billand, Assistant Director, Mr. the loans will be guaranteed by USAID. accompanied by a Decision and Order of Peter Pirnie, Financial Advisor, U.S. The USAID guaranty will be backed by the New Mexico Board of Pharmacy Agency for International Development, the full faith and credit of the United dated September 15, 1994. The Board of Office of Environment and Urban States of America and will be issued Pharmacy ordered the revocation of Programs, G/ENV/UP, Room 409, SA– pursuant to authority in Section 222 of Respondent’s state registration to handle 18, Washington, DC 20523–1822; Telex the Foreign Assistance Act of 1961, as controlled substances based upon the No.: 892703 AID WSA; Telefax Nos.: amended (the ‘‘Act’’). May 20, 1994, revocation of his state 703/875–4384 or 875–4639 (preferred Lenders eligible to receive the USAID medical license. As a result, the communication); Telephone Nos.: 703/ guaranty are those specified in Section Government contended that Respondent 875–4300 or 875–4510. 238(c) of the Act. They are: (1) U.S. is not authorized to handle controlled The Borrower is currently considering citizens; (2) domestic U.S. corporations, substances in the State of New Mexico. the following terms: partnerships, or associations On May 9, 1995, the Respondent filed (1) Amount: U.S. $25.0 million. substantially beneficially owned by U.S. a response to the Government’s motion. (2) Term: 30 years. citizens; (3) foreign corporations whose In his response, Respondent argued in (3) Grace Period: Ten years grace on share capital is at least 95 percent part, that due process required a hearing repayment of principal. (During grace owned by U.S. citizens; and (4) foreign in this matter. period, semi-annual payments of partnerships or associations wholly On May 10, 1995, in his opinion and interest only). If variable interest rate, owned by U.S. citizens. recommended decision, the repayment of principal to amortize in Information as to the eligibility of administrative law judge found that equal, semi-annual installments over the investors and other aspects of the Respondent lacks authorization to remaining 20-year life of the loan. If USAID housing guaranty program can handle controlled substances in the fixed interest rate, semi-annual level be obtained from: Mr. Michael J. Lippe, State of New Mexico. The payments of principal and interest over Director, Office of Environment and administrative law judge therefore the remaining 20-year life of the loan. Urban Programs, U.S. Agency for granted the Government’s motion for (4) Interest Rate: Alternatives of fixed International Development, Room 409, summary disposition and recommended rate, and variable rate are requested. SA–18, Washington, DC 20523–1822; that Respondent’s DEA Certificate of (a) Fixed Interest Rate: If rates are to Fax Nos: 703/875–4384 or 875–4639; Registration be revoked. be quoted based on a spread over an Telephone: 703/875–4300. index, the lender should use as its index On June 5, 1995, the Respondent filed Dated: September 6, 1995. a letter with the administrative law a long bond, specifically the 67⁄8% U.S. Treasury Bond due August 15, 2025. Michael G. Kitay, judge requesting that the latter stay any Such rate is to be set at the time of Assistant General Counsel, Bureau for Global dismissal of his DEA registration acceptance. Programs, Field Support and Research, U.S. without a hearing. On June 6, 1995, the (b) Variable Interest Rate: To be based Agency for International Development. administrative law judge issued an on the six-month British Bankers [FR Doc. 95–22557 Filed 9–8–95; 8:45 am] order in which he interpreted the Association LIBOR, or the yield (B.E.Y.) BILLING CODE 6116±01±M Respondent’s letter as a motion for of the 26 week U.S. Treasury Bill, reconsideration of his ruling on the preferably with terms relating to the Government’s motion for summary Borrower’s right to convert to fixed. The DEPARTMENT OF JUSTICE disposition. The administrative law rate should be adjusted weekly. judge found that Respondent failed to (5) Prepayment: Drug Enforcement Administration provide any new information regarding the revocation of his state medical (a) Offers should include an option for [Docket No. 95±31] prepayment and mention prepayment license, and accordingly, denied premiums, if any. Charles L. Novosad, Jr., M.D.; Respondent’s motion for (b) Federal statutes governing the Revocation of Registration reconsideration. activities of USAID require that the On June 12, 1995, Respondent filed proceeds of USAID-guaranteed loans be On March 14, 1995, the Deputy exceptions to the administrative law used to provide affordable shelter and Assistant Administrator, Office of judge’s opinion and recommended related infrastructure and/or services to Diversion Control, Drug Enforcement ruling. The Respondent presented below median-income families. In the Administration (DEA), issued an Order arguments pertaining to actions taken by extraordinary event that the Borrower to Show Cause to Charles L. Novosad, the New Mexico Board of Medical materially breaches its obligation to Jr., M.D. (Respondent), of Pojoaque, Examiners and the New Mexico Board comply with this requirement, USAID New Mexico. The Order to Show Cause of Pharmacy. The Deputy Administrator reserves the right, among its other rights proposed to revoke Respondent’s DEA has carefully considered the entire and remedies, to accelerate the loan. Certificate of Registration, AN5283697, record in this matter and, pursuant to 21 (6) Closing Date: As early as under 21 U.S.C. 824(a)(3), and deny any CFR 1316.67, hereby issues his final practicable with best efforts to close in pending applications for renewal of order in this matter based upon findings 30 days, but not to exceed 60 days from such registration under 21 U.S.C. 823(f). of fact and conclusions of law as date of selection of lender. The Order to Show Cause alleged that hereinafter set forth. Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices 47183 The Deputy Administrator adopts the Dated: September 5, 1995. The Department is again amending the opinion and recommended decision of Stephen H. Greene, certification to cover these workers. the administrative law judge in its Deputy Administrator. The intent of the Department’s entirety. The Drug Enforcement [FR Doc. 95–22400 Filed 9–8–95; 8:45 am] certification is to include all workers of Administration cannot register or BILLING CODE 4410±09±M Amerada Hess adversely affected by maintain the registration of a increased imports. practitioner who is not duly authorized The amended notice applicable to to handle controlled substances in the DEPARTMENT OF LABOR TA–W–30,647 is hereby issued as state in which he conducts his business. follows: 21 U.S.C. 802(21), 823(f) and 824(a)(3). Employment and Training ‘‘All workers of Amerada Hess This prerequisite has been consistently Administration Corporation, headquartered in Houston, upheld. See James H. Nickens, M.D., 57 Texas (TA–W–30,647) and operating at [TA±W±31,345] various locations in the following cited States FR 59847 (1992); Elliott Monroe, M.D., who became totally or partially separated 57 FR 23246 (1992); Bobby Watts, M.D., Adams-Millis, High Point, NC; Notice of from employment on or after January 17, 53 FR 11919 (1988). Termination of Investigation 1994 are eligible to apply for adjustment The administrative law judge properly Pursuant to Section 221 of the Trade assistance under Section 223 of the Trade Act of 1974: granted the Government’s motion for Act of 1974, an investigation was summary disposition. It is well-settled initiated on August 21, 1995 in response TA–W–30,647A Oklahoma TA–W–30,647B Louisiana that when no question of fact is to a worker petition which was filed on TA–W–30,647C North Dakota involved, or when the facts are agreed August 9, 1995 on behalf of workers at TA–W–30,647D Texas (except Houston) upon, a plenary, adversary Adams-Millis, High Point, North TA–W–30,647E New Mexico’’ administrative proceeding involving Carolina (a division of the Sara Lee Signed at Washington, DC this 29th day of evidence and cross-examination of Corporation). August 1995. witnesses is not obligatory. The An active certification covering the Victor J. Trunzo, rationale is that Congress does not petitioning group of workers remains in Program Manager, Policy and Reemployment intend administrative agencies to effect (TA–W–30,083, Adams-Millis, Services, Office of Trade Adjustment perform meaningless tasks. Phillip E. High Point, North Carolina, certified Assistance. Kirk, M.D., 48 FR 32887 (1983), aff’d sub August 29, 1994, impact date of June 29, [FR Doc. 95–22473 Filed 9–8–95; 8:45 am] 1993 and an expiration date of August nom Kirk v. Mullen, 749 F.2d 297 (6th BILLING CODE 4510±30±M 29, 1996). Consequently, further Cir. 1984); Alfred Tennyson investigation in this case would serve Smurthwaite, N.D., 43 FR 11873 (1978); no purpose, and the investigation has [TA±W±30,353; TA±W±30,353A] see also, NLRB v. International been terminated. Association of Bridge, Structural and E.I. Du Pont De Nemours & Co., Inc., Ornamental Ironworkers, AFL–CIO, 549 Signed in Washington, DC this 29th day of Du Pont Industrial Imaging Rochester, F.2d 634 (9th Cir. 1977); United States August, 1995. NY and Field Offices Located in v. Consolidated Mines and Smelting Co., Victor J. Trunzo, Florida; Amended Certification Ltd., 455 F.2d 432, 453 (9th Cir. 1971). Program Manager, Policy and Reemployment Regarding Eligibility to Apply for Services, Office of Trade Adjustment Worker Adjustment Assistance In his exceptions to the opinion and Assistance. recommended decision of the [FR Doc. 95–22472 Filed 9–8–95; 8:45 am] In accordance with Section 223 of the administrative law judge, the BILLING CODE 4510±30±M Trade Act of 1974 (19 USC 2273) the Respondent argued, inter alia, that Department of Labor issued a actions taken by the New Mexico Board Certification of Eligibility to Apply for of Medical Examiners and the New [TA±W±30,647] Worker Adjustment Assistance on Mexico Board of Pharmacy, which Amerada Hess Corporation December 10, 1994, applicable to all resulted in the revocation of his state Headquartered in Houston, TX and workers at E.I. Du Pont De Nemours & license to handle controlled substances, Operating at Various Locations in the Co., Inc., Du Pont Industrial Imaging were improper. However, Respondent Following States; Amended located in Rochester, New York. The presented no evidence to contradict the Certification Regarding Eligibility to notice was published in the Federal fact that he is currently without Apply for Worker Adjustment Register on January 3, 1995 (60 FR 14). authorization to handle controlled Assistance At the request of a petitioner, the substances in the State of New Mexico. Department reviewed the certification In accordance with Section 223 of the for the subject firm. The findings show Accordingly, the Deputy Trade Act of 1974 (19 USC 2273) the that support staff (sales, service and Administrator of the Drug Enforcement Department of Labor issued an administrative) of the subject firm Administration, pursuant to the Amended Certification of Eligibility to located in Florida should have been authority vested in him by 21 U.S.C. 823 Apply for Worker Adjustment included in the certification. and 824 and 28 CFR 0.100(b), hereby Assistance on March 21, 1995, The intent of the Department’s orders that DEA Certificate of applicable to all workers at the subject certification is to include all workers of Registration, AN5283697, previously firm. The amended notice was Du Pont Industrial Imaging adversely issued to Charles L. Novosad, Jr., M.D., published in the Federal Register on affected by imports. be, and it hereby is, revoked and that March 31, 1995 (60 FR 16667). The amended notice applicable to any pending applications for renewal of At the request of the company, the TA–W–30,353 is hereby issued as such registration be, and they hereby Department reviewed the certification follows: are, denied. This order is effective for the subject firm. New findings show ‘‘All workers of E.I. Du Pont De Nemours October 11, 1995. that worker separations have occurred at & Co., Inc., Du Pont Industrial Imaging, Amerada Hess locations in New Mexico. Rochester, New York and support staff 47184 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices operating in field offices in the State of Signed at Washington, DC this 29th day of Labor’s prior decision. The application Florida engaged in employment related to the August 1995. is, therefore, granted. production of NDT X-ray films who became Victor J. Trunzo, totally or partially separated from Signed in Washington, DC. this 25th day of Program Manager, Policy and Reemployment August, 1995. employment on or after July 11, 1993 are Services, Office of Trade Adjustment Victor J. Trunzo, eligible to apply for adjustment assistance Assistance. under Section 223 of the Trade Act of 1974.’’ Program Manager, Policy and Reemployment [FR Doc. 95–22475 Filed 9–8–95; 8:45 am] Signed at Washington, DC this 25th day of Services, Office of Trade Adjustment August 1995. BILLING CODE 4510±30±M Assistance. Victor J. Trunzo, [FR Doc. 95–22477 Filed 9–8–95; 8:45 am] Program Manager, Policy and Reemployment [TA-W±31,329] BILLING CODE 4510±30±M Services, Office of Trade Adjustment Assistance. H.L. Brown, Jr., Midland, TX; Notice of [TA±W±31,102] [FR Doc. 95–22474 Filed 9–8–95; 8:45 am] Termination of Investigation BILLING CODE 4510±30±M Pursuant to Section 221 of the Trade Rockwell Graphics Systems of Act of 1974, an investigation was Rockwell Reading, PA; Notice of initiated on August 14, 1995 in response Negative Determination Regarding [TA±W±30,985; FHF Apparel, Miami, FL to a worker petition which was filed on Application for Reconsideration TA±W±30,985A; 500 Fashion Group, August 14, 1995 on behalf of workers at By an application dated July 31, 1995, Northampton, PA H.L. Brown, Jr., Midland, Texas. the union requested administrative TA±W±30,985B; 500 Fashion Group, All workers were separated from the reconsideration of the subject petition Whitehall, PA subject firm more than one year prior to for trade adjustment assistance. The the date of the petition. Section 223 of TA±W±30,985C; 500 Fashion Group, denial notice was signed on July 25, Philadelphia, PA] the Act specifies that no certification 1995 and published in the Federal may apply to any worker whose last Register on August 16, 1995 (60 FR Amended Certification Regarding separation occurred more than one year 42589). Eligibility to Apply for Worker before the date of the petition. Pursuant to 29 CFR 90.18(c) Adjustment Assistance Consequently, further investigation in reconsideration may be granted under this case would serve no purpose, and the following circumstances: In accordance with Section 223 of the the investigation has been terminated. (1) If it appears on the basis of facts Trade Act of 1974 (19 U.S.C. 2273) the Signed in Washington, DC this 28th day of not previously considered that the Department of Labor issued a Notice of August, 1995. determination complained of was Certification Regarding Eligibility to Victor J. Trunzo, erroneous; Apply for Worker Adjustment (2) If it appears that the determination Assistance on June 9, 1995, applicable Program Manager, Policy and Reemployment Services, Office of Trade Adjustment complained of was based on a mistake to all workers of FHF Apparel, Miami, Assistance. in the determination of facts not Florida. The notice was published in the [FR Doc. 95–22476 Filed 9–8–95; 8:45 am] previously considered; or Federal Register on June 27, 1995 (60 BILLING CODE 4510±30±M (3) If in the opinion of the Certifying FR 33235). The certification was Officer, a misinterpretation of facts or of amended on August 1, 1995, to include the law justified reconsideration of the the parent company, Fashion 500 Group [TA±W±31,102] decision. located in Northampton, Pennsylvania. Rockwell Graphics Systems of Investigation findings show that the The notice will soon be published in the workers Manufactured commercial Federal Register. Rockwell, Reading, PA; Notice of Affirmative Determination Regarding printing presses. The Department reviewed the subject The Department’s denial was based Application for Reconsideration certification, and is again amending the on the fact that the ‘‘contributed certification to cover the workers at the On July 31, 1995, the union requested importantly’’ test of the Group Fashion 500 Group locations in administrative reconsideration of the Eligibility Requirements of Trade Act Whitehall and Philadelphia, Department of Labor’s Notice of was not met. Pennsylvania. The workers produce Negative Determination Regarding The ‘‘contributed importantly’’ test is men’s suits and sportscoats. Eligibility to Apply for Worker generally demonstrated through a The intent of the Department’s Adjustment Assistance for workers of survey of the workers’ firm’s customers. certification is to include all workers of the subject firm. The denial notice was The Department’s survey revealed that FHF Apparel and the 500 Fashion signed on July 25, 1995 and published none of the respondents increased their Group who were adversely affected by in the Federal Register on August 16, purchases of imports while decreasing imports. 1995 (60 FR 42589). their purchases from Rockwell Graphics The amended notice applicable to The union claims that the Systems during the relevant period. TA–W–30,985 is hereby issued as Department’s survey of Rockwell District 10 of the United Steelworkers follows: Graphics Systems’ customer base was of America claim that recent All workers of FHF Apparel, Miami, inadequate, and recent competitive bids competitive bids were lost to foreign Florida (TA–W–30,985), and the 500 Fashion lost to foreign firms caused layoffs at the firms, causing substantial loss of jobs at Group, Northampton, Pennsylvania (TA–W– subject facility. the Rockwell Graphics Systems 30,985A), Whitehall, Pennsylvania (TA–W– Reading, Pennsylvania location. 30,985B), and Philadelphia, Pennsylvania Conclusion (TA–W–30,985C) who became totally or Investigation findings show that the partially separated from employment on or After careful review of the Department surveyed the major after April 24, 1994 are eligible to apply for application, I conclude that the claim is declining customers of Rockwell adjustment assistance under Section 223 of of sufficient weight to justify Graphics Systems at Reading. Further the Trade Act of 1974.’’ reconsideration of the Department of findings show that Rockwell Graphics at Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices 47185 Reading did not participate in Investigations Regarding Certifications request a public hearing, provided such competitive bids during the relevant of Eligibility To Apply for Worker request is filed in writing with the time period of the investigation. Adjustment Assistance Director, Office of Trade Adjustment Assistance, at the address show below, Conclusion Petitions have been filed with the not later than September 21, 1995. Secretary of Labor under Section 221(a) After review of the application and of the Trade Act of 1974 (‘‘the Act’’) and Interested persons are invited to investigative findings, I conclude that are identified in the Appendix to this submit written comments regarding the there has been no error or notice. Upon receipt of these petitions, subject matter of the investigations to misinterpretation of the law or of the the Director of the Office of Trade the Director, Office of Trade Adjustment facts which would justify Adjustment Assistance, Employment Assistance, at the address shown below reconsideration of the Department of and Training Administration, has not later than September 21, 1995. Labor’s prior decision. Accordingly, the instituted investigations pursuant to The petitions filed in this case are application is denied. Section 221(a) of the Act. available for inspection at the Office of The purpose of each of the the Director, Office of Trade Adjustment Signed at Washington, DC this 25th day of investigations is to determine whether August 1995. Assistance, Employment and Training the workers are eligible to apply for Administration, U.S. Department of Victor J. Trunzo, adjustment assistance under Title II, Labor, 200 Constitution Avenue, NW., Program Manager, Policy and Reemployment Chapter 2, of the Act. The investigations Washington, DC 20210. Services, Office of Trade Adjustment will further relate, as appropriate, to the Assistance. Signed at Washington, DC this 28th day of determination of the date on which total August, 1995. [FR Doc. 95–22478 Filed 9–8–95; 8:45 am] or partial separations began or Victor J. Trunzo, BILLING CODE 4510±30±M threatened to begin and the subdivision of the firm involved. Program Manager, Policy and Reemployment The petitioners or any other persons Services, Office of Trade Adjustment Assistance. showing a substantial interest in the subject matter of the investigations may Appendix PETITIONS INSTITUTED ON 08/28/95 Subject firm Date of TA±W (petitioners) Location petition Product(s) 31,368 .. Roxanne Swimsuits/Art San (ILGWU) Neptune, NJ ...... 8/17/95 Women's Swimwear. 31,369 .. Neptune Swimsuits Co (Wkrs) ...... Neptune, NJ ...... 8/16/95 Warehouse-Swimwear. 31,370 .. Jonbill, Inc. (Comp) ...... Danville, VA ...... 8/15/95 Jeans, Men's Ladies' & Children's. 31,371 .. Gaylord Container (Wkrs) ...... Weslaco, TX ...... 8/17/95 Cardboard Boxes. 31,372 .. J.P. Emco (Comp) ...... Ada, OK ...... 8/16/95 Auto & Truck Body Trim Parts. 31,373 .. IBM (Wkrs) ...... Endicott, NY ...... 8/17/95 Printers. 31,374 .. Dupont Diagnostics, Inc (Wkrs) ...... Manati, PR ...... 8/15/95 Plastic Bags for diagnostic sub- stances. 31,375 .. Grumman Allied-LLV Div. (Wrks) ...... Montogmery, PA ...... 8/01/95 Postal Vehicles. 31,376 .. Howard Industries (Wkrs) ...... Milford, IL ...... 8/07/95 Industrial Fans & Motors. 31,377 .. Jefferson Smurfit Corp. (UPIU) ...... New Brunswick, NJ ...... 8/07/95 Corrugated Shipping Containers. 31,378 .. Jusher Manufacturing Co (Wkrs) ...... Tishomingo, OK ...... 8/14/95 Neckties. 31,379 .. Lexington Sportwear (Wkrs) ...... Lexington, SC ...... 8/14/95 Men's Outerwear Jackets. 31,380 .. Maynard H. Moore, Jr. (Wkrs) ...... Stoneham, MA ...... 8/16/95 Leather for Shoe Trade. 31,381 .. The Metallized Papwer Corp (Wkrs) ... McKeesport, PA ...... 8/18/95 Metalized Paper. 31,382 .. O.A.I., Inc (Wkrs) ...... Hartshorne, OK ...... 8/15/95 Radios & Commercial Electronics. 31,383 .. Oryx Energy Company (Wkrs) ...... Dallas, TX ...... 8/10/95 Crude Oil and Natural Gas. 31,384 .. VSD, Inc. (Wkrs) ...... Florence, SC ...... 8/11/95 Inductors & Resistors. [FR Doc. 95–22481 Filed 9–8–95; 8:45 am] TA±W±31,182 Willwear Hosiery, Shogren Department of Labor issued a Industries, Marion, NC BILLING CODE 4510±30±M Certification of Eligibility to Apply for TA±W±31,183 Willwear Hosiery, Shogren Worker Adjustment Assistance on Industries, Chattanooga, TN August 10, 1995, applicable to all TA±W±31,184 Shogren Industries, Concord, workers at Shogren Industries, located NC in Marion, North Carolina, Chattanooga, TA±W±31,185 Shogren Industries, Upper Tennessee, Concord, North Carolina, Brookville, NY and Upper Brookville, New York. The TA±W±31,185A Nation Hosiery Mills, Inc., notice was published in the Federal Chattanooga, TN Register on August 24, 1995 (60 FR TA±W±31,185B Kentucky Lakes Hosiery 44079). Mills, Princeton, KY At the request of the company, the Amended Certification Regarding Department reviewed the certification Eligibility to Apply for Worker for workers of the subject firm. The Adjustment Assistance findings show that workers of Shogren Industries located at Nation Hosiery In accordance with Section 223 of the Mills, Inc. in Chattanooga, Tennessee Trade Act of 1974 (19 U.S.C. 2273) the and Kentucky Lakes Hosiery Mill in 47186 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices Princeton, Kentucky were inadvertently NATIONAL AERONAUTICS AND will be reviewing proposal actions that will omitted from the certification. SPACE ADMINISTRATION include privileged intellectual property and personal information that could harm The intent of the Department’s [Notice (95±086)] individuals if they were disclosed. If certification is to include all workers of discussions were open to the public, these the subject firm adversely affected by Notice of Prospective Patent License matters that are exempt under 5 U.S.C. 552 imports. AGENCY: National Aeronautics and (b)(c)(4) and (6) of the Government in the The amended notice applicable to TA Space Administration. Sunshine Act would improperly be W–31,185 is hereby issued as follows: disclosed. ACTION: Notice of Prospective Patent ‘‘All workers of Willwear Hosiery/Shogren License. Dated: September 5, 1995. Industries, Marion, North Carolina (TA–W– M. Rebecca Winkler, SUMMARY: NASA hereby gives notice 31,182); Chattanooga, Tennessee (TA–W– Committee Management Officer. 31,183); Shogren Industries, Concord, North that Wessex, L.L.C., of Blacksburg, [FR Doc. 95–22407 Filed 9–8–95; 8:45 am] Carolina (TA–W–31,184); Upper Brookville, Virginia, has requested a partially New York (TA–W–31,185); Nation Hosiery exclusive license to practice the BILLING CODE 7555±01±M Mills, Inc., Chattanooga, Tennessee (TA–W– invention described and claimed in U.S. 31,184A); and Kentucky Lakes Hosiery Mill, Patent No. 5,296,288 entitled Princeton, Kentucky (TA–W–31,185B) who ‘‘Protective Coating for Ceramic became totally or partially separated from Materials,’’ which issued to the United NUCLEAR REGULATORY employment on or after May 23, 1994 are States of America as represented by the COMMISSION eligible to apply for adjustment assistance Administrator of the National under Section 223 of the Trade Act of 1974.’’ Aeronautics and Space Administration Availability of Draft Application; on March 22, 1994. Written objection to Format and Content Guidance and Signed at Washington, D.C. this 31st day of Review Plan and Acceptance Criteria August 1995. the prospective grant of a license should be sent to Mr. Harry Lupuloff, Senior for Non-Power Reactors Victor J. Trunzo, Patent Attorney, NASA Headquarters. Program Manager, Policy and Reemployment The U.S. Nuclear Regulatory DATES: Responses to this Notice must be Services, Office of Trade Adjustment Commission (NRC) is in the process of received by November 13, 1995. Assistance. developing for Non-Power Reactors FOR FURTHER INFORMATION CONTACT: [FR Doc. 95–22480 Filed 9–8–95; 8:45 am] Mr. (NPRs) a ‘‘Format and Content for Harry Lupuloff, NASA, Code GP, BILLING CODE 4510±30±M Applications for the Licensing of Non- Washington, DC 20546; telephone Power Reactors’’ (F&C) and a ‘‘Standard number (202) 358–2067. Review Plan and Acceptance Criteria for Dated: September 1, 1995. [TA±W±31,077] Applications for the Licensing of Non- Edward A. Frankle, Power Reactors’’ (SRP). The NRC has Sundstrand Corporation, Electric General Counsel. made available drafts of Chapters 2, Power Systems Division, Lima, Ohio; [FR Doc. 95–22443 Filed 9–8–95; 8:45 am] ‘‘Site Characteristics,’’ 3, ‘‘Design of Dismissal of Application for BILLING CODE 7510±01±M Structures, Systems, and Components,’’ Reconsideration 4, ‘‘Reactor Description,’’ 7, ‘‘Instrumentation and Control Systems,’’ Pursuant to 29 CFR 90.18(C) an NATIONAL SCIENCE FOUNDATION 10, ‘‘Experimental Facilities and application for administrative Utilization,’’ 13, ‘‘Accident Analyses,’’ reconsideration was filed with the Advisory Committee for Education and and 18, ‘‘High-Enriched Uranium to Program Manager of the Office of Trade Human Resources Committee of Low-Enriqued Uranium Conversions,’’ Adjustment Assistance for workers at Visitors; Notice of Meeting of the F&C and SRP documents for Sundstrand Corporation, Electric Power In accordance with the Federal comment. Other draft chapters will be Systems Division, Lima, Ohio. The Advisory Committee Act (PL 92–463, as made available for comment as they are review indicated that the application amended), the National Science completed. contained no new substantial Foundation announces the following Copies of these chapters have been information which would bear Committee of Visitors meeting: placed in the NRC Public Document importantly on the Department’s Name: Committee of Visitors (COV) Room, the Gelman Building, 2120 L determination. Therefore, dismissal of Review of the Graduate and Minority Street, NW, Washington, DC. Single the application was issued. Graduate Fellowship Programs (1119). copies of these documents may be TA–W–31,077; Sundstrand Corporation, Date & Time: September 25, 1995; 8:00 am requested in writing from Alexander to 5:00 pm. Electric Power Systems Div., Lima, Ohio Adams, Jr., Senior Project Manager, U.S. (August 31, 1995) Place: NSF Headquarters, 4201 Wilson Boulevard, Arlington, Virginia. Nuclear Regulatory Commission, MS: Signed at Washington, DC this 31st day of Type of Meeting: Closed. O–11–B–20, Washington, DC 20555. August, 1995. Contact Person: Dr. Susan Duby, National Comments on this chapter should be Victor J. Trunzo, Science Foundation, 703/306–1694. sent by November 28, 1995, to the Program Manager, Policy & Reemployment Purpose of Meeting: To provide oversight Director, Non-Power Reactors and Services, Office of Trade Adjustment review of the Graduate and Minority Decommissioning Project Directorate at Assistance. Graduate Fellowship Programs. Agenda: To carry out Committee of the above address. [FR Doc. 95–22479 Filed 9–8–95; 8:45 am] Visitors’ review, including examination of Dated at Rockville, Maryland, this 31st day BILLING CODE 4310±30±M decisions on applications, reviewer of August 1995. comments, and other privileged materials. Reason for Closing: These meetings are closed to the public because the Committee Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices 47187 For the Nuclear Regulatory Commission. with 10 CFR 2.206(c). As provided by have failed to raise any safety concern which Seymour H. Weiss, this regulation, the Director’s Decision would warrant delaying restart of the Pilgrim Director, Non-Power Reactors and will constitute the final action of the Nuclear Power Station (which occurred on Decommissioning Project Directorate, Commission 25 days after date of June 2, 1995), and the Petitioners’ request Division of Reactor Program Management, that the NRC terminate the use of NOEDs is issuance of the Decision unless the denied. Office of Nuclear Reactor Regulation. Commission, on its own motion, [FR Doc. 95–22460 Filed 9–8–95; 8:45 am] institutes review of the Decision within III. Discussion BILLING CODE 7590±01±P that time period. A. Age-Related Deterioration of Reactor Internals Dated at Rockville, Maryland, this 31st day [Docket No. 50±293] of August 1995. Many components inside boiling-water For the Nuclear Regulatory Commission. reactor (BWR) vessels (i.e., internals) are made of materials such as stainless steel and Boston Edison Company, Pilgrim William T. Russell, Nuclear Power Station; Issuance of various alloys that are susceptible to Director, Office of Nuclear Reactor corrosion and cracking. As materials age, Director Decision Under 10 CFR 2.206 Regulation. they degrade. This degradation can be accelerated by stresses from temperature and Notice is hereby given that the Appendix A to this Document— Director, Office of Nuclear Reactor pressure changes, irradiation effects on Director’s Decision Under 10 CFR material properties, chemical interactions, Regulation, granted in part and denied 2.206: DD–95–19; Boston Edison and other corrosive environments. As BWRs in part a Petition dated March 10, 1995 Company, License No. DRP–35 age, the amount of cracking is expected to (Petition), filed pursuant to 10 CFR increase. Several cases of internals cracking 2.206 by Ms. Mary Elizabeth Lampert I. Introduction and degradation have been reported to the and 62 other persons (Petitioners). Ms. Mary Elizabeth Lampert and 62 other NRC over the years. In a number of cases, the The Petition requested that during the individuals (Petitioners) submitted a Petition NRC has concluded that full power operation March 25, 1995, refueling outage and In- dated March 10, 1995, pursuant to 10 CFR of the reactor with time-dependent Vessel Visual Inspection conducted by 2.206 requesting action with regard to the degradation, related to the operating the licensee, certain technical concerns Pilgrim Nuclear Power Station (Pilgrim), environment, of reactor vessel internals is operated by the Boston Edison Company acceptable as long as the American Society be addressed, and that before Pilgrim (licensee). of Mechanical Engineers Boiler and Pressure goes back on-line, appropriate repairs be The Petition requested that: (1) during the Vessel Code (ASME Code) safety margins are made or corrective action be taken, and refueling outage and In-Vessel Visual satisfied and maintained. In the remaining that the U.S. Nuclear Regulatory Inspection scheduled for March 25, 1995, by cases, replacement or repairs were performed Commission (NRC or Commission) the licensee, certain technical concerns be on the degraded components or internals. discuss the status of such repairs or addressed, and that before Pilgrim goes back The NRC has met with industry every year corrective actions with the public in on-line, appropriate repairs be made or since 1988 to review the generic safety Plymouth, Massachusetts. The Petition corrective action be taken; (2) the U.S. implications of reactor internals potentially also requested that the NRC terminate Nuclear Regulatory Commission (NRC or susceptible to age-related cracking. Commission) discuss the status of such Additionally, a special industry review its policy of issuing Notices of repairs or corrective actions with the public group, the Boiling Water Reactor Vessels and Enforcement Discretion (NOEDs) and in Plymouth, Massachusetts; and (3) the NRC Internals Project (BWRVIP), was formed to asserted that the NRC has not been terminate its policy of issuing Notices of focus on resolution of reactor vessel and enforcing its regulations. Enforcement Discretion (NOEDs) and begin internals degradation. On April 19, 1995, the Director enforcing the regulations again. Several industry standards and regulatory informed the Petitioner that the NRC As the bases for these requests, the requirements and guidelines are in place to management and staff was meeting with Petitioners identified three groups of address inservice inspections (ISIs) of reactor the Boston Edison Company (licensee) technical concerns: (1) age-related components. Moreover, the NRC and on May 11, 1995, and they would hold deterioration of 25 safety related reactor industry have responded as new issues emerge. For example, issued Generic Letter a meeting to receive public input on the internals; (2) parts and components ‘‘known to be a problem at Pilgrim,’’ including the (GL) 94–03, ‘‘Intergranular Stress Corrosion evening of May 11, 1995. The core shroud, water level indicators, quality Cracking of Core Shrouds (IGSCC) in Boiling Petitioner’s request to discuss the status assurance for fuel pool cooling system during Water Reactors,’’ ‘‘in July 1994 requesting of repairs or corrective actions was loss-of-coolant accident/loss of offsite power, Licensees to inspect their shrouds and granted by virtue of the public meeting. motor-operated valves, containment integrity, provide an analysis justifying continued The Director of the Office of Nuclear drywell liner corrosion vulnerability, station operation until inspections could be Reactor Regulation has denied the blackout vulnerability, and Rosemount completed. General Electric issued Services Petitioners’ requests to require repairs transmitters; and (3) parts and components Information Letter (SIL) No. 588, ‘‘Top Guide and corrective actions before permitting ‘‘potentially a problem at Pilgrim,’’ including and Core Plate Cracking,’’ in February 1995 the Pilgrim plant to resume operation, potential fuel rod corrosion and substandard providing specific recommendations for inspections of BWR top guides and core and to terminate the use of NOEDs. and/or counterfeit parts. The Petitioners contend that allowing the reactor to operate plates. In addition to addressing emerging the The reasons for this decision are under a NOED cannot pose less risk to the BWRVIP is working on a comprehensive plan explained in the ‘‘Director’s Decision public health and safety than keeping the that will provide detailed guidance on Under 10 CFR 2.206,’’ (DD–95–19) reactor shut down until NRC regulations are managing cracking in all BWR internals. The which is available for public inspection met. plan will address cracking susceptibility, in the Commission’s Public Document safety consequences, inspection scope and II. Background Room, in the Gelman Building, Lower methodology, flaw evaluation, repair Level, 2120 L Street, NW., Washington, By letter dated April 19, 1995, the NRC strategies, and mitigation of degradation. DC 20555 and at the Local Public acknowledged receipt of the Petition and Several top level executives and technical offered a public meeting, which was held in staff of the Licensee are on the various Document Room for the Pilgrim facility Plymouth, Massachusetts on May 11, 1995. BWRVIP committees that are developing at Plymouth Public Library, 11 North At that meeting, the results of the licensee’s generic standards for ISI and repairs. Street, Plymouth, Massachusetts 02360. inspections conducted during the outage Petitioners request that 25 components be A copy of the Decision will be filed were discussed. inspected during the 1995 refueling outage with the Office of the Secretary for the I have completed my evaluation of the (RFO No. 10), and that they be free of any Commission’s review in accordance Petition. As explained below, Petitioners signs of IGSCC or other kind of fatigue. 47188 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices During RFO No. 10, the licensee indicated nuclear regulators required replacement of the tie rods to reduce flow-induced vibration. completion of the ISI examinations for the shrouds with cracking, rather than repair of Two wedges between the core support plate third period of the second Pilgrim 10-year the shroud. Petitioners state that at Oyster and the shroud are also installed at each inspection interval in accordance with Creek, ten tie rods are attached to holes in stabilizer location to prevent relative motion Section XI of the ASME Code, 1980 Edition Type 304 stainless steel, which is subject to of the core plate to the shroud. Each with Winter 1980 Addenda. This included all IGSCC and is welded to the bottom of the cylindrical section of the shroud between 25 components requested by the Petitioners, core shroud assembly. Petitioners are welds H1 through H9 is prevented from except the steam separator, neutron source concerned that if the same approach were unacceptable lateral motion by the holder and surveillance sample holders used at Pilgrim, there would be problems stabilizers. The section between H9 and H10 which are not safety-related components. The with the structural integrity of the materials is prevented from unacceptable motion by in-core neutron flux monitor components, in- the tie rods are welded to and with ‘‘loose the existing gussets. The lower end of the housings, guide tubes, dry tubes, the vessel parts.’’ stabilizers are attached to pins which are head cooling spray nozzle, and the fuel Officials of PreussenElektra AG, the owner placed in holes cut into gusset plates at the supports are not required by NRC regulations of Wuergassen, initially intended to replace bottom. The gusset assemblies and their to be inspected. The NRC inspected Pilgrim’s the core shroud at Wuergassen, as reported welds are Inconel and are not considered ISI program and related activities during the in Nucleonics Week on November 24, 1994. subject to cracking by industry and the NRC 1994 RFO No. 9 and concluded that the Differences in the design of Wuergassen and staff. Inconel is a nickel based alloy which second interval program plan was NRC-licensed BWRs exist which would make is less likely to corrode and degrade than sufficiently comprehensive to ensure safety replacement of the core shroud at stainless steel, which is an iron based alloy. and met the requirements of the ASME Code, Wuergassen less complicated than at NRC- However, these welds, including those and thus 10 CFR 50.55a(a)(2). The ISI licensed plants. For example, the shroud at attaching the gussets to the vessel and to the examinations conducted in RFO No. 10 Wuergassen is bolted on to the shroud lower shroud support plate (which must included the core support structure, control support, whereas shrouds of NRC licensees resist the vertical stabilizer loads) have been rod drive housing, core spray internal piping are welded. However, in a press release inspected for cracks during this outage, and and spargers, and feedwater spargers. issued June 1, 1995, PreussenElektra AG no crack indications were found. Together, Augmented examinations were also decided to decommission the Wuergassen the tie rods and lateral restraints resist both conducted in which various internals were NPS based on economic considerations. As a vertical and lateral loads resulting from examined, including the shroud support and result, replacement of a BWR core shroud, normal operation and design accident loads, access hole covers, jet pump riser braces, foreign or domestic, has yet to be undertaken. including seismic loads and postulated pipe shroud head bolts, jet pump sensing lines, By letter dated November 25, 1994, the ruptures. steam dryer support, steam dryer baffle plate, NRC staff issued the ‘‘Safety Evaluation The NRC staff found that the proposed top guide, core plate, and control rod stub Regarding the Oyster Creek Core Shroud repair does not affect the ability of operators tubes. Repair,’’ which approved the scheduled to insert control rods, the performance of the Control blades (control rods for BWRs) are repair as an acceptable alternative to the ECCS, particularly the core spray system, or replaced at specified intervals. The licensee standards of the ASME Boiler and Pressure the ability to reflood and cool the core. The also implemented a preemptive repair of its Vessel Code. See 10 C.F.R. § 50.55a(a)(2) and staff concluded that the proposed repair does core shroud due to the high susceptibility to 50.55a(a)(3)(i). Oyster Creek and Pilgrim are not pose adverse consequences to plant IGSCC. See Section III.B.(1), below. As utilizing similar tie-rod assemblies to safety; therefore, plant operation is discussed during the May 11, 1995, meeting structurally replace the core shroud during acceptable with the proposed core shroud between the NRC and the public, the normal and accident conditions. The repair installed. inspection results from RFO No. 10 did not difference in the number of tie-rod In compliance with 10 CFR 50.55a(a)(3)(i), reveal any indications of significant time- assemblies used, i.e., ten tie-rod assemblies at the core shroud repair has been designed as dependent deterioration of the reactor Oyster Creek and four tie-rod assemblies at an alternative to the requirements of the internals. Pilgrim, is related to the contracted vendor’s ASME Code. Based on a review of the shroud The NRC staff concludes that the loading distribution design and the modification hardware from structural, inspections, examinations, and repairs associated hardware on the tie-rod assembly. systems, materials, and fabrication performed by the licensee during RFO No. 10 The NRC staff has thoroughly reviewed the considerations, the NRC staff concludes that and previous outages are sufficient to provide Pilgrim repair design and conducted the proposed modifications of the Pilgrim reasonable assurance that no age-related inspections during the core shroud repair core shroud would provide an acceptable failure of components or internals would process. The staff issued the ‘‘Safety level of quality and safety. The staff has occur during the next operating cycle, which Evaluation Regarding Pilgrim Nuclear Power determined that the licensee’s repair of the is scheduled to end March 21, 1997. Design Station Core Shroud Repair,’’ dated May 12, core shroud will not result in any increased features, plant procedures, and operator 1995. A synopsis of our review follows. risk to the public health and safety and is, training are developed to ensure safety in the The design of the Pilgrim shroud repair therefore, acceptable. unlikely event that a failure were to occur. consists of four (4) stabilizer assemblies, (2) Water Level Indicators The NRC will continue to take regulatory which are installed 90° apart in the shroud/ action on a plant-specific or generic basis, as Petitioners assert that because of a pipe reactor vessel annulus, between attachment may be appropriate, when time-dependent design deficiency, water level indicators at points at the top of the shroud and the gusset degradation issues are identified. During the Pilgrim are not fully operable due to high- assemblies on the lower shroud support next refueling outage, the licensee will again pressured gas in the water, and that operator plate. Each stabilizer assembly consists of a conduct an in-vessel inspection of safety- training is not the appropriate solution. tie rod, and upper spring, a lower spring, an related interval components. Level anomalies were observed in reactor upper bracket and other smaller parts. The tie Accordingly, Petitioners have not raised a vessel water level indication at several BWRs rod provides the vertical load transfer from safety concern regarding age-related during controlled depressurization, while the upper bracket to the reactor pressure degradation of reactor internals at Pilgrim commencing plant outages or following which would have warranted prohibiting vessel (RPV) gusset attachment and supports reactor trips. These anomalies consisted of restart after RFO No. 10. the springs. The upper spring provides radial ‘‘spiking’’ or ‘‘notching’’ of level indication, B. Parts and Components Known To Be a load transfer at the top guide elevation from and in one instance, a sustained error in level Problem at Pilgrim the shroud to the RPV. The lower spring indication. The root cause of these level provides radial load transfer from the shroud indication anomalies is the effect of non- (1) Core Shroud at the core plate elevation to the RPV. The condensible gas dissolved in the reference leg Petitioners express concern about the type upper bracket provides an attachment to the of ‘‘cold reference leg’’ type water level of repairs that would be done to the core top of the shroud and restrains the upper instruments. Under rapid depressurization shroud during RFO No. 10, based on ‘‘the shroud weld. Upper-mid and lower-mid conditions, non-condensible gases can cause different approach taken in Germany at the supports along the tie rod length provide significant errors in the level indication. Wuergassen NPS and at the Oyster Creek radial load transfer for the mid sections of the Cold reference leg water level instruments NPS in NJ.’’ Petitioners state that German shroud and increase the natural frequency of measure reactor vessel water level by Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices 47189 measuring the differential pressure of two reactor vessel water level instrumentation (3) Quality Assurance for Fuel Pool columns of water, i.e., the variable leg and inaccuracies during normal depressurization Cooling System During LOCA/LOOP the constant height reference leg. The due to the effects of non-condensible gas. At The Petitioners asserted that workers reference leg is maintained filled to a the staff’s request, the BWROG submitted a would be exposed to fatal levels of radiation constant height of water by the condensate report on May 20, 1993, discussing the while manually activating the backup cooling chamber. Steam is condensed in the impact of level errors on automatic safety system during a LOCA. condensate chamber and keeps the reference system response and operator actions during In November 1992 two engineers working leg full. Excess condensate is returned to the transients and accidents initiated from under contract at Susquehanna Steam vessel through the steam supply line. Non- reduced pressure conditions during plant Electric Station filed a 10 CFR 21.21 report. condensible gases, such as hydrogen and cooldown (shutdown mode). Based on this The report detailed design concerns at oxygen, formed by radiolysis in the reactor information, in addition to the January 21, Susquehanna that could lead to the sustained vessel, are present in the steam supplied to 1993, WNP–2 event, and data from the loss of forced cooling for the stored spent fuel the condensate chamber. The gases can reference leg de-gas testing that was under certain accident or abnormal collect in the condensate chamber and can conducted by the BWROG, the staff conditions. The engineers postulated that the accumulate to high partial pressures. The concluded that additional short-term actions environmental conditions developed gases then become dissolved in the water at needed to be taken for protection against following a loss of forced cooling would the top of the reference leg, and the dissolved potential events occurring during normal adversely affect equipment necessary for gases can be transported down the reference cooldown. On May 28, 1993, NRC Bulletin safe-shutdown and accident mitigation. The leg by small leaks in valves and fittings at the (NRCB) 93–03, engineers concluded that these issues had bottom of the reference leg, diffusion, and/or ‘‘Resolution of Issues Related to Reactor generic implications. Vessel Water Level Instrumentation,’’ was thermal convection. Between November 1992 and October issued, in which the staff requested each Dissolved gases in the reference leg do not 1994, the NRC staff performed an extensive BWR licensee to implement additional short- present a problem unless the instrument is evaluation of the Susquehanna spent fuel term compensatory actions, and to depressurized. When depressurized, the pool cooling design concerns. The staff gases come out of solution and form bubbles implement a hardware modification to resolve this issue at the next cold shutdown concluded that these concerns were of low that travel up the reference leg. During slow safety significance in the ‘‘Final Safety depressurization, level indication has been after July 30, 1993. The staff has received responses to NRC Evaluation By the Office of Nuclear Reactor seen to temporarily ‘‘spike’’ or ‘‘notch’’ while Regulation Regarding Loss of Spent Fuel Pool a bubble moves through the vertical sections Bulletin 93–03 from all licensees. All licensees completed short-term Cooling Events,’’ dated June 19, 1995. This of the piping. Significant spiking may conclusion was based on the fact that the automatically actuate such systems as the compensatory actions and committed to install hardware modifications. Licensees for probability of recovering forced cooling of primary containment isolation system (PCIS). all affected plants have either completed the stored spent fuel with access to the This occurred at the Pilgrim plant. After installation of hardware modifications or are necessary equipment was high, and the spiking, which is of short duration, the currently shutdown and will install the probability of experiencing a severe core indicated water level returns to actual level. hardware modifications prior to restart. damage accident, which may prevent access Level spiking is of little significance. To solve the problem identified in NRC to systems need to cool the spent fuel pool, Bubbling of the gases may eject a significant Bulletin 93–03, Pilgrim installed a backfill was low. amount of water from the reference leg. Loss modification to all safety-related water level The staff issued Information Notice 93–83, of reference leg inventory will cause an instrumentation in July 1993. Non-safety- ‘‘Potential Loss Of Spent Fuel Pool Cooling erroneously high level indication. This related control instrumentation was not Following A Loss Of Coolant Accident,’’ occurred during a normal plant cooldown on modified by Pilgrim, because such (October 7, 1993), describing the Section January 21, 1993, at Washington Nuclear instrumentation was not covered by the 21.21 report related to Susquehanna. The Power Unit 2 (WNP–2), resulting in a 32-inch actions requested in NRC Bulletin 93–03. information notice did not require specific error in level indication that gradually As Petitioners note, an event occurred at action by licensees. Recognizing the plant- recovered over a period of 2 hours. If the Pilgrim on November 8, 1993, involving the specific design features and operational reactor is rapidly depressurized, as would non-safety-related water level controls of most spent fuel pool cooling occur during a design basis loss-of-coolant instrumentation. This event was caused by system designs, the staff concluded that accident (LOCA) or opening of the automatic failure of the licensee to back flush the further evaluation of spent fuel pool storage depressurization system (ADS) valves, even feedwater control instrumentation reference safety issues at other plants was warranted to larger errors in the level indication could legs prior to restart due to procedural determine the need for further generic result. However, analyses presented by the inadequacy and failure to cross-check action.1 industry indicated that significant errors multiple indications of reactor vessel water The staff has developed and begun would not be expected until the reactor is level during startup due to operator error. implementing a generic action plan to depressurized below approximately 450 psi. This event is not safety significant for the evaluate generic issues. On-site safety The NRC staff has taken several actions to following reasons: assessments of spent fuel storage at selected address this problem. The BWR Owners (a) event initiation was the result of two reactor facilities have been completed. Group (BWROG) Regulatory Response Group independent errors which are not expected to Monticello Nuclear Power Plant is similar to (RRG) was activated during July 1992. The have a high frequency of recurrence; Pilgrim and was one of the nuclear facilities staff also issued Information Notice 92–54 in (b) safety systems and non-safety systems assessed during the week of March 27, 1995. July 1992, GL 92–04 in August 1992, and are separated by design; thus, the availability The assessment team concluded that the Information Notice 93–27 in March 1993 to and capability of the safety systems should potential for a sustained loss of spent fuel alert licensees to the potential problem and not be impacted by errors in the non-safety pool cooling or a significant loss of spent fuel to request information concerning actions instrumentation and the ability of safety pool coolant inventory at the site visited was taken or planned by licensees in response to systems to protect the plant should not be remote based on observed design features potential errors in level indication. The compromised; and and operational controls. Based on the above, BWROG conducted a test program to support (c) the safety systems responded to the the NRC staff has concluded that the their efforts to resolve this issue. The results event as expected. Petitioners have not identified any safety of the BWROG reference leg de-gas test This issue is closed because the licensee concerns at Pilgrim regarding spent fuel pool program confirmed that no significant errors took adequate corrective actions in response cooling during a LOCA/LOOP. in level indication will occur until the to the November 8, 1993, event. See NRC reactor is depressurized below 450 psig, and Inspection Report 50–293/93–20, dated 1 that large errors in level indication are In the near future, the staff will issue an January 11, 1994. additional information notice describing the results possible once the reactor is depressurized to Based on the above, Petitioners have not of its detailed evaluation of the Susquehanna lower pressures. raised a substantial safety concern regarding facility. This information notice will be an interim The NRC staff received additional safety-related water level instrumentation at communication and will not represent the end of information from the BWROG pertaining to Pilgrim. the staff’s generic review. 47190 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices (4) Motor-Operated Valves (e) plans for conducting design-basis beyond the Design Basis Accidents for the Petitioners request information on the differential pressure testing have not been facility. Its installation, along with the status of the motor-operated valve (MOV) clearly established; procedures for its use, will reduce the program at Pilgrim, and inquire why Pilgrim (f) the current work instructions for likelihood of a core melt from accident has not been required to fix all MOVs during performing design basis reviews and switch sequences involving the loss of long-term the March 1995 outage. setting calculations lack adequate detail; and decay heat removal. This accomplished by The NRC issued GL 89–10, ‘‘Safety-Related (g) a considerable effort remains to preventing any further damage to safety Motor-Operated Valve Testing and implement the GL 89–10 program in a timely equipment in the reactor building by Surveillance’’ (June 28, 1989) to request that manner. ensuring that the piping from the licensees verify the capability of all safety- The NRC staff found considerable progress containment to the venting stack will not fail. related MOVs to perform their design basis in the licensee’s MOV program since the Further, as a mitigation measure, the vent functions. GL 89–10 requested that licensees initial NRC team inspection in March 1992. pathway is located in the wetwell air space. complete differential pressure and flow Particularly, the staff concluded that the This location ensures that the vented non- testing for the verification of MOV design findings from the March 1992 inspection had condensible gases will pass through the basis capability within 5 years after the been satisfactorily addressed. See Inspection suppression pool thereby significantly issuance of GL 89–10 or three refueling Report No. 50–293/93–22 (April 14, 1994). In scrubbing the fission products. The HWWVS outages after December 1989, whichever was addition, the testing of differential pressure is an improvement that the NRC staff later. and/or static pressure of all of the Priority 1 recommended in its Mark I Containment Pilgrim is scheduled to complete its MOV (highest risk) MOVs that can be tested was Performance Improvement Program, which Design Basis Capability Verification by April completed by the end of RFO No. 10. identified plant modifications that could 1997. Although this is somewhat later than Additionally, the licensee has evaluated all enhance the capability to both prevent and some other plants, the licensee is being given of the GL 89–10 MOVs for susceptibility to mitigate the consequences of severe the same number of outages (three outages pressure locking and thermal binding and, by accidents. with 24 month cycles) as other licensees to the end of RFO No. 10, completed The HWWVS has valves that are kept complete the verification, and the program modifications on the few valves that were closed during plant operation, assuring commenced somewhat later at Pilgrim due to considered susceptible. The staff concludes containment integrity. Additionally, the the 1990 restart from an extended outage. that the licensee is on schedule to meet its HWWVS design incorporates a device called During the implementation of GL 89–10, April 1997 completion date. a rupture disc, which provides an additional licensees have discovered more MOV Based on the progress made to date by the leak-tight barrier to further prevent the concerns and experienced greater difficulty licensee in implementing its GL 89–10 transport of the containment atmosphere in in conducting MOV tests at full design basis program at Pilgrim, the NRC staff did not the wetwell to the atmosphere. The HWWVS differential pressure and flow than consider it necessary that the licensee is not in use during normal plant operation, envisioned when the GL 89–10 schedule was complete its GL 89–10 program during RFO nor is it expected to be used during established. Where significant MOV No. 10. In addition to review of the licensee’s anticipated transient conditions. Petitioners problems are identified, the NRC ensures that submittals in response to GL 89–10 and its have not demonstrated any basis why this licensees resolve these problems promptly. supplements, the NRC staff is conducting an system should be ‘‘corrected.’’ Further, when the evaluation of NRC- extensive inspection program to evaluate the (6) Drywell Liner Corrosion sponsored MOV test results indicated MOV program implemented in response to Petitioners request information on the potential problems with specific MOVs in GL 89–10 at Pilgrim, as well as at other status of drywell liner corrosion vulnerability high pressure systems at boiling-water nuclear power plants. The NRC staff and asks whether it would be corrected reactor (BWR) nuclear power plants, the NRC concludes that the licensee has substantially during RFO No. 10. issued Supplement 3 to GL 89–10 in October reduced the concerns with MOV operation The NRC issued GL 87–05, ‘‘Request For 1990. Supplement 3 requested that BWR under design basis conditions and is Additional Information-Assessment of licensees promptly evaluate the capability of progressing significantly toward completing Licensee Measures to Mitigate and/or MOVs used for containment isolation in the the GL 89–10 program. Nevertheless, if Identify Potential Degradation of Mark I steam lines of the high-pressure coolant significant MOV problems are identified at Drywells,’’ as a result of the November 1986 injection and reactor core isolation cooling Pilgrim, the licensee will be responsible for discovery of corrosion of the Oyster Creek systems and in the supply line to the reactor addressing those problems in accordance steel drywell in the area of the sand cushion. water cleanup system. Further, the staff with their safety significance, irrespective of GL 87–05 did not establish any regulatory issued Supplement 5 to GL 89–10 in June the GL 89–10 completion schedule. Further, requirements other than for Mark I licensees 1993, requesting that licensees ensure that the NRC will continue to take regulatory to provide the staff with information as to new information on the increased inaccuracy action on a plant-specific or generic basis, as what actions, if any, were being taken as a of MOV diagnostic equipment be addressed. appropriate, when MOV problems are result of the Oyster Creek finding. The These two actions were satisfactorily identified. licensee responded to GL 87–05 by letter completed by Pilgrim. Based upon the actions taken to date by the dated May 11, 1987. The licensee The NRC staff has been monitoring the licensee to address safety-related MOV issues implemented a surveillance program to progress of the GL 89–10 program at Pilgrim and the NRC’s inspections regarding the detect whether a corrosive environment closely. From December 13 to 17, 1993, and licensee’s actions on the GL 89–10 program, exists on the external surface of the drywell. March 22 to 25, 1994, the NRC staff the NRC staff concludes that no corrective This is done by checking the drywell liner air conducted an inspection of the GL 89–10 actions are required. gap drain lines for the presence of water program at Pilgrim. As stated in NRC (5) Containment Integrity during every refueling outage. Inspection Report 50–293/92–80, the NRC In January 1987, prior to issuance of GL staff had the following findings as a result of Petitioners ask whether the hardened 87–05, the licensee conducted ultrasonic the March 1992 inspection: wetwell vent system (HWWVS), referred to as inspections of the interior of the drywell (a) The method used to set the MOV torque the ‘‘Torus Vent’’, which ‘‘allows venting of liner in the area of the sand drains, which switches using diagnostic testing equipment radioactive effluents directly into our confirmed liner integrity. In January 1988, was inadequate; atmosphere,’’ will be corrected in RFO No. the drain lines were verified not to be (b) the torque switch settings on several 10. blocked by using a boroscope. As of the last safety-related MOVs were not set in The licensee installed the HWWVS surveillance, conducted on March 31, 1995, accordance with the plant design documents; modification during the 1986–1988 outage, no water leakage had been detected. (c) corrective actions taken in response to thus providing the capability to establish Petitioners have not demonstrated any basis an internal audit of the GL 89–10 Program alternate containment decay heat removal if for correcting this system. regarding the torque switch settings of safety- RHR torus cooling capability is lost. The related valves were inadequate; direct torus venting minimizes the potential (7) Station Blackout (d) the GL Supplement 3 response for the for core damage and containment failure. The Petitioners request information on station reactor water cleanup system isolation valve HWWVS has the capability of mitigating a blackout vulnerability and ask whether it 1202–5 was inadequate; wide range of events including many that are would be corrected during RFO No. 10. Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices 47191 On December 23, 1993, the NRC issued than 1500 psi), medium pressure (greater regarding the efficacy of TWCA’s ‘‘beta ‘‘NRC Pilot Station Blackout Team than 500 psi and less than 1500 psi), and low quench’’ process, a step in the manufacture Inspection,’’ a report concerning the Pilgrim pressure (less than 500 psi) applications. of zircaloy tube shells which improves the plant, Inspection Report 50–293/93–80. The The licensee responded to the requested corrosion resistance of that product: (1) the purpose of that inspection was to review actions of Bulletin 90–01, Supplement 1, on accuracy of temperature indicating devices as Pilgrim’s programs, procedures, training, March 5, 1993 and August 30, 1993. There a predictor of the temperature of the bulk equipment and systems, and supporting are a total of 40 Model 1153B transmitters profile of the zircaloy billet the beta quench documentation for implementing the Station currently in service, 14 medium pressure process was measuring, and (2) even if the Blackout (SBO) Rule, 10 CFR 50.63. The transmitters and 26 low pressure profiles of the induction furnaces are actions taken to implement the station transmitters. The licensee committed to accurate, the induction furnaces cannot blackout rule are important because many of include each of these transmitters in its reproduce the profile conditions for each the systems required for decay heat removal enhanced surveillance monitoring program. production zircaloy billet as the heating in and containment cooling are dependent on The licensee stated that there were no Model the furnace is very sensitive to the position the availability of alternating current (ac) 1153D or 1154 transmitters currently in of the billet in the furnace. power. In the event of a station blackout, service. Neither of the two NRC inspections relatively few systems that do not require ac The licensee also stated that there were 33 substantiated the employee’s concerns. See power are depended upon to remove decay Model 1153B transmitters, manufactured Inspection Reports 99901229/91–01 heat, until ac power is restored. after July 1989, in service. Such transmitters (November 27, 1991) and 99901229/94–01 The staff concluded in Inspection Report are not subject to the Bulletin 90–01, (January 31, 1995). These inspection reports 50–293/93–80 that: Supplement 1, requested actions because are available in the NRC Public Document (a) Pilgrim had sufficient condensate Rosemount corrected the oil leakage problem Room, the Gelman Building, 2120 L Street, inventory to cope with an 8-hour SBO by an improved manufacturing and quality NW., Washington, DC. TWCA also duration; assurance process. Although Supplement 1 investigated these concerns. In a letter to the (b) all areas which contained equipment does not require these transmitters to be NRC dated January 10, 1991, TWCA needed for SBO coping had proper cooling; included in an enhanced surveillance forwarded the results of its investigation, (c) there was sufficient evidence that the monitoring program, the licensee has chosen concluding that these concerns were torus temperature and the reactor vessel to include them in its program. The unfounded, although the employee conditions would be maintained according to licensee’s enhanced surveillance program is continued to have concerns. the plant TSs; based on both the trending of operating drift Based on the above, Petitioners have not (d) the overall communications capability data and calibration drift data, and is in demonstrated any basis for fuel rod corrosion available during an SBO were adequate; accordance with Rosemount Technical corrective actions. (e) adequate emergency lighting was Bulletin No. 4. (2) Substandard and/or Counterfeit Parts available to support plant personnel The NRC, with assistance from its Petitioners state that Pilgrim was one of operations during a station blackout; and contractor, reviewed the licensee’s response several plants identified in a 1990 study by (f) plant modifications were properly to Supplement 1, and in a letter dated the United States Government Accounting installed, and post-modification and pre- November 29, 1994, concluded that the Office as using parts which did not meet operational tests were conducted in licensee satisfied the reporting requirements government standards, but that the NRC has accordance with proper test procedures. and conformed to the requested actions of not asked plants such as Pilgrim to replace Quality assurance and maintenance Bulletin 90–01, Supplement 1. Accordingly, those parts. Petitioners request information practices, operator training, and staffing no further actions by the licensee were levels were appropriate to cope with an SBO. on the status of substandard or counterfeit required with respect to this Rosemount parts at Pilgrim, such as nuts, bolts, pipe Accordingly, the Pilgrim plant is in Issue during RFO No. 10. compliance with Section 50.63 and the plant fittings, circuit breakers and fuses, and does not have a SBO vulnerability requiring C. Parts and Components Potentially a whether corrective action would be required ‘‘correction’’ during RFO No. 10. Problem at Pilgrim during RFO No. 10. The NRC has been pursuing the issue of (1) Fuel Rod Corrosion (8) Rosemount Transmitters counterfeit and substandard parts as a two Petitioners request information on the Petitioners request information regarding prong process for a number of years. The first status of Rosemount transmitters at Pilgrim, the status of zirconium alloy tubes installed process is reactive, directly addressing the and ask whether all would be inspected and at Pilgrim, and asks if their susceptibility to possibility that substandard or counterfeit corrected during RFO No. 10. nodular corrosion would be corrected during parts may have been supplied to nuclear On December 22, 1992, the NRC staff RFO No. 10. power plants, assessing the safety issued Bulletin 90–01, Supplement 1, ‘‘Loss Nodular corrosion is a phenomena seen in significance and, if needed, replacing the of Fill-Oil in Transmitters Manufactured by plants that have copper in the reactor water parts. The second process is a proactive Rosemount,’’ which requested that licensees at a concentration in the 20–30 parts per approach of improving the assurance that take appropriate corrective actions for Model billion (ppb) range. Pilgrim systems design parts are of a high quality before they are put 1153, Series B and D, and Model 1154 limits copper levels to less than 1 ppb in the into use. Rosemount transmitters manufactured before reactor water. Additionally, all fuel rod Since 1988, the NRC has performed over July 11, 1989, and used in safety-related cladding in use at Pilgrim has been subject 200 inspections of vendors. During these applications or Anticipated Transient to the GE Nuclear Energy in-process heat inspections, the staff occasionally identified Without Scram (ATWS) systems. The treatment (IPHT) process 2, which is a heat suspect practices and referred those cases to performance of a transmitter that is leaking treatment process that evenly distributes the the Office of Investigations to determine if fill-oil gradually deteriorates and may composition of the alloy thus lowering the wrongdoing had been committed. The NRC eventually lead to failure. Although some susceptibility to nodular corrosion. Pilgrim also quickly published and disseminated the failed transmitters have shown symptoms of has not experienced nodular corrosion, and information to the entire nuclear industry. loss of fill-oil prior to failure, it has been failure of fuel rods is not expected from this Over the past several years, the NRC has reported that in some cases the failure of a phenomenon. issued numerous Bulletins and Information transmitter that is leaking fill-oil may be The NRC staff conducted two inspections Notices having to do with potential difficult to detect during operation. of Teledyne Wah Chang Albany (TWCA), the counterfeit and/or substandard parts and Transmitter failures that are not readily manufacturer of zirconium alloy tubes. In material. However, the staff has not yet detectable increase the potential for common April 1990, an employee of Teledyne Wah identified an issue that, from a safety mode failure and may result in the affected Chang Albany (TWCA) raised two concerns standpoint, resulted in any plant shutdowns. safety system not performing its intended Nonetheless, the NRC determined that safety function. Supplement 1 identified 2 TWCA does not produce fuel clad tubing, but several issues could potentially reduce the specific actions for replacement or enhanced supplies an intermediate product form to customers margin of safety in some plants and surveillance monitoring of the these that do, including GE Nuclear Energy, who requested some actions by licensees, usually transmitters, used in high pressure (greater performs the IPHT on the forms. through a Bulletin. 47192 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices If the NRC obtains information that some Jersey and West Jersey Manufacturing In addition to the Information Notices and licensees are identified as potential Company at Williamstown, New Jersey.’’ Bulletins which identified specifics about customers of a vendor suspected of supplying That Bulletin required NRC licensees to potential counterfeit or substandard counterfeit or substandard parts, an submit information regarding materials materials, the NRC staff has issued two Information Notice is issued. The issuance of supplied by the named companies and generic letters providing information to the an Information Notice does not mean that the requested the licensees to assure that the industry regarding procurement program identified licensee(s) did, in fact, receive the materials complied with ASME Code Section improvements to help prevent the acceptance questionable parts, but rather that they were III, Subarticle NCA–3800 and design and use of counterfeit and/or substandard potential customers. The licensees are specifications requirements, or were suitable material. The industry, through the efforts of responsible for reviewing their own for their intended use, or to replace the the Nuclear Energy Institute (NEI, successor procurement records to identify if they materials. Following the issuance of that to NUMARC), has also taken a strong received the suspect parts. Their actions are Bulletin and actions taken by licensees, the approach to improve procurement programs subject to NRC review and inspection. NRC met with representatives of the Nuclear by means of a Comprehensive Procurement The 1990 GAO report, ‘‘Nuclear Safety and Management and Resources Council Initiative, which addressed five areas which Health: Counterfeit and Substandard (NUMARC) to discuss the status of licensee included general procurement, vendor Products Are a Governmentwide Concern,’’ actions. NUMARC presented information on audits, tests and/or inspections, obsolescent, lists a wide range of products as having been licensee and NUMARC/Electric Power and information exchanges. The received or suspected of having been Research Institute (EPRI) testing and Comprehensive Procurement Initiative has received by nuclear plants. The information evaluation methodology of numerous flanges. greatly reduced the incidence of substandard provided by the GAO report regarding The information presented at that meeting and/or counterfeit parts in the industry. products used in nuclear operations was showed that the material in question had In view of the above, no action regarding obtained from the NRC and all of the acceptable strength and that continued use of substandard or counterfeit parts needed to be information was made public through the fittings and flanges did not present a taken by the licensee before start-up of the various NRC Information Notices and safety problem. Therefore, the NRC issued Pilgrim plant following RFO No. 10. Bulletins. The Pilgrim station was listed in Supplement 2 to Bulletin 88–05 on August 3, 1988, announcing that it was appropriate to D. NRC Oversight and Enforcement the GAO report as having received Discretion counterfeit or substandard fasteners and suspend the actions requested by the Petitioners state that since September 1989, circuit breakers. Pilgrim was also listed as Bulletin. NUMARC follow-up reports were the NRC has either waived or chosen not to being suspected of receiving counterfeit or analyzed by the staff and judged acceptable. enforce regulations at nuclear reactors more substandard pipe fittings/flanges and fuses. Therefore, no further actions were required. than 340 times, and that of the last 100 On November 6, 1987, the NRC issued In response to Bulletin 88–05, Pilgrim identified and tested a number of suspect industry requests for enforcement discretion, Bulletin 87–02, ‘‘Fastener Testing to flanges. All were found to be satisfactory, the Commission has granted every one. Determine Compliance With Applicable with the exception of one which tested low Petitioners also state that the NRC has Material Specifications.’’ The Bulletin in hardness. An engineering evaluation granted at least seven NOEDs to Pilgrim since requested all licensees to review their receipt performed by Pilgrim determined the flange 1989. Petitioners assert that permitting a inspection requirements and internal was acceptable and did not need to be reactor to operate cannot pose less risk to controls for fasteners and to determine, replaced. public health and safety than keeping the through testing, whether fasteners in stores at On July 8, 1988, the NRC issued reactor shut down until it meets regulations. their facilities met required mechanical and Information Notice 88–46, ‘‘Licensee Report The NRC Enforcement Policy, Section chemical material specification requirements. of Defective Refurbished Circuit Breakers,’’ VII.C., permits the staff to exercise discretion Licensee responses were summarized in which alerted licensees to the possibility of not to enforce applicable TSs or license NUREG–1349, ‘‘Compilation of Fastener defective circuit breakers being supplied to conditions by issuance of a NOED. Such Testing Data Received in Response to NRC the nuclear industry. Following the issuance enforcement discretion may be exercised Compliance Bulletin 87–02.’’ NUREG–1349 of the notice, the NRC issued Bulletin 88–10, only if the NRC staff is clearly satisfied that identified that, of over 3500 fasteners tested, ‘‘Nonconforming Molded-Case Circuit the action is consistent with protecting the 8 percent of safety-related and 12 percent of Breakers,’’ which requested licensees to take public health and safety, in cases when a nonsafety-related fasteners were found to be action to provide reasonable assurance that licensee’s compliance with a TS Limiting nonconforming. However, only 2 percent of those molded-case circuit breakers that did Condition for Operation or other license the safety-related fasteners were found to be not have verifiable traceability to the circuit condition would involve: sufficiently out of specification to cause a breaker manufacturer were able to perform (a) an unnecessary plant transient; or concern regarding their ability to perform their safety function. In response to the (b) performance of testing, inspection or their intended safety function. As a result of Bulletin, Pilgrim identified only one of 978 system realignment that is inappropriate with the licensees’ responses to Bulletin 87–02, circuit breakers in its warehouse as not being the specific plant conditions; or the NRC issued a temporary inspection traceable to the original equipment (c) unnecessary delays in plant startup instruction to ensure that licensees verified manufacturer. That breaker was the only one without a corresponding health and safety that fasteners used in nuclear plants met the purchased on its purchase order and was benefit. requisite specifications and that operability subsequently discarded. For an operating plant, the NOED is of safety-related components was not On April 26, 1988, the NRC issued intended to (1) avoid undesirable transients affected. Information Notice 88–19, ‘‘Questionable as a result of forcing compliance with the In response to Bulletin 87–02, Pilgrim Certification of Class 1E Components,’’ to license condition and, thus, minimize tested 35 safety-related and 29 non-safety- alert licensees to a possible problem with the potential safety consequences and related fasteners. Three safety-related and 6 certification of Class 1E components by operational risks or (2) eliminate testing, non-safety-related fasteners were identified Planned Maintenance Systems (PMS) of Mt. inspection, or system realignment that is as having hardness values slightly out of Vernon, Illinois. Information provided to the inappropriate for the particular plant specification. These slight deviations were NRC by a licensee raised questions regarding conditions. For plants in a shutdown not considered safety significant since the the validity of certifications issued by PMS condition, the NOED is intended to reduce hardness deviations consisted of only 1 to 2 for Class 1E fuses PMS supplied. In response shutdown risk by avoiding testing, Rockwell points which is very close to the to Information Notice 88–19, the licensee inspection, or system realignment that is test accuracy of ≤ 1.0 Rockwell point. reviewed its procurement/QAD documents. inappropriate for the particular plant Furthermore, it is commonly recognized in There was no indication that the licensee had conditions, in that it does not provide an the industry that this property is most easily procured any material from PMS directly or overall safety benefit, or may, in fact, be influenced by variations in chemistry, heat through Bechtel or General Electric. detrimental to safety in the particular plant treatment, and surface treatments. Furthermore, the NRC review of PMS records condition. On May 6, 1988, the NRC issued Bulletin indicated that PMS did not supply material For plants attempting to start up, the need 88–05, ‘‘Nonconforming Materials Supplied or services through intermediate suppliers to for exercising enforcement discretion is by Piping Supplies, Inc. at Folsom, New the Pilgrim station. expected to occur less often than for Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices 47193 operating plants, because delaying startup [Docket Nos. 50±334 and 50±412] For further details with respect to this does not usually leave a plant in a condition action, see the application for in which it could experience undesirable Duquesne Light Company, Ohio amendment dated August 31, 1994, and transients. Thus, the issuance of NOEDs for Edison Company, Pennsylvania Power the licensee’s letter of May 18, 1995, plants attempting to start up must meet a Company, The Cleveland Electric which withdrew the portion of the higher threshold. Illuminating Company, The Toledo application for license amendment. The The use of enforcement discretion does not Edison Company, Beaver Valley Power above documents are available for change the fact that a violation of a license Station, Units 1 and 2; Notice of Partial public inspection at the Commission’s requirement will occur, nor does it imply Withdrawal of Application for Public Document Room, 2120 L Street, that enforcement discretion is being Amendment to Facility Operating NW., Washington, DC 20555 and at the exercised for any violation that may have led License B.F. Jones Memorial Library, 663 to the violation for which the licensee The United States Nuclear Regulatory Franklin Avenue, Aliquippa, requests issuance of a NOED. Where the NRC Commission (the Commission) has Pennsylvania 15001. staff has chosen to issue a NOED, granted the request by Duquesne Light enforcement action is normally considered Dated at Rockville, Maryland, this 31st day Company (the licensee) to withdraw a of August, 1995. for the root causes, to the extent violations portion of its August 31, 1994, led to the noncompliance for which For the Nuclear Regulatory Commission. application for a proposed amendment enforcement discretion was used. Donald S. Brinkman, to Facility Operating License Nos. DPR– Petitioners have provided no basis Senior Project Manager, Project Directorate 66 and NPF–73 for Beaver Valley Power warranting a change in the Commission’s I–2, Division of Reactor Projects—I/II, Office Station, Units 1 and 2, located in Beaver policy regarding the exercise of enforcement of Nuclear Reactor Regulation. County, Pennsylvania. [FR Doc. 95–22462 Filed 9–8–95; 8:45 am] discretion pursuant to Section VII.C. of the The proposed amendment involved Enforcement Policy. BILLING CODE 7590±01±P deletion of certain license conditions IV. Conclusion and the following changes to the The institution of proceedings in technical specifications (TSs): [Docket Nos. 50±498 and 50±499] 1. Elimination of the references to accordance with Section 2.206, as requested Exemption by the Petitioner, is appropriate only where specific frequencies for each of the substantial safety issues have been raised. Technical Specification required audits. 2. Elimination of the references to In the matter of Houston Lighting & Power See Consolidated Edison Co. of New York Company, City Public Service Board of San (Indian Point Units 1, 2, and 3), CLI–75–8, reviews and audits of the Emergency Antonio, Central Power and Light Company, NRC 173, 175 (1975), and Washington Public Plan and Security Plan. City of Austin, Texas (South Texas Project, Power Supply System (WPPSS Nuclear 3. Separation of the Inservice Units 1 and 2). Inspection (ISI) and Inservice Testing Project No. 2), DD–84–7, 19 NRC 899, 923 I (1984). This is the standard I have applied to (IST) Programs surveillance the Petition. Petitioners have not raised any requirements and removal of the Houston Lighting & Power Company, substantial safety concerns regarding age- requirement that relief requests be (the licensee) is the holder of Facility related deterioration of reactor internals, or granted before they are implemented for Operating License Nos. NPF–76 and with other parts and components at Pilgrim. both IST and ISI. NPF–80, which authorizes operation of To the contrary, all potential problems 4. Editorial changes which were the South Texas Project, Units 1 and 2 identified by Petitioners regarding reactor necessitated by a reorganization. (STP). The operating licenses provide, internals and components have been 5. Elimination of the reference to among other things, that the licensee is satisfactorily addressed by the licensee at Appendix A of 10 CFR Part 55. subject to all rules, regulations, and Pilgrim. Therefore, Petitioner’s request to 6. Elimination of the requirement to orders of the Commission now and delay startup of the Pilgrim plant is denied. perform an independent fire protection hereafter in effect. Additionally, for the reasons discussed and loss prevention program inspection The facilities consist of two above, Petitioners request to terminate the annually. pressurized water reactors at the NRC policy of issuing notices of enforcement 7. Inclusion of the Offsite Dose licensee’s site in Matagorda County, discretion to reactor licensees is denied. Calculation Manual and Process Control Texas. Program and associated implementing Petitioner’s request for a public meeting was II granted. procedures into the list of required A copy of the Director’s Decision will be audits. Section III.D.3 of Appendix J to 10 filed with the Office of the Secretary for the On May 18, 1995, the licensee CFR Part 50 states that Type C tests Commission to review in accordance with 10 submitted a letter to the NRC requesting shall be performed during each reactor CFR 2.206(c). As provided by Section withdrawal of the proposed changes to shutdown for refueling but in no case at 2.206(c), this Decision will constitute the the TSs dealing with audits of the intervals greater than 2 years. Type C final action of the Commission 25 days after Beaver Valley Power Station fire tests are tests intended to measure issuance, unless the Commission, on its own protection program and withdrawal of a containment isolation valve leakage motion, institutes a review of the decision proposed 25-percent grace period for all rates. within that time. audit frequencies (Item 6 of August 31, 1994 application). III For the Nuclear Regulatory Commission. The Commission has previously Dated at Rockville, Maryland, this 31st day By letter dated May 25, 1995, Houston issued a Notice of Consideration of of August 1995, Lighting & Power (HL&P) requested Issuance of Amendments to Facility relief from the requirement to perform William T. Russell, Operating Licenses, Proposed No Type C tests during each reactor Director, Office of Nuclear Reactor Regulation Significant Hazards Consideration shutdown for refueling. HL&P proposes [FR Doc. 95–22461 Filed 9–8–95; 8:45 am] Determination, and Opportunity for a to perform the required Type C tests BILLING CODE 7590±01±P Hearing, which was published in the while the plant is at power. Federal Register on December 21, 1994 The licensee’s request cites the (59 FR 65812). special circumstances of 10 CFR 50.12, 47194 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices paragraph (a)(2)(ii), as the basis for the refueling outages as long as the 2-year SECURITIES AND EXCHANGE exemption. The licensee states that the maximum interval is not exceeded. COMMISSION underlying purpose of the rule is to Based on the above, the NRC staff finds [Release No. 34±36181; File No. SR±Amex± assure that adequate testing is done to the basis for the licensee’s proposed 95±24] assure containment integrity. The exemption from the requirement to licensee’s view is that from the perform the Type C tests during each Self-Regulatory Organizations; standpoint of testing adequacy, when reactor shutdown for refueling to be American Stock Exchange, Inc.; Order the testing is performed is not relevant acceptable. Granting Approval to Proposed Rule because the conditions of testing are the Pursuant to 10 CFR 51.32, the Change Relating to the Execution of same regardless of when it is performed. Commission has determined that the Odd-Lot Market Orders Taking credit for testing performed granting of this Exemption will not have September 1, 1995. during power operation provides the a significant impact on the quality of the On June 16, 1995, the American Stock same degree of assurance of human environment (60 FR 45171). This Exchange, Inc. (‘‘Amex’’ or ‘‘Exchange’’) containment integrity as taking credit exemption is effective upon issuance. for testing performed during shutdown. submitted to the Securities and Therefore, consistent with 10 CFR Dated at Rockville, Maryland, this 31st day Exchange Commission (‘‘Commission’’), 50.12, paragraph (a)(2)(ii), the licensee of August 1995. pursuant to Section 19(b)(1) of the proposes that application of the For the Nuclear Regulatory Commission. Securities Exchange Act of 1934 regulation in this particular Jack W. Roe, (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 a circumstance is not necessary to achieve Director, Division of Reactor Projects III/IV, proposed rule change to amend Amex the underlying purpose of the rule. Office of Nuclear Reactor Regulation. Rule 205 3 to provide for the execution of odd-lot market orders 4 at a price IV [FR Doc. 95–22463 Filed 9–8–95; 8:45 am] BILLING CODE 7590±01±P based upon the Intermarket Trading Section III.D.3 of Appendix J to 10 System (‘‘ITS’’) best bid or offer, subject CFR Part 50 states that Type C tests to certain conditions as described more shall be performed during each reactor fully below. shutdown for refueling but in no case at RAILROAD RETIREMENT BOARD The proposed rule change was intervals greater than 2 years. The published for comment in the Federal licensee proposes an exemption to this Determination of Quarterly Rate of Register on July 19, 1995.5 No section to perform the required Type C Excise Tax for Railroad Retirement comments were received on the tests while the plant is at power. Supplemental Annuity Program proposal. The Commission has determined that The Exchange proposes to amend pursuant to 10 CFR 50.12(a)(1) that this In accordance with directions in Amex Rule 205 in order to establish exemption is authorized by law, will not Section 3221(c) of the Railroad new odd-lot pricing procedures. The present an undue risk to the public Retirement Tax Act (26 U.S.C., Section Commission initially approved the health and safety, and is consistent with 3221(c)), the Railroad Retirement Board Exchange’s current odd-lot pricing the common defense and security. The has determined that the excise tax procedures as a pilot program in January Commission further determines that 6 imposed by such Section 3221(c) on 1989 and extended it eleven times special circumstances, as provided in 10 7 every employer, with respect to having since then. Under the pilot procedures, CFR 50.12(a)(2)(ii), are present justifying individuals in his employ, for each odd-lot market orders with no the exemption; namely, that application work-hour for which compensation is qualifying notations are executed at the of the regulation in this particular paid by such employer for services Amex quotation at the time the order is circumstance is not necessary to achieve rendered to him during the quarter the underlying purpose of the rule. 1 beginning October 1, 1995, shall be at 15 U.S.C. 78s(b)(1). The NRC staff has reviewed the basis 2 the rate of 33 cents. 17 CFR 240.19b–4. and supporting information provided by 3 Amex Rule 205 pertains to the manner of the licensee in the exemption request. In accordance with directions in executing odd-lot orders. The staff agrees with the licensee’s Section 15(a) of the Railroad Retirement 4 An odd-lot market order is an order of less than views provided above. In addition, the Act of 1974, the Railroad Retirement a unit of trading to buy, sell, or sell short, that carries no further qualifying notations. The normal NRC staff position is that the focus of Board has determined that for the trading unit, or round-lot, is 100 shares. Section III.D.3 of Appendix J is on the quarter beginning October 1, 1995, 36.3 5 Securities Exchange Act Release No. 35963 (July maximum time period between Type C percent of the taxes collected under 12, 1995), 60 FR 37112. tests, not the plant’s condition when the Sections 3211(b) and 3221(c) of the 6 Securities Exchange Act Release No. 26445 (Jan. tests are performed. This position is Railroad Retirement Tax Act shall be 10, 1989), 54 FR 2248 (approving File No. SR– Amex–88–23). illustrated in Section III.D.2 of credited to the Railroad Retirement 7 See Securities Exchange Act Release Nos. 35344 Appendix J regarding Type B tests (for Account and 63.7 percent of the taxes (Feb. 8, 1995), 60 FR 8430 (approving File No. SR– detection of local leakage of collected under such Sections 3211(b) Amex–95–03); 34949 (Nov. 8, 1994), 59 FR 58863 containment penetrations), where it and 3221(c) plus 100 percent of the (approving File No. SR–Amex–94–47); 34496 (Aug. 8, 1994), 59 FR 41807 (approving File No. SR– states that Type B tests shall be taxes collected under Section 3221(d) of Amex–94–28); 33584 (Feb. 7, 1994), 59 FR 6983 performed during reactor shutdown for the Railroad Retirement Tax Act shall be (approving File No. SR–Amex–93–45); 32726 (Aug. refueling, or other convenient intervals, credited to the Railroad Retirement 9, 1993), 58 FR 43394 (approving File No. SR– but in no case at intervals greater than Supplemental Account. Amex–93–24); 31828 (Feb. 5, 1993), 58 FR 8434 (approving File No. SR–Amex–93–06); 30305 (Jan. 2 years. From a safety standpoint, Type Dated: August 29, 1995. 20, 1992), 57 FR 4653 (approving File No. SR– B and Type C tests are the same kinds By Authority of the Board. Amex–92–04); 29922 (Nov. 8, 1991), 56 FR 58409 of tests, performed on somewhat (approving File No. SR–Amex–91–30); 29186 (May different types of containment isolation Beatrice Ezerski, 19, 1991), 56 FR 22488 (approving File No. SR– Secretary to the Board. Amex–91–09); 28758 (Jan. 10, 1991), 56 FR 1656 barriers; therefore, Type B and Type C (approving File No. SR–Amex–90–39); 27590 (Jan. tests can be treated similarly. Also, there [FR Doc. 95–22388 Filed 9–8–95; 8:45 am] 5, 1990), 55 FR 1123 (approving File No. SR–Amex– is no reason to restrict Type C tests to BILLING CODE 7905±01±M 89–31). Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices 47195 represented in the market either by offer, a quotation in a stock from exchange, and, in particular, with the being received at the trading post or another ITS market center will be requirements of Section 6 (b).16 through the Exchange’s Post Execution considered only if: (1) The stock is Specifically, the Commission believes Reporting (‘‘PER’’) system.8 Also, for the included in ITS in that market center, the proposal is consistent with Section purposes of the pilot program, limit (2) the size of the quotation is greater 6(b) (5) of the Act17 because the orders that are immediately executable than 100 shares, (3) the bid or offer is Exchange’s proposed pricing procedures based on the Amex quote at the time the no more than one-quarter dollar away for standard odd-lot market orders are order is received at the trading post or from the bid or offer, respectively, designed to facilitate the execution and through PER are executed in the same disseminated by the Exchange, (4) the reporting of odd-lot transactions, assist manner as market orders. Neither order quotation conforms to the Exchange’s in the prompt and accurate clearance type is charged an odd-lot differential.9 requirements concerning minimum and settlement of such transactions, Prior to the 1989 pilot program, odd-lot fractional changes,12 (5) the quotation perfect the mechanism of a free and market orders were routed to a specialist does not result in a ‘‘locked market,’’ 13 open market and a national market and held in accumulation in the PER (6) the market center is not experiencing system, and, in general, protect system or by the specialist until a operational or system problems with investors and the public interest. The round-lot execution in that security took respect to the dissemination of Commission anticipates this proposal place on the Exchange. Subsequent to quotation information, and (7) the bid or will ensure that customers receive the the round-lot execution, the odd-lot offer is ‘‘firm’’ pursuant to the best execution, both in terms of price order received the same price as the last Commission’s and the market’s rules.14 and time, for standard odd-lot market Exchange round-lot transaction, plus or If an ITS quotation from another market orders because such orders will be minus an odd-lot dealer differential. is not used because it fails to meet one priced off a current market quote In its previous orders, the of the above criteria, the best bid and instead of a subsequent transaction. Commission encouraged the Exchange offer disseminated by the Exchange will This should result in investors receiving to evaluate the feasibility of be used. more timely executions at the best implementing an odd-lot pricing system Where quotation information is not prices then prevailing under current based on the ITS best bid or offer.10 The available (e.q., when quotation market conditions. Commission was not satisfied that all collection or dissemination facilities are The Commission also believes it is customers were receiving the best inoperable) odd-lot market orders would reasonable for the Exchange to set execution, in terms of price and time, be executed at the prevailing Amex bid certain requirements to trigger the use of under the pilot procedures. In response, or offer or at a price deemed appropriate the ITS best bid or offer in the odd-lot the Exchange, in its most recent request under prevailing market conditions. All pricing system. The limited for an extension of the pilot program, odd-lot market orders entered prior to prerequisites for the use of the ITS quote stated that it has decided to proceed the opening of trading will continue to are appropriate to protect the automatic with systems modifications to provide automatically receive the opening price, execution feature of the odd-lot pricing for the execution of odd-lot market unless the Rule provides otherwise.15 system against the inclusion of aberrant orders at the ITS best bid or offer, The pricing procedures will apply to quotations. Although the ITS quote subject to certain conditions as market orders to buy on the offer and remains the Commission’s preferred hereinafter described, and that such orders to sell on the bid marked ‘‘long.’’ method of pricing standard odd-lot system modifications should be The proposal will continue to prohibit orders, the Commission recognizes that completed by February 8, 1996.11 odd-lot differentials for these the use of the ITS quote may not always The Exchange now proposes to amend transactions. Finally, these procedures be practicable for the Exchange. Amex Rule 205, which it intends to also will apply to odd-lot executable Therefore, the Commission believes, in implement after the required systems limit orders. the instances enumerated by the modifications are completed. The The Commission finds that the Exchange, it is appropriate to use the proposed amendment provides proposed rule change is consistent with Amex best bid or offer. Moreover, even generally for the execution of odd-lot the requirements of the Act and the those few orders receiving only the market orders at the highest bid and rules and regulations thereunder Amex quote will be executed more lowest offer disseminated by the Amex applicable to a national securities cheaply than under the pre-1989 system or by another ITS participant market. In because the Exchange’s proposal order to protect against the inclusion of 12 Amex Rule 127 governs the Exchange’s policy continues to ensure that a differential is incorrect or stale quotations when concerning minimum fractional changes for not charged for odd-lot market orders. determining the highest bid and lowest securities. When the ITS best bid or offer is 13 According to Amex Rule 236(a)(4), a ‘‘locked market’’ occurs whenever the Exchange unavailable, the Commission believes it 8 Securities Exchange Act Release No. 26445 (Jan. disseminates a bid for an ITS security at a price that is acceptable for the Amex to price 10, 1989), 54 FR 2248. The PER system provides equals or exceeds the price of the offer for the standard odd-lot market orders at the member firms with the means to electronically security then being displayed from another ITS price of the last Exchange round-lot sale transmit equity orders, up to volume limits participating market center or whenever the specified by the Exchange, directly to the Exchange disseminates an offer for an ITS security or at a price deemed appropriate under specialist’s post on the trading floor of the at a price that is less than the price of the bid for prevailing market conditions by the Exchange. Securities Exchange Act Release No. the security then being displayed from another ITS odd-lot dealer. In this way, the 34869 (Oct. 20, 1994), 59 FR 54016. participating market center. Exchange continue to provide 9 A differential is a charge paid by the customer 14 The Exchange considers a bid or offer as ‘‘firm’’ procedures that facilitate the execution to the specialist odd-lot dealer for executing the when the members of the market center order. disseminating the bid or offer are not relieved of of odd-lot orders. 10 Securities Exchange Act Release No. 26445 their obligations with respect to such bid or offer Finally, the Commission expects, (Jan. 10, 1989), 54 FR 2248 (approving File No. SR– under paragraph (c)(2) of Rule 11Ac1–1 pursuant to based on the Exchange’s Amex–88–23). the ‘‘unusual market’’ exception of paragraph (b)(3) representations, the required systems 11 Securities Exchange Act Release No. 35344 of Rule 11Ac1–1. See 17 CFR 240.11Ac1–1(b)(3); 17 modifications will be completed by (Feb. 8, 1995), 60 FR 8430 (approving File No. SR– CFR 240.11Ac1–1(c)(2). Amex–95–03). The Commission notes that the 15 See Amex Rule 205 (c) (1) (‘‘Orders Filled After current odd-lot pilot program is scheduled to expire the Close’’) and Amex Rule 205 (c) (2) (‘‘Non- 16 15 U.S.C. 78f(b). on February 8, 1996. Regular Way Trades’’). 17 15 U.S.C. 78f (b) (5). 47196 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices February 8, 1996. The Commission also Sections A, B, and C below, of the most of the Act and subparagraph (e) of Rule expects the Exchange to notify the significant aspects of such statements. 19b–4 thereunder. At any time within Commission staff of such completion 60 days of the filing of such proposed A. Self-Regulatory Organization’s and the implementation of this rule change, the Commission may Statement of the Purpose of, and proposal. summarily abrogate such rule change if Statutory Basis for, the Proposed Rule It Therefore Is Ordered, pursuant to it appears to the Commission that such Change Section 19(b)(2) of the Act,18 that the action is necessary or appropriate in the proposed rule change (SR–Amex–95– 1. Purpose public interest, for the protection of 24) is approved. In Securities Exchange Act Release investors, or otherwise in furtherance of For the Commission, by the Division of the purposes of the Act. Market Regulation, pursuant to delegated No. 36027 (July 27, 1995), 60 FR 39465 authority.19 (Aug. 2, 1995) (File No. SR–CHX–95– IV. Solicitation of Comments Margaret H. McFarland, 15), the CHX added rules for the Interested persons are invited to Enhanced SuperMAX Program into CHX Deputy Secretary. submit written data, views, and Article XX, Rule 37(e). The purpose of arguments concerning the foregoing. [FR Doc. 95-22392 Filed 9-8-95; 8:45 am] this proposed change is to make BILLING CODE 8010-01-M Persons making written submissions technical changes to Rule 37(e) to should file six copies thereof with the correct inadvertent errors contained in Secretary, Securities and Exchange [Release No. 34±36180; File No. SR±CHX± the prior filing. Specifically, Rule 37(e) Commission, 450 Fifth Street, N.W., 95±20] (1) and (2) are being changed to make Washington, D.C. 20549. Copies of the it clear that they refer to stopped submission, all subsequent Self-Regulatory Organizations; Notice orders 1 and not stop orders,2 among of Filing and Immediate Effectiveness amendments, all written statements other things. with respect to the proposed rule of Proposed Rule Change by the change that are filed with the Chicago Stock Exchange, Incorporated 2. Statutory Basis Commission, and all written Relating to Technical Corrections to Its The proposed rule change is communications relating to the Enhanced SuperMAX Rules consistent with Section 6(b)(5) of the proposed rule change between the Act in that it is designed to promote just September 1, 1995. Commission and any person, other than and equitable principles of trade, to those that may be withheld from the Pursuant to Section 19(b)(1) of the remove impediments too and to perfect Securities Exchange Act of 1934 public in accordance with the the mechanism of a free and open provisions of 5 U.S.C. § 552, will be (‘‘Act’’), 15 U.S.C. 78s(b) (1), notice is market and a national market system, hereby given that on August 25, 1995, available for inspection and copying at and, in general, to protect investors and the Commission’s Public Reference the Chicago Stock Exchange, the public interest. Incorporated (‘‘CHX’’ or ‘‘Exchange’’) Section, 450 Fifth Street, N.W., filed with the Securities and Exchange B. Self-Regulatory Organization’s Washington, D.C. 20549. Copies of such Commission (‘‘Commission’’) the Statement on Burden on competition filing will also be available for inspection and copying at the principal proposed rule change as described in The proposed rule change will impose office of the Exchange. All submissions Items I, II, and III below, which Items no burden on competition. have been prepared by the self- should refer to File No. SR–CHX–95–20 regulatory organization. The C. Self-Regulatory Organization’s and should be submitted by October 2, Commission is publishing this notice to Statement on Comments on the 1995. solicit comments on the proposed rule Proposed Rule Change Received from For the Commission, by the Division of change from interested persons. Members, Participants or Others Market Regulation, pursuant to delegated No written comments were solicited authority. I. Self-Regulatory Organization’s or received with respect to the proposed Margaret H. McFarland, Statement of the Terms of Substance of rule change. Deputy Secretary. the Proposed Rule Change [FR Doc. 95–22391 Filed 9–8–95;8:45am] III. Date of Effectiveness of the The Exchange, pursuant to Rule 19b– BILLING CODE 8010±01±M 4 of the Act, proposes to amend Rule Proposed Rule Change and Timing for 37(e) of Article XX, relating to its Commission Action Enhanced SuperMAX Program. The foregoing rule change constitutes DEPARTMENT OF TRANSPORTATION a stated policy, practice, or II. Self-Regulatory Organization’s interpretation with respect to the Statement of the Purpose of, and Notice of Applications for Certificates meaning, administration, or Statutory Basis for, the Proposed Rule of Public Convenience and Necessity enforcement of an existing rule of the Change and Foreign Air Carrier Permits Filed Exchange and, therefore, has become Under Subpart Q During the Week In its filing with the Commission, the effective pursuant to Section 19(b)(3)(A) Ended September 1, 1995 self-regulatory organization included statements concerning the purpose of 1 For purposes of the Enhanced SuperMAX The following Applications for and basis for the proposed rule change program, an order is ‘‘stopped’’ if an agency market Certificates of Public Convenience and and discussed any comments it received order would create either a double up tick (buy Necessity and Foreign Air Carrier order) or double down tick (sell order) if the order Permits were filed under Subpart Q of on the proposed rule change. The text was executed at the consolidated best bid or offer. of these statements may be examined at Once an order is stopped, a buy (sell) order is the Department of Transportation’s the places specified in Item IV below. guaranteed at least the offer (bid) price prevailing Procedural Regulations (See 14 CFR The self-regulatory organization has at the time of the stop (‘‘stopped price’’), and the 302.1701 et. seq.). The due date for Enhanced SuperMAX program will provide the Answers, Conforming Applications, or prepared summaries, set forth in order with an opportunity for price improvement. 2 Generally, a stop order is an order to buy or sell Motions to Modify Scope are set forth 18 15 U.S.C. 78s (b) (2). at the market price once the security has traded at below for each application. Following 19 17 CFR 200.30–3 (a) (12). a specified price (‘‘stop price’’). the Answer period DOT may process the Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices 47197 application by expedited procedures. disapproved on or before February 25, with obtaining the goal of reducing Such procedures may consist of the 1996. existing noncompatible land uses and adoption of a show-cause order, a EFFECTIVE DATE: The effective date of the preventing the introduction of tentative order, or in appropriate cases start of FAA’s review of the noise additional noncompatible land uses. a final order without further compatibility program is August 29, Interested persons are invited to proceedings. 1995. The public comment period ends comment on the proposed program with Docket Number: OST–95–486 October 28, 1995. specific reference to these factors. All comments, other than those properly Date filed: August 28, 1995 FOR FURTHER INFORMATION CONTACT: addressed to local land use authorities, Due Date for Answers, Conforming Mrs. Cathy Nelmes, FAA/Atlanta will be considered by the FAA to the Applications, or Motion to Modify Airports District Office, 1701 Columbia extent practicable. Copies of the noise Scope: September 25, 1995 Avenue, Suite 2–260, College Park, GA exposure maps, the FAA’s evaluation of Description: Application of Aviateca, 30337–2747. Comments on the proposed noise compatibility program the maps, and the proposed noise S.A., pursuant to 49 U.S.C. 41302 and compatibility program are available for Subpart Q of the Regulations, requests should also be submitted to the above office. examination at the following locations: renewal of its foreign air carrier Federal Aviation Administration, SUPPLEMENTARY INFORMATION: permit, to engage in foreign air This Atlanta Airports District Office, 1701 transportation of persons, property, notice announces that the FAA is Columbia Avenue, Suite 2–260, College and mail as conferred in Order 90–8– reviewing a proposed noise Park, GA 30337–2747. 58: 1. Between a point(s) in compatibility program for Savannah Mr. Patrick S. Graham, Savannah Guatemala and the terminal point International Airport which will be International Airport, 400 Airways Miami, Florida; 1. Between a points(s) approved or disapproved on or before Avenue, Savannah, GA 31408. in Guatemala; the intermediate points February 25, 1996. This notice also Questions may be directed to the Cancun and Merida, Mexico; and the announces the availability of this individual named above under the coterminal points New Orleans, program for public review and heading, FOR FURTHER INFORMATION Louisiana; Houston, Texas; and comment. CONTACT. Dallas/Ft. Worth, Texas; 3. Between a An airport operator who has submitted noise exposure maps that are Issued in Atlanta, Georgia, on August 29, point(s) in Guatemala; the 1995. found by FAA to be in compliance with intermediate point Santo Domingo, Dell T. Jernigan, Dominican Republic; and the terminal the requirements of Federal Aviation Regulations (FAR) Part 150, Manager, Atlanta Airports District Office point San Juan, Puerto Rico. 4. The Southern Region. authority to engage in charter trips. promulgated pursuant to Title I of the [FR Doc. 95–22483 Filed 9–8–95; 8:45 am] Paulette V. Twine, Act, may submit a noise compatibility BILLING CODE 4910±13±M Chief Documentary Services Division. program for FAA approval which sets forth the measures the operator has [FR Doc. 95–22482 Filed 9–8–95; 8:45 am] taken or proposes for the reduction of BILLING CODE 4910±62±P Research, Engineering and existing noncompatible uses and for the Development Advisory Committee; prevention of the introduction of Security R&D Subcommittee Federal Aviation Administration additional noncompatible uses. The FAA has formally received the Pursuant to Section 10(A) (2) of the Receipt of Noise Compatibility noise compatibility program for Federal Advisory Committee Act (Public Program and Request for Review; Savannah International Airport, Law 92–463; 5 U.S.C. App. 2), notice is Savannah International Airport, effective on August 29, 1995. It was hereby given of a meeting of the Savannah, GA requested that the FAA review this Scientific Advisory Panel of the material and that the noise mitigation Security R&D Subcommittee of the AGENCY: Federal Aviation measures, to be implemented jointly by Research, Engineering and Development Administration, DOT. the airport and surrounding Advisory Committee on Friday, October ACTION: Notice. communities, be approved as a noise 20, 1995, from 8:30 a.m. to 4:00 p.m. compatibility program under section The meeting will take place in the SUMMARY: The Federal Aviation 104(b) of the Act. Preliminary review of Aviation Security Laboratory, Federal Administration (FAA) announces that it the submitted material indicates that it Aviation Administration (FAA) is reviewing a proposed noise conforms to the requirements for the Technical Center, Atlantic City Airport, compatibility program that was submittal of noise compatibility New Jersey. submitted for Savannah International programs, but that further review will be The agenda will include an R&D Airport under the provisions of Title I necessary prior to approval or overview and report on recent of the Aviation Safety and Noise disapproval of the program. The formal developments; discussion on Abatement Act of 1979 (Public Law 96– review period, limited by law to a development of trace detection 193) (hereinafter referred to as ‘‘the maximum of 180 days, will be standards; aircraft and container Act’’) and 14 CFR Part 150 by the completed on or before February 25, hardening developments; and a Savannah Airport Commission. This 1996. laboratory tour. program was submitted subsequent to a The FAA’s detailed evaluation will be Attendance is open to the interested determination by FAA that associated conducted under the provisions of 14 public but limited to space available. noise exposure maps submitted under CFR Part 150, section 150.33. The With the approval of the Chairman, 14 CFR Part 150 for Savannah primary considerations in the members of the public may present oral International Airport were in evaluation process are whether the statements at the meeting. Persons compliance with applicable proposed measures may reduce the level wishing to present oral statements, requirements effective August 23, 1993. of aviation safety, create an undue obtain information, or to access the FAA The proposed noise compatibility burden on interstate or foreign Technical Center to attend the meeting program will be approved or commerce, or be reasonably consistent should contact Dr. Lyle Malotky, the 47198 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices Panel’s Designated Federal Official, on the Oceanic Program and the General Paperwork Reduction Act of 1980, FAA/ACS–20, 800 Independence Aviation Program. Public Law 96–511. Copies of the Avenue SW., Washington, DC 20591 Attendance is open to the interested submission(s) may be obtained by (202) 267–3967. public but limited to space available. calling the Treasury Bureau Clearance Members of the public may present a With the approval of the committee Officer listed. Comments regarding this written statement to the committee at chair, members of the public may information collection should be any time. present oral statements at the meeting. addressed to the OMB reviewer listed Issued in Washington, DC on September 5, Persons wishing to present oral and to the Treasury Department 1995. statements, or obtain information, Clearance Officer, Department of the Andres G. Zellweger, should contact Lee Olson at the Federal Treasury, Room 2110, 1425 New York Executive Director, Research, Engineering and Aviation Administration, AAR–200, 800 Avenue, NW., Washington, DC 20220. Independence Avenue, SW., Development Advisory Committee. Internal Revenue Service (IRS) [FR Doc. 95–22484 Filed 9–8–95; 8:45 am] Washington, DC 20591 (202) 267–7358. Members of the public may present a BILLING CODE 4910±13±M OMB Number: 1545–0096. written statement to the committee at Form Number: IRS Forms 1042 and any time. 1042–S. Research, Engineering and Issued in Washington, DC on September 5, Type of Review: Extension. Development Advisory Committee 1995. Title: Annual withholding Tax Return Andres G. Zellweger, Pursuant to section 10(A)(2) of the for U.S. Source Income of Foreign Executive Director, Research, Engineering and Persons, Foreign Person’s U.S. Source Federal Advisory Committee Act (Public Development Advisory Committee. Law 92–463; 5 U.S.C. App. 2), notice is Income Subject to Withholding. [FR Doc. 95–22485; Filed 9–8–95; 8:45 am] hereby given of a meeting of the FAA Description: Used by withholding Research, Engineering and Development BILLING CODE 4910±13±M agents to report tax withheld at source Advisory Committee. The meeting will in payment of certain income paid to be held on October 12 and 13, 1995, at nonresident alien individuals, foreign DEPARTMENT OF THE TREASURY the Holiday Inn Fair Oaks, 11787 Lee partnerships, or foreign corporations. The Service uses this information to Jackson Highway, Fairfax, Virginia. Public Information Collection On Thursday, October 12, the meeting verify that the correct amount of tax has Requirements Submitted to OMB for been withheld and paid to the U.S. will begin at 8 a.m. and end at 5 p.m. Review On Friday, October 13, the meeting will Respondents: Business or other for- begin at 8:00 a.m. and end at 1:00 p.m. August 28, 1995. profit, Individuals or households. The meeting agenda includes an update The Department of Treasury has Estimated Number of Respondents/ on the National Science and Technology submitted the following public Recordkeepers: 22,000. Council report, and update on information collection requirement(s) to Estimated Burden Hours Per subcommittee activities, and a briefing OMB for review and clearance under the Respondent/Recordkeeper: Form 1042 Form 1042±S Recordkeeping ...... 6 hr., 28 min ...... 5 hr., 1 min. Learning about the law or the form ...... 1 hr., 56 min ...... 3 hr., 21 min. Preparing the form ...... 3 hr., 59 min ...... 4 hr., 31 min. Copying, assembling, and sending the form to the IRS ...... 32 min ...... 16 min. Frequency of Response: Annually. Estimated Burden Hours Per Public Information Collection Estimated Total Reporting/ Respondent/Recordkeeper: Requirements submitted to OMB for Recordkeeping Burden: 21,324,020 Recordkeeping—6 hr., 13 min. Review hours. Learning about the law or the form—1 August 28, 1995, OMB Number: 1545–0619. hr., 0 min. The Department of Treasury has Form Number: IRS Form 6765. Preparing and sending the form to the IRS—1 hr., 8 min. submitted the following public Type of Review: Revision. information collection requirement(s) to Title: Credit for Increasing Research Frequency of Response: On Occasion. OMB for review and clearance under the Activities. Estimated Total Reporting/ Paperwork Reduction Act of 1980, Description: Internal Revenue Code Recordkeeping Burden: 108,680 hours. Public Law 96–511. Copies of the (IRC) section 38 allows a credit allows Clearance Officer: Garrick Shear (202) submission(s) may be obtained by a credit against income tax (determined 622–3869, Internal Revenue Service calling the Treasury Bureau Clearance under IRC section 41) for an increased room 5571, 1111 Constitution Avenue, Officer listed. Comments regarding this in research activities in a trade or N.W. Washington, DC 20224 information collection should be business. Form 6765 is used by OMB Reviewer: Milo Sunderhauf, addressed to the OMB reviewer listed businesses and individuals engaged in a (202) 395–7340, Office of Management and to the Treasury Department trade or business to figure and report the and Budget, Room 10226, New Clearance Officer, Department of the credit. The data is used to verify that the Executive Office Building, Washington, Treasury, Room 2110, 1415 New York credit claimed is correct. DC 20503. Avenue, NW., Washington, DC 20220. Respondents: Business or other for- Lois K. Holland, Bureau of Alcohol, Tobacco and profit. Departmental Reports Management Officer. Firearms (BATF) Estimated Number of Respondents/ [FR. Doc. 95–22394 Filed 9–8; 8:45 am] Recordkeepers: 13,000. Billing Code 4830±01±M OMB Number: New. Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices 47199 Form Number: ATF F 1676 (5110.12). Clearance Officer: Robert N. Hogarth, Title: Solicitation of Proposal Type of Review: New collection. (202) 927–8930, Bureau of Alcohol, Information for Award of Public Title: Bond Covering Removal To and Tobacco and Firearms, Room 3200, 650 Contracts. Use Of Wine At Vinegar Plant. Massachusetts Avenue, N.W., Description: Information requested of Description: ATF F 1676 (5510.2) is a Washington, DC 20226. offerors is specific to each procurement bond form which serves as a contract OMB Reviewer: Milo Sunderhauf, solicitation, and is required for Treasury between the proprietor of a vinegar (202) 395–7340, Office of Management to evaluate properly the capabilities and plant and a surety. The bond coverage and Budget, Room 10226, New experience of potential contractors who stated on the form is in an amount Executive Office Building, Washington, desire to provide the supplies or sufficient to cover the federal excise tax DC 20503. services to be acquired. Evaluation will on wine in transit to and stored on the Lois K. Holland, be used to determine which proposals vinegar plant until and wine becomes Departmental Reports Management Officer. are most advantageous to the vinegar. Government, price and other factors [FR Doc. 95–22395 Filed 9–8–95; 8:45 am] Respondents: Business or other for- considered. profit. BILLING CODE 4810 31±M Respondents: Business or other for- Estimated Number of Respondents: profit, Not-for-profit institutions. 25. Estimated Number of Respondents: Estimated Burden Hours Per Public Information Collection Requirements Submitted to OMB for 29,183. Respondent: 1 hour. Estimated Burden Hours Per Review Frequency of Response: Annually. Response: 34 hours, 27 minutes. Estimated Total Reporting Burden: 25 August 30, 1995. Frequency of Response: Other (one- hours. The Department of Treasury has time response). Estimated Total Reporting Burden: OMB Number: 1512–0081. submitted the following public 1,005,241 hours. Form Number: ATF F 5130.22 and information collection requirement(s) to Clearance Officer: Lois K. Holland, ATF F 5130.23. OMB for review and clearance under the (202) 622–1563, Departmental Offices, Type of Review: Revision. Paperwork Reduction Act of 1980, Title: Brewer’s Bond (5130.22); and Room 2110, 1425 New York Avenue Public Law 96–511. Copies of the Brewer’s Bond Continuation Certificate NW., Washington, DC 20220. submission(s) may be obtained by (5130.23). OMB Reviewer: Milo Sunderhauf, calling the Treasury Bureau Clearance Description: The Brewer’s Bond, AFT (202) 395–7340, Office of Management Officer listed. Comments regarding this Form 5130.22 is executed by a brewer and Budget, Room 10226, New information collection should be and surety company to ensure payment Executive Office Building, Washington, addressed to the OMB reviewer listed of excise tax on beer removed from the DC 20503. and to the Treasury Department brewery. The Continuation Certificate, Clearance Officer, Department of the Lois K. Holland, ATF F 5130.23 is executed by a brewer Treasury, Room 2110, 1425 New York Departmental Reports Management Officer. and surety company to continue in Avenue NW., Washington, DC 20220. [FR Doc. 95–22396 Filed 9–8–95; 8:45 am] effect the coverage of a Brewer’s Bond BILLING CODE 4810±25±M by the surety company. Departmental Offices/Office of Respondents: Business or other for- Procurement profit. Public Information Collection Estimated Number of Respondents: OMB Number: 1505–0080. Form Number: None. Requirements Submitted to OMB for 280. Review Estimated Burden Hours Per Type of Review: Extension. Respondent: 1 hour. Title: Post-Contract Award August 30, 1995. Frequency of Response: Other (every Information. The Department of Treasury has four years). Description: Information requested of submitted the following public Estimated Total Reporting Burden: contractors is specific to each contract information collection requirement(s) to 280 hours. and is required for Treasury to evaluate OMB for review and clearance under the OMB Number: 1512–0378. properly the progress made and/or Paperwork Reduction Act of 1980, Form Number: ATF F 1730 (5530.3) management controls used by Public Law 96–511. Copies of the and ATF REC 5530/1. contractors providing supplies or submission(s) may be obtained by Type of Review: Revision. services to the Government and to calling the Treasury Bureau Clearance Title: Applications and Notices— determine contractors’ compliance with Officer listed. Comments regarding this Manufacturers of Nonbeverage Products. the contracts, in order to protect the information collection should be Description: Reports (applications and Government’s interest. addressed to the OMB reviewer listed notices) are submitted by manufacturers Respondents: Business or other for- and to the Treasury Department of nonbeverage products who are using profit, Not-for-profit institutions. Clearance Officer, Department of the distilled spirits on which drawback will Estimated Number of Respondents: Treasury, Room 2110, 1425 New York be claimed. Reports ensure that 5,565. Avenue, NW., Washington, DC 20220. operations are in compliance with law; Estimated Burden Hours Per Special Request: The Department of prevents spirits from diversion to Response: 15 hours, 32 minutes. the Treasury has requested Office of beverage use. Protects the revenue. Frequency of Response: On occasion Management and Budget (OMB) review Estimated Number of Respondents: (as specified in contract). and approval of the information 640. Estimated Total Reporting Burden: collection described below by August Estimated Burden Hours Per 86,421 hours. 31, 1995. Respondent: 30 minutes. Frequency of Response: On occasion. OMB Number: 1505–0081. Departmental Offices/Office of Estimated total Reporting Burden: 640 Form Number: None. Procurement hours. Type of Review: Extension. OMB Number: 1505–0107. 47200 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices Form Number: None. Respondents: Individuals or Estimated Number of Respondents/ Type of Review: Reinstatement. households. Recordkeepers: 11,640,000. Title: Regulation on Agency Protests. Estimated Number of Respondents/ Estimated Burden Hours Per Description: Information requested of Recordkeepers: 135,500. Respondent/Recordkeeper: contractors so that the Government will Estimated Burden Hours Per be able to evaluate protested effectively Respondent/Recordkeeper: Re- and provide prompt resolution of issues Recordkeeping—1 hr., 19 min. Form No. sponse in dispute when contractors file agency- Learning about the law or the form—48 time level protests. min. Respondents: Business or other for- 9779 ...... 20 min. Preparing the form—1 hr., 30 min. 9780 ...... 20 min. profit, Not-for-profit institutions. Copying, assembling, and sending the 9781 ...... 20 min. Estimated Number of Respondents: form to the IRS—35 min. 9782 ...... 20 min. 17. Frequency of Response: Annually. 9783 ...... 20 min. Estimated Burden Hours Per Estimated Total Reporting/ 9784 ...... 20 min. Response: 2 hours. Recordkeeping Burden: 567,745 hours. 9785 ...... 20 min. Frequency of Response: On occasion. OMB Number: New. 9786 ...... 20 min. Estimated Total Reporting Burden: 34 Form Number: IRS Forms 9779, 9780, 9787 ...... 20 min. 9788 ...... 20 min. hours. 9781, 9782, 9783, 9784, 9785, 9786, Clearance Officer: Lois K. Holland, 9789 ...... 20 min. 9787, 9788, 9789 and 9790. (202) 622–1563, Departmental Offices, 9790 ...... 20 min. Type of Review: New collection. Room 2110, 1425 New York Avenue, Title: Electronic Federal Tax Payment Frequency of Response: Annually. N.W., Washington, DC 20220. System (EFTPS). OMB Reviewer: Milo Sunderhauf 1. EFTPS Business Enrollment Form Estimated Total Reporting/ (202) 395–7340, Office of Management Recordkeeping Burden: 3,879,630 hours. and Budget, Room 10226, New (9779); Executive Office Building, Washington, 2. EFTPS Business Enrollment Form OMB Number: 1545–1277. DC 20503. (Spanish Version) (9780); Form Number: IRS Form 1040–TEL. 3. EFTPS Mandated Taxpayers and Lois K. Holland, Subsidiaries Enrollment Form Type of Review: Revision. Departmental Reports Management Officer. (9781); Title: TeleFile. [FR Doc. 95–22397 Filed 9–8–95; 8:45 am] 4. EFTPS Mandated Taxpayers and Description: Form 1040EZ filers who BILLING CODE 4810±25±M Subsidiaries Enrollment Form are single with no dependents, and (Spanish Version) (9782); whose IRS mail label has not changed, 5. Individual Taxpayer Enrollment Form Public Information Collection will be given the option to file their (9783); return by telephone, with no return to Requirements Submitted to OMB for 6. Individual Taxpayer Enrollment Form Review send in to the IRS. The IRS will use the (Spanish Version) (9784); information obtained to compute the August 30, 1995. 7. EFTPS Mandated Taxpayers and taxpayer’s refund or balance due. The Department of Treasury has Subsidiaries Enrollment— Confirmation/Update Form (9785); Respondents: Individuals or submitted the following public households. information collection requirement(s) to 8. EFTPS Mandated Taxpayers and Estimated Number of Respondents/ OMB for review and clearance under the Subsidiaries Enrollment— Recordkeepers: 3,450,000. Paperwork Reduction Act of 1980, Confirmation/Update Form Public Law 96–511. Copies of the (Spanish Version) (9786); Estimated Burden Hours Per submission(s) may be obtained by 9. EFTPS Business Enrollment Respondent/Recordkeeper: Confirmation/Update Form (9787); calling the Treasury Bureau Clearance Recordkeeping—7 min. Officer listed. Comments regarding this 10. EFTPS Business Enrollment Learning about the law or the information collection should be Confirmation/Update Form worksheet—4 min. addressed to the OMB reviewer listed (Spanish Version) (9788); and to the Treasury Department 11. Individual Enrollment Preparing the worksheet—16 min. Confirmation/Update Form (9789); Clearance Officer, Department of the TeleFile phone call—20 min. Treasury, Room 2110, 1425 New York and Frequency of Response: Annually. Avenue, NW., Washington, DC 20220. 12. Individual Enrollment Confirmation/Update Form Estimated Total Reporting/ Internal Revenue Service (IRS) (Spanish Version) (9790). Recordkeeping Burden: 2,725,500 hours. OMB Number: New. Description: Enrollment is vital to the Clearance Officer: Garrick Shear, Form Number: IRS Form 1040NR–EZ. implementation of the Electronic (202) 622–3869, Internal Revenue Type of Review: New collection. Federal Tax Payment System (EFTPS). Service, Room 5571, 1111 Constitution Title: U.S. Income Tax Return for EFTPS is an electronic remittance Avenue, N.W., Washington, DC 20224. Certain Nonresident Aliens With No processing system that the Service will OMB Reviewer: Milo Sunderhauf, Dependents. use to accept electronically transmitted (202) 395–7340, Office of Management Description: This form is used by federal tax payments. This system is a and Budget, Room 10226, New certain nonresident aliens with no necessary outgrowth of advanced Executive Office Building, Washington, dependents to report their income information and communication DC 20503. subject to tax and compute the correct technologies. It is also an outgrowth of tax liability. The information on the the current TAXLINK system in Atlanta. Lois K. Holland, return is used to determine whether Respondents: Business or other for- Departmental Reports Management Officer. income, deductions, credits, payments, profit, Individuals or households, State, [FR Doc. 95–22398 Filed 9–8–95; 8:45 am] etc. are correctly figured. Local or Tribal Government. BILLING CODE 4830±01±M Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices 47201 Publication Information Collection Officer listed. Comments regarding this Description: This form is used by Requirements Submitted to OMB for information collection should be individuals to report their income Review addressed to the OMB reviewer listed subject to income tax ad to compute and to the Treasury Department their correct tax liability. The data are September 1, 1995. Clearance Officer, Department of the used to verify that the income reported The Department of Treasury has Treasury, Room 2110, 1425 New York on the form is correct and are also used submitted the following public Avenue, NW., Washington, DC 20220. for statistics. information collection requirement(s) to Internal Revenue Service (IRS) Respondents: Individuals or households. OMB for review and clearance under the OMB Number: New. Paperwork Reduction Act of 1980, Form Number: IRS Form 1040–T. Estimated Number of Respondents/ Public Law 96–511. Copies of the Type of Review: New collection. Recordkeepers: 500,000. submission(s) may be obtained by Title: U.S. Individual Income Tax Estimated Burden Hours Per calling the Treasury Bureau Clearance Return. Respondent/Recordkeeper: Copying, assem- Learning about the law or the bling, and send- Form Recordkeeping form Preparing the form ing the form to the IRS 1040±T ...... 2 hr., 31 min...... 2 hr., 54 min...... 5 hr., 30 min...... 1 hr., 26 min. Section A ...... 0 min...... 10 min...... 20 min...... 10 min. Section B ...... 1 hr., 25 min...... 11 min...... 58 min...... 24 min. Section C ...... 0 min...... 1 min...... 8 min...... 10 min. Section D ...... 20 min...... 16 min...... 32 min...... 20 min. Section EIC ...... 0 min...... 5 min...... 4 min...... 10 min. Frequency of Response: Annually. Service, Room 5571, 1111 Constitution Executive Office Building, Washington, Estimated Total Reporting/ Avenue, N.W., Washington, DC 20224. DC 20503. Recordkeeping Burden: 6,121,610 hours. OMB Reviewer: Milo Sunderhauf, Lois K. Holland, Clearance Officer: Garrick Shear, (202) 395–7340, Office of Management Departmental Reports Management Officer. (202) 622–3869, Internal Revenue and Budget, Room 10226, New [FR Doc. 95–22399 Filed 9–8–95; 8:45 am] BILLING CODE 4830±01±M 47202 Sunshine Act Meetings Federal Register Vol. 60, No. 175 Monday, September 11, 1995 This section of the FEDERAL REGISTER Docket #P–11076,000, City of Tacoma, Other#s EL94–87,001, Medina Power contains notices of meetings published under Washington Company the ``Government in the Sunshine Act'' (Pub. Other #s P–2016,018, City of Tacoma, CAE–16. L. 94-409) 5 U.S.C. 552b(e)(3). Washington Docket #ER84–560,037, Union Electric Company Consent Agenda—Electric CAE–17. # DEPARTMENT OF ENERGY CAE–1. Docket ER95–980,001, Pacific & Electric Docket #ER95–207,000, Peco Energy Company FEDERAL ENERGY REGULATORY Company CAE–18. COMMISSION CAE–2. Docket #ER95–1529,001, Mid-Continent The following notice of meeting is Docket #ER93–730,000, Wholesale Power Area Power Pool # published pursuant to Section 3(a) of Services, Inc. Other s EL95–77,000, Mid-Continent Area CAE–3. Power Pool the Government in the Sunshine Act ER95–1529,002, Mid-Continent Area (Pub. L. No. 94–409), 5 U.S.C. 552B: Omitted CAE–4. Power Pool DATE AND TIME: September 13, 1995, 10 Docket #ER94–465,000, Beebee Island CAE–19. # a.m. Corporation Docket ER94–1612,003, Destic Power PLACE: 825 North Capitol Street, N.E., CAE–5. Services, Inc. Docket #ER94–1045,000, Kansas City CAE–20. Room 9306, Washington, D.C. 20426. # Power & Light Company Docket EG95–66,000, PMDC Energia Ltd. STATUS: Open. # CAE–21. Other s ER94–1045,001, Kansas City # MATTERS TO BE CONSIDERED: Agenda. Power & Light Company Docket EG95–67,000, OPDB, Ltd. CAE–22. Note—Items listed on the agenda may be ER94–1045,002, Kansas City Power & Docket #EG95–68,000, Ogden Power deleted without further notice. Light Company CAE–6. Development of Bolivia, Inc. CONTACT PERSON FOR MORE INFORMATION: # CAE–23. Docket ER95–39,000, Potomac Edison # Lois D. Cashell, Secretary, Telephone Company Docket EG95–69,000, The Bolivian (202) 208–0400. For a recording listing Other #s ER95–39,001, Potomac Edison Generating Group, L.L.C. CAE–24. items stricken from or added to the Company Docket #EG95–70,000, C&O Bolivia meeting, call (202) 208–1627. CAE–7. CAE–25. This is a list of matters to be Docket #ER95–288,000, Central Maine Docket #EG95–63,000, EI Power, Inc. Power Company considered by the Commission. It does CAE–26. CAE–8. not include a listing of all papers Docket #EG95–64,000, EI International Docket #ER95–64,000, South Carolina relevant to the items on the agenda; CAE–27. Electric & Gas Company however, all public documents may be Docket # EG95–65,000, EI Barranquilla, Other#s EL95–15,000, South Carolina Inc. examined in the Reference and Electric & Gas Company Information Center. CAE–28. ER95–64,001, South Carolina Electric & Docket # EG95–61,000, Empresa Consent Agenda—Hydro; 636th Meeting— Gas Company Guaracachi S.A. September 13, 1995, Regular Meeting (10:00 CAE–9. # CAE–29. a.m.) Docket ER95–267,004, New England Docket #EL93–42,000, Towns and Cities of Power Company CAH–1. Clayton and Lewes, Delaware v. Other#s EL95–25,004, New England Power Docket #P–2311,016, James River—New Delmarva Power & Light Company Company Hampshire Electric, Inc. CAE–30. ER95–25,005, New England Power CAH–2. Docket #EL95–35,000, Kootenai Electric Docket #P–2360,026, Minnesota Power and Company Cooperative, Inc. v. et al. v. Public Utility Light Company ER95–267,005, New England Power District of No. 2 of Grant County, CAH–3. Company Washington # CAE–10. CAE–31. Docket P–3038,072, Oklahoma Municipal # Power Authority Docket ER95–457,001, Florida Power Docket #EL94–72,000, North Little Rock Corporation Cogeneration, L.P., et al., Entergy CAH–4. # Docket #P–8144,004, Amador County Other s ER95–457,000, Florida Power Services, Inc. and Arkansas Power and CAH–5. Corporation Light Co. Docket #P–10684,010, Lansing Board of CAE–11. Other#s ER94–1128,001, Entergy Services, Water and Light Omitted Inc. CAH–6. CAE–12. CAE–32. Docket #P–11521,001, Skokomish Indian Omitted Docket # EL91–43,000, Southern Tribe CAE–13. Minnesota Municipal Power Agency v. CAH–7. Docket #EL91–13,003, Northern States Northern States Power Company Omitted Power Company (Minnesota) V. (Minnesota) CAH–8. Southern Minnesota Municipal Power CAE–33. Docket #P–10551,036, City of Oswego, New Agency (SMMPA) Omitted York CAE–14. CAH–9. Docket #EL95–41,001, Metropolitan Edison Consent Agenda—Gas and Oil Docket #P–10900,000, Thomas Hodgson & Company and Pennsylvania Electric CAG–1. Sons, Inc. Company Omitted Other #s P–10900,007, Thomas Hodgson & CAE–15. CAG–2. Sons, Inc. Docket #ER94–478,001, Medina Power Omitted CAH–10. Company CAG–3. Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Sunshine Act Meetings 47203 Docket # RP95–242,004, Natural Gas Docket #RP95–246,001, Southern Natural Other #SCP93–566,001, ANR Pipeline Pipeline Company of America Gas Company Company CAG–4. CAG–25. Docket # PR95–419,000, Pacific Gas Docket #RP95–190,001, Williams Natural CP93–566,002, ANR Pipeline Company Transmission Company Gas Company CAG–44. CAG–5. Other #S RP95–190,000, Williams Natural Docket #CP95–588,000, Pacific Interstate Docket # PR93–4,000, Transok, Inc. Gas Company Offshore Company Other#s PR93–4,001, Transok, Inc. RP95–190,002, Williams Natural Gas CAG–45. Other#s PR93–4, 002, Transok, Inc. Company Omitted CAG–6. CAG–26. CAG–46. # Docket # PR94–2,000, Enron Storage Docket #RP95–143,002, Northwest Pipeline Docket CP95–552,000, Seagull Natural Company Corporation Gas Company CAG–47. CAG–7. CAG–27. # Omitted Docket # RP95–98,001, Columbia Gas Docket CP94–771,000, Ashland Exploration, Inc. CAG–8. Transmission Corporation Docket # RP94–119 et al., 002, Texas Gas Other #S CP95–186,001, Tennessee Gas Other #SCP94–757,000, CNG Transmission Transmission Corporation Pipeline Company Corporation CAG–9. CP95–231,001, Ozark Gas Transmission # CAG–48. Docket RP94–161,004, U–T Offshore System Docket #CP88–391,016, Transcontinental System CP95–232,001, Ozark Gas Transmission Gas Pipeline Corporation CAG–10. System CAG–49. # Docket RP94–162,003, High Island RP95–144,001, Tennessee Gas Pipeline Docket #CP94–183,000, EL Paso Natural Offshore System Company Gas Company CAG–11. CAG–28. Docket # RP95–88,002, Tennessee Gas Docket # OR91–1,001, Kerr-McGee Other #SCP94–183,001, El Paso Natural Pipeline Company Refining Corp. and Texaco Refining and Gas Company Other#s RP95–63,001, Tennessee Gas Marketing, Inc. v. Williams Pipe Line CAG–50. Pipeline Company Company Docket #CP95–475,000, El Paso Natural RP95–112,009, Tennessee Gas Pipeline CAG–29. Gas Company Company Docket #RP95–22,001, ANR Pipeline CAG–51. RP95–396,000, Tennessee Gas Pipeline Company Docket #RP93–89,002, MIGC, Inc. Company CAG–30. Hydro Agenda CAG–12. Docket # RP95–15,005, Texas Eastern Docket # RP95–381,000, Tennessee Gas Transmission Corporation H–1. Pipeline Company CAG–31. Reserved # CAG–13. Docket RP94–197,004, Tennessee Gas Electric Agenda Docket # TM95–5–34,000, Florida Gas Pipeline Company Transmission Company Other #S RP93–151,018, Tennessee Gas E–1. Reserved CAG–14. Pipeline Company Docket # RP94–221,002, ANR Pipeline CAG–32. Oil and Gas Agenda Company Docket #OR95–8,000, Williams Pipe Line CAG–15. Company I. Pipeline Rate Matters Docket #RP94–352,002, Western Gas CAG–33. PR–1. Interstate Company Docket #GP90–11,003, Nicor Exploration Reserved CAG–16. Company II. Pipeline Certificate Matters Ommitted. CAG–34. CAG–17. Docket #GP95–7,000, Williams Natural Gas PC–1. Docket #RP95–217,001, Trunkline Gas Company v. Oxy USA, Inc. Reserved Company CAG–35. Dated: September 6, 1995. Other #S RP95–217,000, Trunkline Gas Docket #OR95–33,000, Yellowstone Pipe Lois D. Cashell, Company Line Company Secretary. RP95–220,000, Trunkline Gas Company CAG–36. [FR Doc. 95–22582 Filed 9–7–95; 1:52 pm] CAG–18. Docket #CP94–775,002, Tennessee Gas Docket #RP95–339,000, Natural Gas Pipelien Company BILLING CODE 6717±01±P Pipeline Company of America CAG–37. FARM CREDIT ADMINISTRATION Other #S RP95–536,000, Columbia Gulf Docket #CP88–105,003, Yukon Pacific Transmission Company Company L.P. Farm Credit Administration Board; CP95–555,000, Natural Gas Pipeline CAG–38. Special Meeting Company of America Omitted SUMMARY: Notice is hereby given, CAG–19. CAG–39. Docket #RP95–362,000, Koch Gateway Docket #CP94–806,001, Tennessee Gas pursuant to the Government in the Pipeline Company Pipeline Company Sunshine Act (5 U.S.C. 552b(e)(3)), of CAG–20. CAG–40. the special meeting of the Farm Credit Docket #RP95–399,000, Koch Gateway Docket #PR95–11,000, Egan Hub Partners, Administration Board (Board). Pipeline Company L.P. DATE AND TIME: The special meeting of CAG–21. CAG–41. the Board will be held at the offices of Docket #RP93–206,008, Northern Natural Docket #CP95–118,000, East Tennessee the Farm Credit Administration in Gas Company Natural Gas Company McLean, Virginia, on September 12, CAG–22. CAG–42. # # 1995, from 2:15 p.m. until such time as Docket RP95–185,005, Northern Natural Docket CP95–228,000, Mississippi River the Board concludes its business. Gas Company Transmission Corporation CAG–23. CAG–43. FOR FURTHER INFORMATION CONTACT: Docket #RP91–203,057, Tennessee Gas Docket #CP93–566,000, ANR Pipeline Floyd Fithian, Secretary to the Farm Pipeline Company Company Credit Administration Board, (703) 883– CAG–24. 4025, TDD (703) 883–4444. 47204 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Sunshine Act Meetings ADDRESSES: Farm Credit FEDERAL RETIREMENT THRIFT INVESTMENT LOCATION: 1550 M Street, NW., Lobby Administration, 1501 Farm Credit Drive, BOARD Conference Room, Washington, DC McLean, Virginia 22102–5090. TIME AND DATE: 9 a.m. (EDT), September 20005. SUPPLEMENTARY INFORMATION: Parts of 18, 1995. STATUS: (Open Session)—Portions may this meeting of the Board will be open PLACE: 4th Floor, Conference Room, to the public (limited space available), be closed pursuant to Subsection (c) of 1250 H Street, NW., Washington, DC. and parts of this meeting will be closed Section 552(b) of Title 5, United States to the public. In order to increase the STATUS: Open. Code, as provided in subsection accessibility to Board meetings, persons MATTERS TO BE CONSIDERED: 1706(h)(3) of the United States Institute requiring assistance should make 1. Approval of the minutes of the August of Peace Act, Public Law 98–525. arrangements in advance. The matters to 21, 1995 Board meeting. AGENDA: September Board Meeting, be considered at the meeting are: 2. Thrift Savings Plan activity report by the Approval of Minutes of the Seventy-first Executive Director. Open Session 3. Review of FY 1995 expenditures, Meeting of the Board of Directors; Approval of Minutes approval of FY 1996 proposed budget, and Chairman’s Report; President’s Report; FY 1997 estimates. General Issues; Fiscal Years 1996 and Closed Session * 4. Proposed 1996 Board meeting schedule. 1997 Budget Review; Unsolicited Grants A. New Business CONTACT PERSON FOR MORE INFORMATION: and Fellowships. Enforcement Actions Tom Trabucco, Director, Office of CONTACT: Dr. Sheryl Brown, Director, B. Reports External Affairs, (202) 942–1640. Office of Communications, Telephone: OSMO Quarterly Report Dated: September 6, 1995. (202) 457–1700. Dated September 5, 1995. Roger W. Mehle, Dated: September 7, 1995. Floyd Fithian, Executive Director, Federal Retirement Thrift Charles E. Nelson, Investment Board. Secretary, Farm Credit Administration Board. Vice President, United States Institute of [FR Doc. 95–22558 Filed 9–7–95; 11:09 am] lllllll Peace. BILLING CODE 6760±01±M * Session Closed—Exempt pursuant to 5 [FR Doc. 95–22607 Filed 9–7–95; 1:53 pm] U.S.C. 552b(c) (8) and (9). UNITED STATES INSTITUTE OF PEACE BILLING CODE 6820±AR±M [FR Doc. 95–22555 Filed 9–7–95; 11:08 am] DATE/TIME: Thursday, September 21, BILLING CODE 6705±01±P 1995—9:00 a.m.–5:30 p.m. 47205 Corrections Federal Register Vol. 60, No. 175 Monday, September 11, 1995 This section of the FEDERAL REGISTER contains editorial corrections of previously published Presidential, Rule, Proposed Rule, and Notice documents. These corrections are prepared by the Office of the Federal Register. Agency prepared corrections are issued as signed documents and appear in the appropriate document categories elsewhere in the issue. DEPARTMENT OF HEALTH AND HUMAN SERVICES Food and Drug Administration 21 CFR Part 176 [Docket No. 91±F±0339] Indirect Food Additives: Paper and Paperboard Components Correction In final rule document 95–16092 beginning on page 34134 in the issue of Friday, June 30, 1995, make the following correction: On page 34134, in the second column, in the DATES section, August 29, 1995 should read July 31, 1995. BILLING CODE 1505±01±D federal register September 11,1995 Monday Rule Personal FinancialInterest;Proposed Guidance ConcerningActsAffectinga Interpretation, ExemptionsandWaiver 5 CFRPart2640 Government Ethics Office of Part II 47207 47208 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules OFFICE OF GOVERNMENT ETHICS business for the Government with any regulation is ultimately issued as a final business entity in which the employee regulation, the exemption for certain 5 CFR Part 2640 held a financial interest. Since it became Federal Government employment- effective in 1963, 18 U.S.C. 208(a) has related financial interests will be moved RIN 3209±AA09 prohibited an employee of the executive and placed with the miscellaneous Interpretation, Exemptions and Waiver branch from participating in an official exemptions described in § 2640.203. Guidance Concerning 18 U.S.C. 208 capacity in any particular matter in Therefore, the exemption being (Acts Affecting a Personal Financial which, to his knowledge, he or other established in the separate interim Interest) specified persons or organizations, has a regulation is also being republished as financial interest. As originally enacted, part of this proposed regulation for AGENCY: Office of Government Ethics section 208(b) provided for certain eventual codification at 5 CFR (OGE). exceptions to the disqualification 2640.203(d). Section 2640.101 of this ACTION: Proposed rule. mandated by section 208(a). Under 18 proposed regulation sets forth a general U.S.C. 208(b)(1), in individual cases a discussion of the purpose of the overall SUMMARY: The Office of Government determination could be made by the regulation. Ethics is issuing a proposed regulation official responsible for the employee’s Although individual agencies no describing circumstances under which appointment that the employee could longer have the authority to issue the prohibitions contained in 18 U.S.C. act in matters in which he or other agency-specific general exemptions, 208(a) would be waived. Section 208(a) specified individuals or entities had a previously issued agency regulatory prohibits employees of the executive financial interest because the interest ‘‘waivers’’ continue to apply until this branch from participating in an official was not so substantial as to be deemed proposed regulation is adopted as a final capacity in particular matters in which likely to affect the integrity of the rule and becomes effective. When they, or certain persons or entities with employee’s services to the Government. effective, this rule will supersede all whom they have specified relationships, Under 18 U.S.C. 208(b)(2), each agency agency regulatory waivers issued under have a financial interest. Section 208(b) had the authority to determine, by 18 U.S.C. 208(b)(2) as in effect prior to of title 18 permits waivers of these regulation, that certain financial November 30, 1989. See 5 CFR prohibitions in certain cases. Section interests were too remote or too 2635.402(d)(2). As proposed, this 208(b)(1) permits agencies to exempt inconsequential to affect the integrity of regulation would protect employees employees on a case-by-case basis from the services of that agency’s employees. who acted in reliance on such the disqualification provisions of These regulatory ‘‘waivers’’ permitted ‘‘waivers’’ issued by agencies prior to section 208(a). Similarly, section all employees of the particular agency to the effective date of the final regulation. 208(b)(3) permits agencies to waive, in act in Government matters in which Employees who acted in reliance on certain cases, the disqualification their only financial interest was one of such an agency regulatory waiver in requirement that would apply to special the type specified in the regulation. effect prior to the effective date of the Government employees serving on a The Ethics Reform Act of 1989 (Pub. final version of this regulation would be Federal advisory committee. Finally, L. No. 101–94), as amended, (‘‘the Act’’), deemed to have acted in accordance under section 208(b)(2), the Office of amended 18 U.S.C. 208 to eliminate the with applicable authority. Government Ethics has the authority to authority of individual agencies to This proposed regulation describes promulgate executive branchwide adopt agencywide exemptions from the those holdings or relationships that give regulations describing financial interests applicability of section 208(a). Instead, rise to financial interests that OGE has that are too remote or inconsequential to section 208(d)(2) directs the Office of determined are either too remote or too warrant disqualification pursuant to Government Ethics, after consultation inconsequential in value to be likely to section 208(a). This proposed regulation with the Attorney General, to adopt affect an employee’s consideration of describes those financial interests. It uniform regulations exempting financial any particular matter. Employees who also proposes to provide guidance to interests from the applicability of have these disqualifying financial agencies on the factors to consider when section 208(a) for all or a portion of the interests would be permitted, to the issuing individual waivers under executive branch if OGE determines that extent described in the regulation, to section 208(b)(1) or (b)(3). such interests are either too remote or participate in matters affecting such interests notwithstanding the general DATES: Comments by agencies and the too inconsequential to affect an public are invited and are due by employee’s services to the Government. prohibition in section 208(a). Section 208, as amended, still November 13, 1995. The Office of Government Ethics has consulted with the Office of Personnel authorizes agencies to issue individual ADDRESSES: Office of Government Management and the Department of waivers to employees on a case-by-case Ethics, suite 500, 1201 New York Justice, and pursuant to section 201(c) basis under section 208(b)(1). The Avenue, NW., Washington, DC 20005– of Executive Order 12674, as modified determinations required by section 208 3917. Attention: Ms. Glynn. by E.O. 12731, has obtained the for issuance of an individual waiver are FOR FURTHER INFORMATION CONTACT: concurrence of the Justice Department. unchanged from previous statutory Marilyn Glynn, Office of Government The Office of Government Ethics is requirements. Section 208(b)(1) Ethics, telephone 202–523–5757, FAX separately publishing in the Federal provides that an individual waiver may 202–523–6325. Register an interim regulation, effective be issued if the official responsible for SUPPLEMENTARY INFORMATION: Section upon publication, establishing a single the officer’s or employee’s appointment 208 of title 18 of the United States Code exemption under 18 U.S.C. 208(b)(2) for determines that the interest in the was enacted in 1962 as part of a general disqualifying financial interests that matter ‘‘is not so substantial as to be revision of the criminal statutes dealing arise from Federal Government salary deemed likely to affect the integrity of with bribery, graft, and conflicts of and benefits or from Social Security or the services which the Government may interest. It was the successor to 18 veterans’ benefits. That exemption is expect from such officer or employee.’’ U.S.C. 434, a statute enacted in the Civil being issued for codification on interim This proposed regulation provides War era, which prohibited a basis at § 2640.101 of 5 CFR. However, guidance to agencies in making such Government employee from transacting when this proposed overall section 208 determinations by listing factors Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules 47209 agencies should consider before An employee has a financial interest He would be disqualified from acting in granting a waiver. in a particular matter ‘‘when there is a matters affecting the financial In addition, section 208, as amended, real possibility that he might gain or institution only if the matter would gives agencies specific authority lose as a result of developments in or have a direct and predictable effect on concerning disqualifying financial resolution of the matter.’’ 83 OGE 1, at his financial interest in his savings interests held by special Government 2 (Jan. 7, 1983), published in the account. Even in the unusual case employees serving on, or being Informal Advisory Letters and where the matter would have a direct considered for appointment to, advisory Memoranda and Formal Opinions of the and predictable effect on the employee’s committees within the meaning of the United States Office of Government savings account, a portion or all of many Federal Advisory Committee Act, 5 Ethics 1979–1988 (OGE Advisory such accounts may be insured by the U.S.C. app. After reviewing the financial Publication), pp. 859, 861. The statute Federal Deposit Insurance Corporation disclosure statement required by the does not require that the amount of gain or other similar governmental entity. In Ethics in Government Act of 1978 to be or loss be of any particular size, or such cases, the employee’s financial filed by such an individual, the official likelihood. ‘‘All that is required is that interest may not be the amount of the responsible for the employee’s there be a real, as opposed to a account itself, but the amount of interest appointment can ‘‘waive’’ the speculative, possibility of benefit or paid on the account, or the amount individual’s disqualifying financial detriment.’’ Id. Section 208(a) has long above the level covered by the interest by certifying that the need for been interpreted as applying where the insurance. Where the matters in which the individual’s services on the advisory matter will have a ‘‘direct and the employee would act would have a committee outweighs the potential for a predictable effect’’ on the employee’s direct and predictable effect on the conflict of interest created by the financial interest or on the financial bank’s ability to maintain and pay financial interest involved. This interests of other persons or entities interest on an account or to preserve the proposed regulation would describe the specified in the statute. See, e.g., 2 amount in the account above the factors an agency is to consider in Opinions of the Office of the Legal insurance limit, the employee’s determining whether a waiver should be Counsel 151, 155 (June 29, 1978). In this participation in these matters should be granted under section 208(b)(3). regulation, the financial interests of the examined by the appointing official on Since section 208 became effective in employee and of the other individuals an individual basis. 1963, agency ethics officials have often and entities specified in section 208 In summary, because the meaning of used the term ‘‘waiver’’ to describe would be referred to as the employee’s the term ‘‘financial interest’’ under exceptions to the prohibition authorized ‘‘disqualifying financial interests.’’ section 208 is not identical to its under either section 208(b)(1) or (b)(2). The meaning of the term ‘‘financial commonplace or conventional meaning, This proposed rule uses the term interest’’ is sometimes misunderstood. this proposed regulation does not ‘‘exemption’’ to describe regulatory As used in section 208, the term contain exemptions for certain interests exceptions authorized by OGE under ‘‘financial interest’’ refers to the that may be commonly thought of as section 208(b)(2), and ‘‘waiver’’ to possibility of financial gain or loss as a ‘‘financial interests,’’ but that are not describe individual exceptions granted result of action on a matter. For affected by most Government matters so under section 208 (b)(1) or (b)(3). The example, if an employee is owed money as to require disqualification under Office of Government Ethics believes by a person who is a party to an agency section 208. This would include, for the term ‘‘exemption’’ more accurately matter, the loan itself is not a ‘‘financial example, deposits in bank accounts and describes the fact that section 208(b)(2) interest’’ within the meaning of section interests arising from most insurance permits OGE to ‘‘exempt’’ certain 208. Instead, the employee’s financial policies. financial interests from the prohibition interest in the matter arises from the There may be situations in which in section 208(a). possibility that the matter may have an there is some potential for an employee’s financial holding to be I. Scope of 18 U.S.C. 208(a) effect on the debtor’s ability or willingness to honor his obligation to affected by the outcome of a matter, but Section 208(a) prohibits an officer or pay the debt owed to the employee. The the employee would not have a employee of the executive branch, or an loan would be a disqualifying financial disqualifying interest under section officer or employee of an independent interest under section 208 only if the 208(a). For example, if an employee is agency of the United States, or a Federal agency matter would have a direct and a contingent beneficiary in a will Reserve bank director, officer or predictable effect on the debtor’s ability executed by a still living relative, the employee, or an officer or employee of or willingness to repay the loan. employee’s interest in the assets to be the District of Columbia, including a Similarly, an employee may have a distributed under the will is merely special Government employee, from savings account in a financial speculative since he may never inherit participating personally and institution which conducts business at them. For purposes of section 208(a), substantially in an official capacity the employee’s agency. While the the employee would not be disqualified through decision, approval, disapproval, employee ordinarily would be viewed from participating in matters affecting recommendation, the rendering of advice, as having a ‘‘financial interest’’ in the those assets. investigation, or otherwise, in a judicial or deposits in his savings account, the Another limitation on the scope of other proceeding, application, request for a employee’s involvement in agency section 208(a) concerns the range of ruling or other determination, contract, matters affecting the financial interests it covers. To be within the claim, controversy, charge, accusation, arrest, institution would not necessarily affect scope of the statute, the affected interest or other particular matter, in which to his knowledge, he, his spouse, minor child, his financial interest in the savings must be that of the employee, his general partner, organization in which he is account. In fact, in most such cases, the spouse, his minor children, a general serving as officer, director, trustee, general employee would not have a partner of the employee, an organization partner or employee, or any person or disqualifying financial interest within in which the employee serves as officer, organization with whom he is negotiating or the meaning of section 208 because the director, trustee, general partner or has any arrangement concerning prospective agency matter in which the employee employee, or an organization with employment, has a financial interest * * *. would participate would not result in which the employee is negotiating or 18 U.S.C. 208(a). any gain or loss to his savings account. has any arrangement concerning 47210 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules prospective employment. Thus, section capacity in matters that would affect the portion of the definition of that term as 208(a) prohibits an employee from financial interests of his general it is used in 5 CFR 2637.201(c)(1) for acting in a particular matter that will partners. If one of his general partners purposes of 18 U.S.C. 207.1 A have a direct and predictable effect on owns stock in a corporation that would ‘‘particular matter involving specific the financial interests of a company by be affected by an agency matter in parties’’ is one that typically involves a which he is employed in his off-duty which the employee would participate, specific transaction affecting the legal hours. On the other hand, section 208(a) the employee would be barred from rights of parties such as a contract, does not necessarily bar an employee participating only if he knows that his grant, or case in litigation. For purposes from acting in a matter affecting his general partner owns stock in the of this regulation, ‘‘particular matters of spouse’s employer. Because the corporation. Employees who are general general applicability not involving financial interests of a spouse’s partners should be alert to the fact that specific parties’’ are those types of employer are not specified as they will have actual knowledge of their particular matters not encompassed by disqualifying financial interests under partners’ assets if they have reviewed the description at 5 CFR 2637.201(c)(1). the statute, an employee is not copies of partners’ financial statements Examples of such matters are disqualified from acting in matters or similar documents. rulemaking and the formulation of affecting a spouse’s employer unless the Section 208 prohibits employees from policy directed to the interests of a matter would have a direct and participating in a ‘‘judicial or other discrete and identifiable class of predictable effect on the spouse’s proceeding, application, request for a persons. The regulation generally financial interest. For example, where ruling or other determination, contract, contains more expansive exemptions for the spouse is a salaried employee, does claim, controversy, charge, accusation, participation in ‘‘matters of general not have an ownership interest in the arrest,’’ or certain other ‘‘particular applicability not involving specific employer, and the matter will not affect matters.’’ The term ‘‘particular matter’’ parties’’ because it is less likely that an her continued employment or her is discussed in the regulation at employee’s integrity would be benefits, the agency matter ordinarily proposed § 2640.103(a)(1). In general, a compromised by concern for his own would not have a direct and predictable particular matter is one that is focused financial interests when participating in effect on her financial interest. See, e.g., upon the interests of specific persons, or these broader matters. a discrete and identifiable class of OGE Informal Advisory Letter 84x6 Before an employee decides that persons. It may include rulemaking, (May 1, 1984), OGE Advisory section 208 might prevent him from legislation, or policymaking that is Publication, p. 465. Under such participating in a certain governmental narrowly focused on the interests of a circumstances, the employee would not matter, he should determine whether discrete and identifiable class of be disqualified under section 208(a) the matter is a ‘‘particular matter’’ or a from participating in the particular persons. It does not extend to broad ‘‘particular matter involving specific matter. policy options or considerations parties.’’ Once he decides that the This does not mean, however, that an directed toward the interests of a large employee who concludes that a matter and diverse group of persons. Because matter is a ‘‘particular matter’’ or a will significantly affect the financial the meaning of the term ‘‘particular ‘‘particular matter involving specific interest of a person or entity with whom matter’’ is often difficult to apply in parties,’’ he should then decide whether he has a close business or personal specific situations, the proposed the matter will have a direct and relationship should act on the matter regulation contains a number of predictable effect on his financial because the financial interest is not examples based on the opinions of the interest. within the scope of section 208(a). Even Office of Legal Counsel at the Finally, it is important to note that the though section 208(a) is not applicable Department of Justice. In general, these requirements of section 208, as well as by its terms to a specific situation, opinions indicate that certain the exemptions in this proposed administrative regulations might governmental matters having broad regulation, apply not only to regular prohibit participation in particular application to a large number of persons Government employees, but also to circumstances. The Standards of Ethical are not sufficiently focused on the special Government employees as Conduct for Employees of the Executive interests of identifiable persons or defined in 18 U.S.C. 202(a). The Branch contain procedures an employee classes of persons to be considered proposed regulation also contains an should follow in cases where his ‘‘particular matters.’’ However, such exemption at § 2640.203(g) applicable impartiality might be questioned if he broad policy matters may later become solely to special Government employees were to participate in a Government particular matters when they are serving on advisory committees. In matter affecting financial interests that implemented in a way that the interests addition, waivers issued pursuant to 18 do not fall within the scope of section of specific persons or groups of persons U.S.C. 208(b)(3) for members of Federal 208(a). See 5 CFR 2635.501 et seq. For are distinctly affected. advisory committees specifically impact example, under § 2635.502, an Some of the exemption provisions in special Government employees, many of employee must consider whether his this proposed regulation would apply to whom serve on Federal advisory impartiality would be questioned if he so-called ‘‘particular matters involving committees. And, of course, the waiver were to participate in a particular matter specific parties’’; others would apply to authority of section 208(b)(1) may be involving specific parties in which his ‘‘particular matters of general used in individual cases where there is spouse’s employer is a party, or applicability not involving specific a conflict between the financial interests represents a party. parties.’’ The distinction between these of a special Government employee and It is important to note that section two categories of ‘‘particular matters’’ is his official responsibilities. 208(a) applies only in cases where the derived from concepts used in other employee knows that he, or any other criminal conflict of interest statutes, 1 Section 207 was amended in part by the Ethics person or entity specified in section such as 18 U.S.C. 207. However, to Reform Act of 1989, Pub. L. 101–194, and Pub. L. 208, has a financial interest that will be avoid any misunderstanding about the 101–280. The Office of Government Ethics expects to publish regulations interpreting section 207, as affected. For example, an employee who meaning of the terms, the proposed amended. The new regulations are expected to is a general partner in a partnership is regulation defines ‘‘particular matter contain a similar definition of the term ‘‘particular prohibited from acting in an official involving specific parties’’ by restating a matter involving specific parties.’’ Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules 47211 II. Exemptions from the Prohibition of Directors of Federal Reserve banks. issuing numerous individual waivers Section 208(a) Although this regulation is an executive under section 208(b)(1) or (b)(3), OGE This proposed regulation contains branchwide rule, OGE will consider has tried to simplify the language of three categories of exemptions from the including other exemptions which may each proposed exemption. However, prohibitions of 18 U.S.C. 208(a). First, have applicability only to employees of because section 208 is a criminal statute the regulation contains proposed a particular agency if an exemption with significant penalties, the language exemptions relating to interests arising would be significant for a large number of each exemption also must carefully out of the ownership of mutual funds, of the agency’s employees and agency delineate the scope of the exemption. resources that would be utilized in common trust funds, unit investment A. Exemptions for Mutual Funds, trusts, and employee benefit plans. issuing individual waivers under section 208(b)(1) would be better used Common Trust Funds, Unit Investment Second, the regulation contains Trusts, and Employee Benefit Plans proposed exemptions arising out of the elsewhere in implementing the agency’s ethics program. For example, the ownership of interests in securities. 1. Diversified Mutual Funds, Common proposed exemptions for short-term Finally, it contains several Trust Funds, and Unit Investment Government securities at § 2640.202(d) miscellaneous provisions which would Trusts and commercial discount and incentive establish exemptions that would apply For purposes of section 208, an programs at § 2640.203(e) primarily only in specific situations or only to employee who has an interest in a benefit employees at a limited number employees of certain agencies. It is pooled fund such as a mutual fund, a of agencies. However, these agencies expected that agencies may ask for common trust fund, or unit investment have a sufficient number of employees additional exemptions applicable only trust is deemed to have a financial that can take advantage of the to employees or groups of employees at interest in a matter that would affect the exemptions that it would be appropriate assets held by the fund or trust. In most those agencies, as they become aware of to include specific exemptions here. cases, the holdings of such funds are the need for them. The Office of Government Ethics For the most part, the exemptions diversified, with only a limited portion specifically requests suggestions for any proposed in this regulation would apply of the fund’s assets placed in the such exemptions that should be to interests that are common to a large securities of any single issuer. established and asks that agencies number of employees and that are Moreover, a fund typically holds making such suggestions provide relatively simple to identify, such as proposed ‘‘exemption’’ language to securities of issuers who are engaged in those arising from the ownership of facilitate consideration of the a variety of businesses or industries. mutual funds and securities. In general, recommendations. Usually an employee’s interest in any the regulation as proposed does not The definitions of some of the terms one fund is only a small portion of the contain exemptions for other potentially used in the exemptions proposed in this fund’s total assets. For these reasons, it disqualifying financial interests which regulation may appear to be inconsistent is generally unlikely that an employee’s are not normally disqualifying for most with similar or related terms used in official actions with regard to any one employees, such as the interest of a other regulations issued by OGE. In of the holdings of the fund in which he policyholder of a life insurance policy. particular, the definitions of diversified holds shares will have any In most cases, it is unlikely that the mutual fund, common trust fund, unit consequential effect on the employee’s typical Federal employee would be investment trust, and employee benefit financial interest. Accordingly, required to act in a matter which would plan are not parallel to the definition of proposed § 2640.201(a) would permit an affect an insurance company’s ability to an excepted investment fund (EIF) as employee to participate in any fulfill its obligation to pay a benefit that term is used in connection with particular matter affecting the holdings upon the death of the insured or which reporting assets on a financial of a diversified mutual fund, diversified would affect the cash value of the disclosure form and which is defined in common trust fund, or diversified unit policy. Except in the case of interests 5 CFR 2634.310(c)(2). For the reasons investment trust in which the employee, arising from the purchase of insurance described in section A below, OGE has or any other person specified in section from a mutual insurance company determined that it is impractical to 208, has a direct or beneficial ownership where employees have more a direct adopt the definition of ‘‘excepted interest. The term ‘‘direct or beneficial interest in the operations of the investment fund’’ for use in defining ownership’’ means that the employee’s company itself, interests such as this are similar terms in this regulation. interest can arise either through his not usually disqualifying financial Finally, the Office of Government direct ownership of a share in the fund interests under section 208. Those Ethics has attempted to devise or trust, or as the beneficiary of a trust unusual cases where section 208 would exemptions that can be understood and or an estate that holds such shares. bar an employee from acting in a easily applied by the individual To ensure that the foregoing particular matter are best handled on a Government employees who have assumptions are satisfied, however, the case-by-case basis in accordance with conflicting financial interests. The proposed exemption described in the procedures for granting an Office of Government Ethics believes § 2640.201(a) would apply only to the individual waiver under section that, to the extent possible consistent holdings of trusts or funds which meet 208(b)(1) or (b)(3). with the requirements of section 208, the following criteria. First, if the fund Additionally, there may be certain the exemptions in this proposed is a mutual fund, it must be a diversified financial interests that create a problem regulation should not be so complex mutual fund that meets the under section 208 only for employees of and technical that a typical Government requirements of section 5(b)(1) of the a particular agency because of that employee would need the advice and Investment Company Act of 1940, 15 agency’s mission, but that are remote or assistance of an agency ethics official to U.S.C. 80a–5(b)(1), for a ‘‘diversified inconsequential enough that an determine how to apply the regulation company.’’ Section 80a–5 specifies that, exemption under section 208(b)(2) in his particular case. Because one of for at least 75% of its assets, a would be appropriate. For example, the the purposes of these regulatory diversified company may not invest regulation at proposed § 2640.203(h) has exemptions is to lessen the burden on more than 5% of its assets in any one an exemption that applies solely to the agency ethics officials who may be issuer nor hold more than 10% of the 47212 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules outstanding voting securities of any the fund’s assets and perform lengthy inconsequential enough to warrant a issuer. Additionally, the proposed rule’s mathematical calculations to determine total exemption under section 208(b)(2). definition of the term ‘‘diversified’’ at whether the particular fund was Moreover, employees would also be at § 2640.102(b) requires that the fund not diversified. Moreover, because mutual risk of violating section 208 if the terms have a stated policy of concentrating its fund assets continuously change, it ‘‘mutual fund’’ and ‘‘diversified’’ were investments in any industry, business, would be burdensome to determine not defined in the regulation. With the single country (other than the United whether the fund was diversified at all increasing variety of complex financial States), or bonds of a single State. This times after the initial calculations were instruments that are available to would ensure, for example, that an made. Using a numerical standard such investors, employees certainly could employee of the Food and Drug as the 5%/20% formula described above become confused about whether their Administration (FDA) would not be arguably would require an employee to particular pooled investments are given an automatic waiver for recalculate the ratio of assets in the diversified mutual funds. The investments in a mutual fund which fund’s portfolio prior to participating in experience of OGE in reviewing public limits its holdings to drug company particular matters that occur on a financial disclosure forms indicates that stocks. Of course, an appropriate FDA continuing basis. private limited partnerships invested in official could grant an individual waiver In informal discussions concerning securities are sometimes mistaken for under 18 U.S.C. 208(b)(1) or (b)(3) to an the draft regulation, some agency ethics mutual funds even though the employee in a particular case if the officials recommended that OGE define partnership has a limited number of agency determined that the employee’s the term ‘‘diversified’’ only in relation investors and holdings, and even though interest in a mutual fund specializing in to whether investments are concentrated the holdings may not be diversified as the pharmaceutical industry was not so in a particular sector, and not whether to either numbers or sector. It would be substantial that it would affect the the fund’s assets are invested in any unfair to employees not to clarify that integrity of his services. particular number of issuers. Another interests such as these private The Office of Government Ethics ethics official suggested that the term partnerships would not be considered decided to define ‘‘diversified mutual ‘‘mutual fund’’ should not be defined by mutual funds for purposes of the fund’’ by reference to the definition of referencing regulations issued by the exemption as proposed. ‘‘diversified company’’ contained in 15 Securities and Exchange Commission On balance, OGE decided that U.S.C. 80a–5 to provide employees a because the regulations are extremely proposing to define the term simple way of determining whether the technical and most employees could not ‘‘diversified mutual fund’’ by reference mutual funds they own are, in fact, really be sure whether their investment to 15 U.S.C. 80a–5 would be the most ‘‘diversified.’’ Regulations issued by the is a ‘‘mutual fund’’ or a ‘‘diversified convenient method for determining Securities and Exchange Commission company’’ as defined by the SEC. The whether the investment vehicle is a (SEC) governing the administration of thrust of these recommendations was fund and is diversified, since a quick mutual funds specifically require that that an employee who failed to perusal of the fund’s prospectus, or a each mutual fund prospectus contain a determine whether his investment met call to the fund’s manager, will indicate statement concerning the fund’s the statutory definitions would be whether the fund is a diversified investment objectives, including misled into violating section 208 by management investment company. whether the fund is deemed to be acting in matters affecting interests in an Employees must be expected to have diversified for purposes of securities investment that appeared to be a mutual some responsibility for determining law. In most cases, this requirement will fund, but was in fact some other type of whether their investments meet the be met by a statement that the fund or pooled investment vehicle that was not criteria for application of the exemption the company is a diversified technically a ‘‘mutual fund’’ as defined provisions. Employees also deserve to management investment company. By in SEC regulations. Leaving the relevant receive guidance that is reasonably locating this statement in the fund’s terms undefined presumably would specific enough to give them adequate prospectus, an employee can easily absolve employees of the responsibility notice of what investments meet the determine whether the fund is of determining whether their criteria for an exemption. considered ‘‘diversified’’ under this investments were actually diversified Similarly, by examining the section 208 regulation. Alternatively, if mutual funds and would thus avoid prospectus or calling the fund’s the employee cannot find the relevant inadvertent violations. manager, an employee can determine statement or the prospectus is The Office of Government Ethics whether the fund has a stated policy of unavailable, the employee can simply shares these concerns, but does not concentrating its investments in any call the fund’s manager or the broker agree that employees would be better industry, business, or country, or to through whom he purchased the fund served by dropping the requirement for bonds issued by a single State. For and ask if the fund is a diversified ‘‘diversification’’ or by leaving the terms example, some funds clearly limit their company. ‘‘diversified’’ and ‘‘mutual fund’’ investments to biotechnology stocks, The Office of Government Ethics undefined. First, OGE believes it is energy stocks, precious metals and considered using other standards to essential that the exemption proposed minerals, agricultural products, define the term ‘‘diversified’’, such as for mutual funds apply to funds that are telecommunications stocks, or adopting the standard for ‘‘excepted diversified as to the number of holdings municipal bonds issued by a single investment funds’’ as that term is used in the fund, as well as the sectors in State. Securities and Exchange in 5 CFR 2634.310(c) for purposes of which the holdings are invested. Commission regulations require mutual financial disclosure. ‘‘Excepted Because OGE has the authority to fund sponsors to describe limitations of investment funds’’ cannot have more promulgate exemptions only for this type in the fund’s prospectus. than 5% of the value of the fund’s financial interests that are too ‘‘remote Additionally, limitations on the type of portfolio invested in any one issuer and or inconsequential’’ to affect an assets held by a mutual fund are often more than 20% in any particular employee’s services to the Government, reflected in the name of the fund itself, economic or geographic sector. it would be difficult to conclude that e.g. Vanguard Specialized Portfolios: However, use of standards such as this interests arising from a fund containing Health Care or Fidelity Spartan New would require employees to examine only a few holdings would be remote or York High Yield. These types of funds Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules 47213 are commonly referred to as ‘‘sector’’ deposit accounts. The inapplicability of fund and ask whether the fund is a funds.2 the proposed exemption to money ‘‘diversified company.’’ 3 The Office of Government Ethics market deposit accounts is not a The regulation, at § 2640.201(a), also decided not to consider funds invested problem, however, because in most contains a proposed exemption for in broad geographical regions as cases, an interest in such an account is participating in matters affecting the ‘‘sector’’ funds. While funds limited to not a disqualifying financial interest underlying assets of a diversified unit a single State or a single country (other under section 208. Unlike a money investment trust. A unit investment than the United States) would be market mutual fund, a bank money trust is ‘‘diversified’’ if it meets the excluded from the definition of market account is a type of individual definition of a ‘‘regulated investment ‘‘diversified’’ under this proposed rule, deposit account funded by the bank’s company’’ at 26 U.S.C. 851(a)(1)(A). The OGE concluded that it is unnecessary to investments. Just as in the case of a standard set forth in section 851 also exclude, for example, funds limited regular bank savings account, it is requires that, for 50% of its assets, no to investments in Europe or the Pacific unlikely that an employee would have more than 5% of the trust’s assets may region. The Office of Government Ethics a disqualifying financial interest be invested in any one issuer and the specifically requests comments on because of his account. First, an trust may hold no more than 10% of any whether such funds should be employee would rarely have knowledge one issuer’s outstanding voting considered ‘‘diversified.’’ of the bank’s underlying investments. securities. Additionally, no more than Because the term ‘‘mutual fund’’ at However, even in those unusual cases 25% of the trust’s total assets may be proposed § 2640.102(l) includes where the employee did have invested in any one issuer, or in two or ‘‘registered money market funds,’’ knowledge of those investments, it more issuers that the trust controls and money market mutual funds would also would be unlikely that a Government which are engaged in the same or have to be diversified in accordance matter involving one of the investments similar trades or businesses. An with the standards described at would have a direct and predictable employee need not make an § 2640.102(b)(1) for the exemption effect on the employee’s ‘‘financial independent determination whether the proposed at § 2640.201(a) to be interest’’ in his deposit account. unit investment trust in which he has applicable. Registered money market On the other hand, employees whose invested meets these criteria. Instead, funds may be offered by a mutual fund official responsibilities require them to the employee should consult the company or may be marketed through a participate in matters affecting banks prospectus describing the trust or the bank. In either case, however, as with where they have money market or other trust’s sponsor to determine whether the other mutual funds, the prospectus deposit accounts may have to consider trust is a ‘‘regulated investment describing the fund will contain the whether the Government matters in company.’’ If it is so described, it information an employee needs to which they might participate would satisfies this regulation’s diversification determine whether the fund is have a direct and predictable effect on requirements, provided the trust does diversified. For purposes of this the bank’s ability to maintain, and pay not have a stated policy of concentrating regulation, money market instruments the appropriate interest on, the its investments in any industry, are not considered a single industry or accounts. In such cases, of course, the business, or single country (other than business, and therefore, money market employee may have a disqualifying the United States), or to bonds issued by mutual funds are not considered financial interest in whether the bank a single State.4 investments concentrating in a single can continue to pay interest on his The assets of a common trust fund business or industry. By contrast, deposit account, rather than a will be ‘‘diversified’’ for purposes of this however, funds which have a policy of disqualifying financial interest in the proposed regulation if the common trust investing only in bank stock, or in bank’s investments. fund meets the rules for In summary, to make a definitive savings and loan institutions, or in ‘‘diversification’’ established by the determination whether a particular financial services are clearly limited to Office of the Comptroller of the mutual fund is ‘‘diversified’’ for a single business or industry and are not Currency at 12 CFR 9.18. These rules purposes of this proposed regulation, an considered ‘‘diversified’’ for purposes of provide that no more than 10% of a employee simply has to find whether this proposed regulation. fund’s assets may represent one the prospectus states that the fund is a Money market deposit accounts (as investor’s interest, and that no more diversified management company, and opposed to money market mutual funds) than 10% of the fund’s assets may be whether it has a policy of concentrating offered by banks are not included in the its investments in a particular industry, 3 proposed definition of the term ‘‘mutual Although this proposed regulation would business, single country (other than the reference several definitions contained in statutes fund’’ as it is used in this regulation. United States) or in bonds issued by a and regulations within the purview of the Securities Accordingly, the exemption for and Exchange Commission, the Office of the single State. Because the SEC requires diversified mutual funds at Comptroller of the Currency, the Internal Revenue that this information be contained in the § 2640.201(a) as proposed would not be Service, and the Department of Labor, those prospectus, employees may properly agencies do not have any role in interpreting the applicable to bank money market rely on the accuracy of the information. provisions of this regulation. Inquiries concerning If the prospectus has the specified the meaning of terms used in those statutes and 2 Although a sector fund is not considered a regulations, and the way those terms are used in ‘‘diversified mutual fund’’ for purposes of the information, an employee is not this regulation, should be directed to OGE. exemption described at § 2640.201(a), a mutual required to make any independent 4 A unit investment trust (or a mutual fund) fund (including a nondiversified mutual fund) is a determination concerning the fund’s comprised of bonds issued by a single State would ‘‘publicly traded security’’ for purposes of the de diversification. If the employee cannot not meet the diversification requirements of this minimis exemptions described in § 2640.202. regulation. However, the lack of an exemption Accordingly, the proposed regulation would permit find the relevant statement in his would not be a problem for most Federal employees an employee to participate in certain matters prospectus or does not have a since they typically would not have a disqualifying affecting financial interests arising from the prospectus, he may call the fund’s financial interest arising from ownership of State ownership of a de minims amount of nondiversified manager or the broker who sells the bonds. Except in unusual cases, the official matters mutual funds. Also, proposed § 2640.201(b) would in which an employee would participate would not exempt interests arising from assets in a sector affect the bond’s rating or the State’s ability or mutual fund which are not invested in the sector willingness to honor its obligation to pay interest in which the fund concentrates. on the bond. 47214 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules invested in any one issuer. This employee benefit plan in which the Guaranty Corporation (PBGC) or by diversification standard applies employee participates. By participating private insurance contracts or annuities. explicitly to common trust funds in the plan, the employee has a financial In most cases, an employee will not maintained by national banks. It also interest in a matter that affects one or have a section 208 interest in the applies to funds maintained under State more assets held by the plan. The holdings of a defined benefit plan law by State banks which are required exemption would also apply in because payment of the specified benefit by 26 U.S.C. 584(a) to adhere to rules situations where any other person is ensured whether or not the plan established by the Office of the specified in section 208 participates in holdings generate income sufficient to Comptroller of the Currency, including the plan. fund the benefit. Therefore, under most the rules for diversification of common In the case of State or local circumstances an employee would not trust funds. An employee may presume government pension plans, OGE’s need a waiver under section 208 (b)(1) that any State bank maintaining a experience has been that the plans or (b)(3) or an exemption under section common trust fund adheres to these typically are comprised of a large 208(b)(2) to act in matters affecting the requirements. Of course, as with mutual number of varied assets managed by an underlying assets of a defined benefit funds and unit investment trusts, the independent agency or board. Therefore, plan. In some cases, the employee may bank maintaining the fund cannot have the proposed exemption at have a financial interest in the sponsor a policy of concentrating its investments § 2640.201(c)(1) would apply to an of the plan who has promised to pay the in an industry, business, or country, or employee’s disqualifying interest in the benefit upon retirement. Except as in bonds issued by a single State. holdings of any State or local provided in § 2640.201(c)(2) as government pension. proposed, authority to act in matters 2. Sector Mutual Funds For all other types of employee affecting the sponsor of such a plan Section 2640.201(b) would contain a benefit plans, the exemption would must be handled on an individual basis provision permitting an employee to apply only if the plan is (i) diversified; in accordance with the provisions of 18 participate in any particular matter (ii) the plan’s investments are U.S.C. 208(b)(1). As a practical matter, affecting the holdings of a sector mutual administered by an independent trustee; however, most governmental matters in fund, provided the affected holding is (iii) the employee (or other person which an employee would participate not invested in the sector in which the specified in section 208) does not are unlikely to have a direct and fund concentrates. This provision participate in the selection of the predictable effect on the plan sponsor’s would address the problem that might investments except to direct that ability or willingness to pay an be encountered, for example, by an contributions be divided among several employee’s pension benefits. employee of the Federal Reserve who different types of investments (such as Accordingly, most employees will not owns shares in a sector mutual fund that stocks, bonds or mutual funds) available have a disqualifying financial interest in concentrates in biotechnology stocks, to plan participants; and (iv) the plan is either the holdings or the sponsor of a but which also has bank stocks in its not a profit-sharing or stock bonus plan. defined benefit plan. portfolio. The proposed exemption Although this proposed provision On the other hand, employees would would permit the Federal Reserve would apply to all types of employee ordinarily have a financial interest in employee to participate in matters benefit plans as described in the holdings of a defined contribution affecting banks whose stock is in the § 2640.102(d), for all practical purposes plan since those holdings are the assets fund’s portfolio without obtaining an most of the plans covered by the which will generate the employee’s individual waiver under section provision are some form of employee retirement or other income. Therefore, 208(b)(1). savings or retirement plan that provides in the absence of an exemption or The proposed regulation does not deferred income, typically after the waiver, an employee cannot act in contain an exemption for holdings in a employee has retired. Most often particular matters that would have a geographic sector mutual fund where an employees view these plans as direct and predictable effect on those individual holding creates a section 208 pensions. holdings. The proposed exemption at conflict for an employee, but the sector Most pensions (and similar employee § 2640.201(c)(1) would permit an as a whole does not create a conflict. benefit plans covered by this rule) are employee to act in particular matters This might occur, for example, when a one of two types: A defined benefit plan affecting the holdings of an employee Food and Drug Administration or a defined contribution plan. A benefit plan only if the plan meets the employee purchases a mutual fund defined benefit plan is one that is criteria described below. which concentrates its investments in designed to provide participants with a First, the plan must be administered German businesses and the employee is defined or specified benefit upon by an independent trustee which is involved in reviewing an application for retirement, such as an annual income defined in § 2640.102(g) as either a a drug approval submitted by a German that is a specific percentage of the trustee independent of the plan’s pharmaceutical company whose stock is compensation received by the sponsor and participants, or a registered a holding of the mutual fund. The Office participant during a certain period of investment adviser. Second, the of Government Ethics requests specific his employment. By contrast, a defined proposed rule would not permit the suggestions for language for an contribution plan is one that establishes employee to select his own investments. exemption that would be applicable in an individual account for each However, the prohibition on this situation. participant. In the case of a defined participation in selecting plan contribution plan, the retirement benefit investments would not bar an employee 3. Employee Benefit Plans received by the employee is based upon from directing the division of employer Proposed 5 CFR 2640.201(c)(1) (i), (ii) the contributions to and any income or employee contributions among a and (iii) would permit an employee to generated by the account, and can vary variety of types of investments or among act in any particular matter affecting the depending upon the gains, losses, and a group of specific investment vehicles holdings of the Federal Government’s expenses that are attributable to the chosen by the plan trustee or manager. Thrift Savings Plan, a pension plan account. Benefits to which a participant For example, a pension plan may offer established or maintained by a State or is entitled under a defined benefit plan participants the opportunity to choose local government, or other diversified may be insured by the Pension Benefit between a bond fund, a common stock Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules 47215 fund, or a government securities fund. plan is diversified on the day the report In addition, the proposed regulation Participants may choose to divide their is filed. Where section 208 is would require that the plan not have a investments among the various funds. implicated, however, employees may be stated policy of concentrating its Additionally, as with mutual funds, participating over a period of time in holdings in any business, industry, common trust funds, and unit Government matters and presumably single country other than the United investment trusts, this regulation as the plan would have to be diversified at States, or bonds of a State within the proposed would require that the assets all times when the employee would United States. The provision does not of the plan must be diversified. Unlike participate in the matter affecting the require an employee to perform any mutual funds, common trust funds, and plan’s assets. If OGE created a numerical mathematical calculation to determine unit investment trusts, however, there is diversification standard for employee whether a particular percentage of the no independent statutory or regulatory benefit plans in this regulation, it would plan’s assets are invested in any diversification requirement for be nearly impossible for employees to industry or sector, but simply to employee benefit plans except that plan know from day to day whether the plan ascertain whether the plan has a policy sponsors and managers have a fiduciary continued to be ‘‘diversified,’’ and of making such investments. responsibility to diversify plan assets to OGE’s goal of issuing clear and easy-to- Finally, the regulation at proposed reduce risk to the investors. See 29 use exemptions would be severely § 2640.201(c)(1)(iii)(B) states that the U.S.C. 1104(a)(1)(C). Because there is no undermined. plan may not be a profit-sharing or stock specific numerical standard for On the other hand, OGE is unwilling bonus plan. This limitation would diversification that this proposed to permit an automatic exemption to ensure that the exemption would not regulation could easily reference to apply to any employee benefit plan, allow an employee to participate in assist employees in determining whether or not it is diversified. Without matters affecting the corporate sponsor whether an individual plan is a requirement for some type of of a plan. However, because profit- diversified, OGE had to consider diversification, employees would be free sharing plans which are tax-deferred whether it wanted to create a to act in matters affecting the holdings under 26 U.S.C. 401(k) have become a diversification standard similar to of a plan which could contain any common form of employee benefit, others referenced in the regulation. amount of a single asset, thus increasing 401(k) plans would be excluded from Alternatively, OGE considered whether the possibility that the employee might the term ‘‘profit-sharing plan’’ for to adopt the same diversification significantly gain or lose as a result of purposes of this regulation. Section 2640.201(c)(2) as proposed standard used by employees to the Government matter in which he contains a provision which would determine whether they must report the would participate. This outcome would permit an employee to act in particular underlying assets of certain funds or subvert the statute’s clear intent to matters of general applicability affecting trusts on the public financial disclosure exempt only interests that are remote or statement (SF 278), i.e. no more than the sponsor of a State or municipal inconsequential. 5% of a plan’s assets can be invested in pension plan in which the employee, Because the majority of employee any one issuer and no more than 20% his spouse or minor child, or general of the plan’s assets can be invested in benefit plans are widely diversified in partner, participates. As used in this any one business, industry, or economic any case, OGE’s concern may be regulation, the term ‘‘pension’’ means a or geographic sector. somewhat theoretical. Nevertheless, plan, fund or program established or The problem with adopting any one of OGE has decided to propose a maintained by a State or municipality to these diversification standards is that requirement that, for the exemption to provide retirement income for its before an employee could decide apply, employee benefit plans must be employees or which results in a deferral whether the exemption would be diversified, i.e. the plan trustee or of income by employees for periods applicable, he would be required to manager must have a written policy of extending to termination of covered obtain a copy of the plan’s portfolio and varying plan investments. employment or beyond. scrutinize it to determine how the plan’s This diversification standard would As used in the regulation, the term assets are invested, including what simply require an employee to ‘‘sponsor’’ means the State or proportion of assets are invested in determine whether the plan trustee or municipality that established or particular issuers and particular manager has articulated a policy of maintains the plan, not any individual industries or sectors. The Office of diversifying plan assets. The State or municipal agency, board, or Government Ethics believes that in diversification policy might ordinarily panel that may administer the plan on many cases it is unrealistic to assume be stated in materials describing the behalf of the State or municipality. Of that employees can easily obtain an benefit plan. For example, brochures course, the restrictions of section 208 inventory of pension holdings and make describing the TIAA-CREF retirement apply only when the particular matter accurate calculations about the plan for employees of educational and in which the employee would act has a percentage of holdings in various research institutions specifically state direct and predictable effect on his issuers and industries. The problem is that the CREF Stock Account is a financial interest. In the vast majority of especially exacerbated by the fact that ‘‘broadly diversified portfolio of U.S. cases involving defined benefit plans, it the assets of many employee benefit stocks,’’ and that the CREF Social would be unlikely that any particular plan portfolios are continually changing Choice Account is ‘‘diversified among matter would affect a government’s and it would be difficult to establish stocks, bonds * * *.’’ In the absence of ability or willingness to pay the with any certainty the relative such a statement, the employee could employee’s pension. However, in the proportion of the plan’s assets from day obtain a written statement from the plan event that the employee would be to day. This problem is not so manager or trustee indicating that he required to act in such a matter, this significant for purposes of determining has a policy of diversification. In most provision would allow an employee to whether an employee benefit plan is an cases, the manager or trustee will act only in a particular matter not excepted investment fund (EIF) for attempt to diversify plan investments in involving specific parties, such as a purposes of financial disclosure because accordance with his or her fiduciary rulemaking. financial disclosure rules only require responsibilities under 29 U.S.C. If the matter in which the employee employees to determine whether the 1104(a)(1)(C). would participate affects the State or 47216 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules municipal agency, board or panel which counter) will still be covered by the The term ‘‘municipal security’’ is administers the plan on the State or exemption. defined in the proposed regulation at local government’s behalf, the employee Although most of the securities § 2640.102(k) to include only the direct would not be able to participate in the owned by employees clearly will be obligations of, or obligations guaranteed matter without first receiving an ‘‘publicly traded’’ within the meaning of as to principal or interest by, a individual waiver in accordance with the definition, there may be some cases municipal entity. Thus, certain the terms of 18 U.S.C. 208(b)(1). where the employee is not absolutely industrial development bonds which are issued under municipal aegis, but B. Exemptions for Interests in Securities certain whether a security is ‘‘publicly traded’’ within the meaning of this which actually represent the obligations Because many Federal employees regulation. In such cases, employees of a private organization, would not be own shares of stock and other types of should discuss the matter with a broker deemed municipal securities for securities, the proposed regulation or simply call the issuer. purposes of this regulation. Since the contains a number of provisions that An interest in stock can create a corporations which issue industrial describe exemptions for matters section 208 disqualifying financial development bonds are varied, affecting financial interests arising out interest in a number of ways. First, including both public and nonpublic of ownership of securities. Some of the ownership of shares of stock in an entity companies, a blanket waiver to cover exemptions would apply when the normally represents an ownership interests in securities offered by such employee owns the security directly; interest in the entity itself. Therefore, organizations is inappropriate. others would apply only when the Government matters that affect the The term ‘‘long-term Federal security is owned by other persons financial interest of the entity have a Government security’’ is defined in the specified in section 208, such as an concomitant effect on the financial proposed regulation at § 2640.102(j) to organization in which the employee interest of the person who owns stock mean bonds or notes with a maturity of serves as officer or director. In addition, in the entity. For purposes of section one year or more issued by the United some of the exemptions would apply to 208, the effect of the matter on the entity States Treasury pursuant to 31 U.S.C. chapter 31. Because the value of these participation in all types of particular need not be reflected in a change in the long-term securities can fluctuate matters, including those involving price of the entity’s stock. Section 208 widely, OGE has determined that it specific parties. Other exemptions is implicated if the matter affects the would be appropriate to exempt would apply only to participation in entity’s financial interest in any financial interests arising from the particular matters of general measurable way, such as when a ownership of these Government applicability. In general, the type and contract for computer maintenance securities to the same extent that extent of exemption depends on the services is awarded to a large financial interests arising from other type of matter involved, the amount of corporation that develops, manufactures securities are exempted. On the other the employee’s financial interest, and and maintains computers. Even if the hand, the value of short-term Federal the likelihood that the employee’s contract amount is not significant Government securities (with maturities action will affect the entity issuing the enough to result in an increase in the of less than one year) cannot be securities. value of the company’s stock, the mere substantially affected by the actions of As defined in the proposed regulation award of the contract has affected the employees who participate in matters at § 2640.102(r), the term ‘‘security’’ has company’s finances, and an employee involving those securities. Therefore, a somewhat expansive meaning who owns stock in the company has a the regulation would contain a separate including stock, bonds, mutual funds, disqualifying financial interest in the exemption at § 2640.202(d) for interests long-term Federal Government award of the contract to the company. arising from the ownership of short-term securities, limited partnership interests, Of course, in some cases a Government Federal Government securities. Of and municipal securities. However, for matter may be so significant that the course, as a practical matter only many of the exemptions to be price of the company’s stock rises or employees involved in setting and applicable, the securities must be falls to reflect the financial market’s implementing monetary policy or other ‘‘publicly traded securities’’ as defined reaction to the matter. In such cases, an similar governmental matters are likely in the regulation at proposed employee who owns stock in the to be participating in matters affecting § 2640.102(p). This means that in company would even more clearly have financial interests in Government addition to being the type of security a disqualifying financial interest in the securities in any event. described in § 2640.102(r), the securities matter. The term ‘‘Federal Government would have to be registered with the Corporate bonds and certain security’’ does not include a security Securities and Exchange Commission municipal and Government bonds are issued by any Federal entity other than under the Securities Exchange Act of included in the definition of ‘‘security’’ the U.S. Treasury pursuant to 31 U.S.C. 1934 (15 U.S.C. 781) and listed on a for purposes of the proposed regulation. chapter 31. Accordingly, interests national exchange or traded through Of course, a bond is also a form of debt arising from the ownership of securities NASDAQ, or be registered under the owed by the entity issuing the bond. issued by the Government National Investment Company Act of 1940 (15 Ordinarily, ownership of a corporate or Mortgage Association (GNMA), the U.S.C. 80a–8), or be a corporate bond municipal bond does not create a Federal National Mortgage Association issued by an entity whose stock meets disqualifying financial interest unless (FNMA), and other similar Government the definition of a ‘‘publicly traded the Government matter in which the agencies and Government-sponsored security.’’ In general, this requirement employee participates would have a entities are not automatically exempt ensures that the securities which are the direct and predictable effect on the from the requirements of section 208. Of subject of an exemption are widely market value of the bond or the entity’s course, in appropriate cases disseminated. In the case of corporate ability to repay the debt. The proposed disqualifying financial interests arising bonds, the definition of ‘‘publicly traded rule contains exemptions that would from the ownership of Federal agency security’’ will ensure that many bonds apply in cases where the bond’s value securities may be waived on an which are not traded on a national or the issuing entity’s ability to pay individual basis pursuant to 18 U.S.C. exchange (but are instead sold over-the- would be affected. 208(b)(1). Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules 47217 Even though interests in diversified proposed § 2640.202(a) would not have to be included. For example, if an mutual funds, and certain interests in exempt him from the prohibition of employee owns $5,000 of stock in an sector mutual funds would be totally section 208 unless the aggregate value of automobile manufacturer which is a exempted under § 2640.201 as the stock he owns in all parties is no party to a case in litigation in which the proposed, the term ‘‘mutual fund’’ is more than $5,000. employee is involved, and he also owns included in the definition of ‘‘security’’ The Office of Government Ethics $22,000 of stock in another automobile for the purpose of the de minimis considered proposing to set the de manufacturer affected by, but not a exemptions. This means that minimis standard at no more than party to the litigation, he may not rely nondiversified mutual funds would be $1,000 because that is the minimum on the exemptions at §§ 2640.202(a) and exempt to the same extent, and under value for assets that must be reported on (b), as proposed, to participate in the the same circumstances, that stocks, an employee’s public financial matter. Because the aggregate market bonds and other ‘‘securities’’ are disclosure statement (SF 278). Setting value of his holdings in the securities of exempt. Thus, an interest in $5,000 the de minimis level at $1,000 would all affected entities exceeds $25,000, he worth of a biotechnology sector mutual have permitted agency ethics officials would have to disqualify himself from fund would be exempt even though an who review financial disclosure reports the matter, or divest at least $2,000 employee would be participating in a to counsel employees that section worth of securities in affected party or particular matter involving a company 208(b)(2) exempts all interests in non-party entities, or seek an individual whose stock was owned by the mutual securities they own whose values fall waiver under section 208(b)(1) prior to fund. Similarly, proposed § 2640.202(c) below the threshold for reporting on the participating in the matter. The purpose would permit an employee to SF 278 statement. However, the actual of the aggregation requirement is to participate in a particular matter of financial interest one might have in a ensure that the application of more than general applicability even if he owned matter because of the ownership of one exemption to a single matter does $25,000 worth of a sector mutual fund, stock worth no more than $1,000 would not violate the statutory criterion that one of whose holdings was a company have been a significantly lower amount exemptions be issued only for interests affected by the matter in which the than OGE believes can be considered that have been determined to be remote employee would participate. For ‘‘inconsequential’’ within the meaning or inconsequential. purposes of the de minimis provisions, of section 208(b)(2) and would have The proposed regulation at the value of an employee’s interest in a clearly limited the exemption’s § 2640.202(c) would permit an mutual fund would be the value of his usefulness. After final adoption of this employee to participate in any interest in the fund as a whole, not the rule (with any modifications), OGE will particular matter of general applicability pro rata value of any underlying holding periodically review this and other not involving specific parties, where the of the fund. specific dollar thresholds as well as employee’s disqualifying financial other aspects of this regulation. interest arises from the ownership of 1. De Minimis Exemptions Where an employee has an interest in publicly traded, long-term Federal The first exemption pertaining to a security issued by an entity which is Government, or municipal securities ownership of securities at § 2640.202(a) not a party to the particular matter issued by one or more entities, if the as proposed would permit an employee involving specific parties, but which is value of the employee’s holdings to participate in any particular matter nonetheless affected by the matter, the (including the aggregate holdings of his involving specific parties where the employee may act in the matter if the spouse and minor children) in any one employee’s financial interest arises from value of the security does not exceed affected entity does not exceed $25,000, the direct or beneficial ownership by the $25,000. See proposed § 2640.202(b). and his holdings in all affected entities employee, his spouse or minor child of This might occur, for example, when does not exceed $50,000. This proposed one automobile manufacturer sues the publicly traded securities, long-term exemption would not permit the Government to enjoin enforcement of a Federal Government securities, or employee to participate in particular new regulation that will require all municipal securities valued at no more matters having specific parties whether manufacturers to incur additional than $5,000 where the entity issuing the or not the issuer of the securities is a production expenses. A Government security is a party to the matter. The party. This exemption, as well as the attorney involved in the litigation who term ‘‘direct or beneficial ownership’’ exemption proposed at § 2640.202(b) for owns stock in another auto means that the employee’s interest can cases where the issuer of the security is manufacturer not a party to the not a party to the matter, would allow arise either through his direct litigation may continue to act in the case an employee to participate in matters ownership of the securities, or as the pursuant to this exemption if the value where his financial interest was beneficiary of a trust or an estate. The of his stock does not exceed $25,000. Of relatively insubstantial, and where it is value of securities owned by the course, this proposed exemption would not likely that the interest would be employee, his spouse, and his minor be relevant only in cases where section affected in a manner disproportionate to children must be aggregated to 208 was applicable to the matter at other affected entities. determine whether the exemption issue, i.e. the matter would have a direct Finally, it should be understood that 5 applies. Thus, for example, if an and predictable effect on the employee’s the amounts set forth in the de minimis employee owns stock in each of several financial interest arising from the provisions in proposed § 2640.202 do companies which are parties to the security. not establish a threshold over which particular matter, the provision at Proposed § 2640.202(b) would not waivers may not be granted on an permit an employee to act in a individual basis under section 208(b)(1). 5 Some of the exemptions in proposed § 2640.202 apply to the interests of the employee, the particular matter if the aggregate value Therefore, an appointing official may employee’s spouse and minor children, and the of affected securities owned by the decide in an individual case to grant a employee’s general partner. Others apply to employee, his spouse and minor waiver to permit an employee to interests arising from the holdings of a general children exceeds $25,000. For purposes participate in particular matters partner, or someone whom the employee serves as officer, director, trustee or employee. Still others of determining whether the $25,000 involving parties in cases where an apply to the interests of any one listed in section limitation is met, the value of securities employee owns more than $5,000 worth 208. exempted under § 2640.202(a) would of stock in an affected party. Similarly, 47218 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules an appointing official may grant waivers 2640.202(e) of this proposed regulation limited partners. OGE believes that, in in cases where an employee would contains a provision that would permit most such cases, an employee would participate in matters of general an employee to participate in any type not have enough of a personal applicability or in matters where he of particular matter affecting an entity relationship with his general partner owns stock in affected entities which which issues publicly traded, that his judgment on official matters are not parties, even where the amount municipal, or long-term Federal affecting his partner would be impaired, of the employee’s holdings exceeds the Government securities in which a tax- or would be perceived to be impaired, amounts set forth in § 2640.202(b) and exempt organization invests, if the by the public. In cases where an (c) as proposed. The criteria an agency employee serves the 501(c)(3) employee is a limited partner in a should consider in granting such organization as an unpaid officer, partnership with fewer than 100 limited waivers are described in §§ 2640.301 director, or trustee, or as an employee. partners, he would have to receive an and 2640.302 of this proposed The exemption would apply only if the individual waiver under section regulation. employee plays no role in making 208(b)(1) before he could participate in investment decisions for the 2. Short-term Federal Government particular matters in which he knows organization other than participating in Securities his general partner has a financial the decision to invest in several interest. Proposed § 2640.202(d) would permit different categories of investments, the an employee to act in any particular organization’s holdings in the entity are C. Miscellaneous Exemptions matter affecting a financial interest limited, and the organization is not 1. Hiring Decisions arising from the ownership of ‘‘short- related to the entity except as an Employees throughout Government term Federal Government securities’’ by investor, or through a routine are expected to participate in routine the employee, or any other person commercial transaction. This proposed personnel matters that involve current specified in section 208. The term exemption is limited in scope and only employees of an entity in which they ‘‘short-term Federal Government allows an employee to participate in a may have a financial interest, but the security’’ is defined in proposed matter which affects the tax-exempt Government personnel matters are § 2640.102(t) to mean a bill issued by organization’s investments. It would not unlikely to have any significant effect the United States Treasury pursuant to permit the employee to participate in on their financial interests. In most such 31 U.S.C. chapter 31, with a maturity of matters that directly affect the tax- less than one year. This provision, for exempt organization, or matters that cases, it would be difficult to conclude example, would permit employees of would also affect the employee’s own that the employee has a disqualifying the Federal Reserve to act in matters financial interests. financial interest within the meaning of that would affect changes in the interest section 208 in the hiring of an rates paid on Treasury bills. The Office 4. Interests of General Partners employee. In certain exceptional cases, of Government Ethics believes that the Section 208(a) prohibits an employee however, an employee’s participation in exemption for short-term Federal from acting in any particular matter that a hiring decision might affect his Government securities is warranted would affect the financial interests of financial interests. For example, an because changes in the interest rates his general partner. Of course, in many employee may be called upon to paid on Treasury bills occur in cases, an employee will not have participate in a decision to hire a new relatively small increments, and do not knowledge of his partner’s financial employee currently working for a significantly enhance the value of these interests, so that section 208 will not company in which he owns stock. In the bills because of their short maturities. limit the employee’s ability to act in case of some highly paid executives, the Government matters in which his executive’s departure may cause the 3. Interests of Tax-Exempt Organizations partner has an interest. company to incur gains or losses, Unless he is personally involved in an On the other hand, where the thereby creating a disqualifying organization’s investment decisions, an employee does have knowledge of his financial interest. An exemption under employee often would not have partner’s interests, it might often be section 208(b)(2) would permit the knowledge of the investment interests of inappropriate for the employee to act in employee to carry out his duties without organizations in which he is an officer, a matter which would affect those raising any serious conflict of interest director, trustee, or employee. However, interests. However, where the general concerns. because section 208 bars him from partner’s interest is derived solely from Section 2640.203(a) as proposed acting in matters in which these the ownership of publicly traded, long- would permit an employee who owns organizations have a financial interest, term Federal Government, or municipal publicly traded securities issued by a section 208 will be implicated if an securities, proposed § 2640.202(f)(1) corporation, or who has a vested interest employee acts in a particular matter would permit an employee to act in any in a pension plan sponsored by a which he knows will affect the holdings particular matter affecting the issuer of corporation which issues publicly of an organization he serves as officer, the securities, if the value of the traded securities, to participate in director, trustee, or employee. securities does not exceed $200,000 and Government hiring decisions involving The concern about a conflict of ownership of the securities is not an applicant currently employed by the interest in such cases is diminished, related to the partnership between the corporation. This exemption would however, if the organization is nonprofit employee and his general partner. allow an employee to continue and tax-exempt under section 501(c)(3) Proposed § 2640.202(f)(2) contains a participation in routine hiring of the Internal Revenue Code, and the provision that would permit an procedures even when the matter might employee has no involvement in making employee to act in all matters where the nominally affect his interest in the investment decisions for the disqualifying interest would arise from corporation. The exemption would also organization. Examples of such any interest of an employee’s general apply in cases where any other person organizations include child or animal partner, but only if the employee’s specified in section 208 owns publicly welfare organizations, community relationship to his general partner is traded securities issued by the service groups, and health or medical that of a limited partner in a large corporation or participates in a pension research organizations. Section partnership, i.e. one with at least 100 plan sponsored by the corporation. Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules 47219 2. Employees on Leave from Institutions To lessen the hardship that would 5. Participation in Discount and of Higher Education result from the application of section Incentive Programs 208 in many cases involving multi- The proposed exemption at Proposed § 2640.203(b) would permit campus institutions of higher education an employee who is on a leave of § 2640.203(e) concerns benefits earned and to alleviate the need for numerous absence from an institution of higher in discount, incentive and other similar individual waivers, the exemption at education (defined as an educational programs. These benefits might include, proposed § 2640.203(c) would permit an institution described in 20 U.S.C. for example, frequent flier mileage, employee to act in matters affecting one 1141(a)) to participate in matters of upgraded seating on airplanes, free general applicability which would affect campus of a state multi-campus tickets for additional airplane flights, the financial interest of the institution. institution of higher education if the and discounted rates for rental cars and Because of the tenure system, an employee is employed in a position hotel rooms. Typically these programs employee who comes from an academic with no multi-campus responsibilities at are established by commercial entities setting to work in the Federal a different campus of the same to generate loyalty to a particular Government often takes a leave of institution. Where an employee is company. Often participants in the absence from his academic position employed on one campus of an programs earn benefits based on the rather than terminate the position institution, he is not likely to be amount of the company’s services they entirely. Under these circumstances, in involved with matters occurring on utilize during a specified period. cases where the employee’s other campuses, and therefore his Employees may participate in such involvement in a Government matter interests in those matters are sufficiently programs in a personal capacity, and would affect the educational remote that a blanket waiver would be usually participation would raise no institutional only as part of a larger class appropriate. The exemption would concerns under section 208. However, of similarly affected institutions, the allow an employee to participate in in unusual cases, the benefits may likelihood of a conflict of interest is matters affecting other campuses of the create a financial interest of the sufficiently remote that an exemption institution only if his responsibilities employee in certain types of matters. permitting the employee to act is are confined to the one campus where Employees who act in Government warranted. he is employed; a person whose matters which affect an entity’s ability or inclination to honor its commitment responsibilities cross more than one The proposed exemption would to provide benefits may have a campus would not be able to participate permit the employee to act only in disqualifying financial interest in those in any particular matter involving any matters affecting the institution from matters. The exemption proposed at which he is on leave, not his own direct campus of the institution without first § 2640.203(e) would permit an financial interests. For example, an receiving an individual waiver under 18 employee who participates in such a employee could participate in U.S.C. 208(b)(1). significant way in matters affecting one developing a research plan that is 4. Employees Whose Official Duties of these entities to participate in these expected to result in a grant agency matters even if he, or any other announcement soliciting proposals from Affect the Financial Interests of Government Employees person specified in section 208, researchers to study a particular medical participates in the benefit program. In procedure even if he knows that the Section 2640.203(d) as proposed the case of frequent flier programs, for university from which he is on leave would restate the exemptive provision example, this might include employees may submit a proposal. On the other contained in interim rule § 2640.101 of of the Federal Aviation Administration, hand, the employee could not 5 CFR, which is being separately or the Pension Benefit Guaranty participate under this exemption in a published in the Federal Register by Corporation, or the Antitrust Division of Government decision to increase the OGE, that applies to interests that arise the Department of Justice. current funding levels of a certain type from employment in the executive of research conducted by a group of 6. Mutual Insurance Companies branch of the Federal Government. With colleges and universities, including the An employee’s interest as a school from which he is on leave, if his two exceptions, the provision exempts all disqualifying financial interests in policyholder of life, health, automobile, university salary when he returns will house and other types of insurance does be paid from an affected research grant. Government salary and benefits, and in Social Security and veterans’ benefits. not often create a section 208 disqualifying financial interest because 3. Multi-campus Institutions of Higher The exemption does not permit an there are not many Government matters Education employee to make (1) determinations in which an employee could participate that individually or specially affect his 18 U.S.C. 208 prohibits an employee, that would affect an insurance including a special Government own financial interest in Government company’s ability or inclination to employee, from acting in a Government salary and benefits, or (2) continue the benefits to which the matter which would have a direct and determinations, requests, or employee is entitled under the policy. predictable effect on the financial recommendations that individually or In the unusual case where an employee interest of his employer. In the case of specially relate to, or affect the were assigned to participate in such a some employees, particularly special Government employment-related significant matter, the employee should Government employees, the non-Federal financial interests of any other person first obtain an individual waiver under employer may be a multi-campus State specified in section 208, such as the section 208(b)(1). institution of higher education. Even employee’s spouse, minor child, or In the case of mutual insurance though the employee may be employed general partner. Furthermore, a note companies, however, employees may by only one campus of the institution, following the section explains that the have interests in the company other his employer is the entire institution exemption does not permit an employee than those involving the continuation of and he is therefore barred from acting in to take any action in violation of any benefits. Mutual insurance company official matters which affect any of the other statutory or regulatory policyholders may have an interest in institution’s campuses. requirement. the overall financial health of the 47220 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules mutual insurance company because the therefore subject to the requirements of member’s ties to persons who may be amount of the policyholders’ premiums section 208.6 affected by the committee’s are based upon the profitability of the When 18 U.S.C. 208 was amended in deliberations. Finally, the findings of an company. In such cases, the 1989, a new waiver authority was added advisory committee are not binding on policyholder would have a disqualifying concerning the interests of persons an agency, but merely constitute financial interest in any particular serving on advisory committees. This recommendations that can be adopted matter that would affect the company’s new authority, at section 208(b)(3), or rejected by the agency. profitability or general financial health. permits an agency to waive, on an Limitations on the use of the The proposed exemption at individual basis, any disqualifying exemption would further ensure the § 2640.203(f) would permit an employee financial interest of a special integrity of the advisory committee to participate in any particular matter, Government employee (SGE) serving on process. First, the exemption would including a matter involving parties, an advisory committee if the need for apply only to matters of general that would affect the financial interest the employee’s services outweighs the applicability which would not have a of the employee, or any other individual potential for a conflict of interest. special and distinct effect on the specified in section 208, as a mutual Nevertheless, agencies which utilize the affected person. Thus, the exemption insurance policyholder. services of a large number of special would not permit a special Government The exemption would not apply, Government employees on advisory employee to act in a matter in which the however, if the matter would affect the committees still have to prepare affected person was a party, or the company’s ability to comply with its innumerable waivers, largely on a competitor of a party. Second, the obligation to pay claims under the routine basis, for the disqualifying exemption would apply only to the policy or to pay the employee the cash interests of these employees. To financial interests which arise from the value of the policy. The exemption eliminate the need for some of these special Government employee’s non- would, for example, allow an employee individual waivers, the proposed Federal employment, such as the to participate in Government matters regulation at § 2640.203(g) would employee’s salary or the overall where his mutual insurance company exempt the employment interests of financial well-being of the entity or insures a party to the matter as long as special Government employees serving person who employs the special the matter was not so significant that it on advisory committees, permitting Government employee. It would not would impair the company’s ability to them to participate in any particular apply to the employee’s stockholding satisfy its obligation to pay claims under matter of general applicability not interest in his employer, although such the policy or to pay the employee the involving specific parties. The provision an interest could be exempt under cash value of the policy. The exemption would specifically permit a covered § 2640.202(c) of this proposed also would not apply when an entity employee to act in a particular matter regulation or under § 2640.201(c) if specified in section 208 (e.g. a affecting a financial interest created stock is part of an employee benefit plan corporation that the employee serves as because of his employment status. This as defined in the proposed exemption. officer or director) rather than the would include, for example, the Moreover, a disqualifying financial employee himself or other individual interests of an SGE’s principal employer interest arising from the ownership of specified in section 208 is a in a regulatory matter applicable to all stock by the special Government policyholder. OGE decided not to similarly situated entities. The employee could be waived on an extend the exemption to this situation exemption would not apply, however, if individual basis under section 208(b)(1) the matter would have a special or or (b)(3). because of concern whether the distinct effect on the person other than financial interest of a corporation or 8. Directors of Federal Reserve Banks as part of a class. other large entity as a policyholder The Office of Government Ethics Although the other conflict of interest might be considerably greater than one believes that this special exemption for prohibitions in title 18 do not apply to which could be considered members of advisory committees can be the Directors of the twelve Federal ‘‘inconsequential’’ under the statute. justified because the public’s interest in Reserve Banks throughout the United 7. Special Government Employees the integrity of advisory committee States, the Directors are subject to the Serving on Advisory Committees proceedings is protected by the nature requirements of section 208. Each of the twelve banks has nine Directors, three of Federal agencies often utilize the of the proceedings themselves. The Federal Advisory Committee Act whom represent the interests of that services of outside experts by forming Bank’s stockholding member banks, and advisory committees under the Federal requires that advisory committee meetings be open to the public, except six of whom represent the interests of Advisory Committee Act, 5 U.S.C. app. the public, with due consideration to These committees are organized in unusual circumstances. Moreover, the membership of advisory committees the interests of commerce, industry, specifically to obtain the advice and services, labor and consumers. Because recommendations of persons with must be balanced so that a variety of viewpoints will be represented. Both of of their ties to the financial services expertise in a particular field. Therefore, industry and their communities, it is many of the persons serving on an these requirements will ensure that the public is aware of a committee likely that at least some of the Directors advisory committee will likely be will have financial conflicts with their employed or have some type of business 6 In some cases, a person may be serving on an duties. The proposed regulation at relationship with private sector advisory committee in a representative capacity on § 2640.203(h) would exempt the organizations that may be affected by behalf of a non-governmental organization, group or Directors from the application of section the matter under review by the industry. Section 208 does not apply to committee 208 for two primary activities: the role committee. Many advisory committee members serving in a representative capacity because they are not considered special of Directors in establishing the interest members are appointed as special Government employees. Accordingly, a rate to be charged on loans made by Government employees and are representative does not need a waiver or exemption Reserve Banks, and the role the as described in this proposed regulation in order to participate in committee matters. See generally OGE Directors may play in extending credit Informal Advisory Letter 82x22 (July 9, 1982), OGE to healthy financial institutions or to Advisory Publication, p. 325. financial institutions in hazardous Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules 47221 condition. The exemptions, which were would apply only when the financial applicable regulations if he acted in first issued by the Federal Reserve in interest is of the type described in the reliance on a regulatory waiver issued 1978 and which are currently set forth regulation. Other types of financial by his employing agency under 18 in 12 CFR 264a.5, are necessary to interests, such as those arising from the U.S.C. 208(b)(2) as in effect prior to resolve any possible conflict between ownership of stock in the manufacturer November 30, 1989. the Directors’ statutorily mandated of the product or device, or employment III. Waivers Issued Pursuant to 18 representational function and the by the manufacturer would not be not U.S.C. 208(b)(1) performance of their official duties. covered by this exemption. Such In general, proposed § 2640.203(h) interests may be covered by other In some situations an employee may would permit a Federal Reserve Director exemptions (such as proposed have a disqualifying financial interest to act in matters involving (1) the § 2640.202(a)) or an employee may which would not be exempted from the establishment of rates to be charged obtain an individual waiver under requirements of section 208(a) by this member banks for advances and section 208(b)(1) or (b)(3). proposed regulation as being too remote discounts; (2) approval or ratification of or inconsequential. For example, some extensions of credit, advances or D. Prohibited Financial Interests disqualifying financial interests are discounts to depository institutions that The provision at § 2640.204 of this simply too difficult to define precisely are not in a hazardous financial proposed regulation would make clear enough in a regulation, while in other condition; (3) approval or ratification of that none of the exemptions apply to cases OGE is unable to describe with extensions of credit, advances or financial interests held or acquired in enough particularity the matters in discounts to depository institutions that violation of a statute or agency which the exemptions would apply. In are in a hazardous condition as supplemental regulation issued under 5 circumstances such as these, an agency determined by the President of the Bank CFR 2635.105, or that are otherwise may determine pursuant to section in accordance with 12 CFR 264a.3, but prohibited under 5 CFR 2635.403(b). 208(b)(1) that an individual waiver only when certain conditions are met; This provision would prevent an should be granted to the employee. The and (4) consideration of monetary employee who knowingly acquires a determination required in these cases is policy matters, regulations, statutes, or prohibited financial interest and who that the employee’s disqualifying other similar matters of broad also participates in an agency matter interest in the matter is not so applicability. As described above, these affecting that interest, from asserting substantial as to be deemed likely to exemptions would simply continue that the exemption provisions described affect the integrity of the services which existing regulatory exemptions for in this rule preclude the Government the Government expects from the Reserve Bank Directors. from pursuing appropriate sanctions employee. In short, the agency must against him. determine whether the employee’s 9. Medical Products and Devices interest in the matter is not so Section 2640.203(i) would contain an E. Employee Responsibility significant that the employee can be exemption for special Government Section 2640.205 as proposed states relied upon to act or appear to act employees who serve on advisory that each employee assigned to a matter impartially in the matter. While final committees considering the approval or which may affect a financial interest determinations in these matters rest classification of medical products or within the scope of section 208(a) is with the agencies, this proposed devices. Often these special Government responsible for determining, prior to regulation at § 2640.301 would establish employees are employed by hospitals or taking action, whether an exemption uniform procedural requirements for other medical facilities that purchase permits him to participate in the matter. such waivers and would provide these products or devices for use by If an employee is unsure whether an guidance to agencies in making the their patients. Similarly, the special exemption is applicable in a particular determinations necessary for the Government employees may prescribe situation, he should consult with the granting of waivers. the product or device for their own agency ethics official prior to taking An agency granting a waiver pursuant patients. In some cases, the employees action. As proposed, this regulation to section 208(b)(1) should observe a may have a disqualifying financial would be interpreted strictly, so that an number of procedural requirements. interest in the matters under employee who has a financial interest in First, the financial interest involved, consideration by the committee because a matter could not act in the matter in and the nature and circumstances of the their employers’ profits from providing reliance on any provision in the particular Government matter or matters these products or devices to patients by regulation unless the interest were in which the employee would act must billing more than the cost of the item. specifically exempted by the regulation. be fully disclosed to the Government In other cases, it is possible that a Alternatively, an employee may seek an official responsible for issuing the special Government employee with individual waiver under 18 U.S.C. waiver. If the official decides to grant private patients could affect his own 208(b)(1) or (b)(3). the waiver, it must be in writing and be financial interest by, for example, issued by the person responsible for the deciding not to reclassify a drug to F. Existing Agency Exemptions employee’s appointment (or by a person permit it to be sold over the counter, This proposed rule at § 2640.206 to whom the responsibility to issue such thereby resulting in a loss of patients contains a provision designed to resolve waivers has been delegated.) A waiver who would otherwise have to seek a questions concerning reliance on must be issued prior to any action on prescription from him. waivers issued by agency regulation the matter by the employee. The waiver The Office of Government Ethics prior to November 30, 1989, the should describe the matter or matters to believes that the types of financial effective date of the 1989 Ethics Reform which it applies, the employee’s role in interests described in the proposed Act revisions to 18 U.S.C. 208. The these matters, and any limitations to be exemption are inconsequential enough provision would make clear that an placed on the employee’s involvement that special Government employees who employee who, prior to the effective in them. There is no requirement in the serve on these types of advisory date of this regulation, participated in a rule as proposed that the disqualifying committees can be expected to act matter in which he had a financial financial interest, the particular matter impartially. Of course, the exemption interest acted in accordance with to which the waiver applies, or the 47222 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules employee’s role in the matter be responsible official should consider the conflict created by the financial interest described with any specific degree of nature and importance of the involved. particularity. This would, for example, employee’s role in the matter in which In making this certification, permit the agency issuing the waiver to he would be allowed to act, including § 2640.302(b) as proposed would describe the employee’s duties in a the extent to which he would have to instruct the responsible official to general way, or to describe a class of exercise discretion. For example, the consider the uniqueness of the matters to which the waiver would agency should consider whether the individual’s qualifications and the apply. Of course, agencies should employee will play a primary role in difficulty of finding a similarly qualified endeavor to formulate waivers with dealing with an entity in which he has individual to serve on the committee. enough specificity that a member of the a financial interest, or contribute As in the case of making a public would have a clear substantially to a decision affecting such determination whether a waiver should understanding of the circumstances to an entity, or play a peripheral role in a be granted under section 208(b)(1), the which the waiver applies. In addition, matter involving the entity. official should also consider the type of the waiver must be based on a Agencies may also consider certain interest that is creating the determination that the employee’s other factors when deciding whether an disqualification, as well as its dollar financial interest is not so substantial as employee’s financial interest is value to the extent it is known or can to be deemed likely to affect the substantial enough to affect the integrity be estimated. Consideration should also integrity of the employee’s services to of his services. A responsible official be given to the identity of the person the Government. A waiver may apply to may consider the sensitivity of the whose financial interest is creating the both present and future financial agency matter in which the employee disqualification and that person’s interests provided that the interests are would act, the need for the employee’s relationship to the employee. Finally, described with specificity. services in the particular matter, and the official should consider the In granting a waiver, section 208(b)(1) whether adjustments could be made in likelihood that the advisory committee will consider matters which will affect specifically requires an agency to the employee’s duties that would reduce determine whether the employee’s the individual’s financial interests or eliminate the likelihood that the financial interest in the matter is not so individually or particularly. integrity of the employee’s services substantial as to affect the integrity of The regulation at proposed would be questioned. A decision by the the employee’s services to the § 2640.302(a) also states that the agency responsible official to grant a waiver Government. In large part, this should follow procedural requirements pursuant to section 208(b)(1) constitutes determination depends on the size of similar to those for granting individual a determination under 5 CFR 2635.502 the financial interest, its importance to waivers under 18 U.S.C. 208(b)(1). of the Standards of Ethical Conduct that the employee, and the employee’s Waivers issued pursuant to section the Government’s interest in having an ability to affect his own financial 208(b)(3) may be applicable only to employee participate in a particular interest directly. Information concerning special Government employee members an employee’s good character and past matter outweighs any questions or prospective members of advisory record are irrelevant in making the concerning an employee’s impartiality. committees within the meaning of the waiver determination and should not be IV. Waivers Issued Pursuant to 18 Federal Advisory Committee Act. relied upon as a basis for granting a U.S.C. Section 208(b)(3) V. Consultation and Notification waiver. The proposed regulation at This proposed regulation would also Concerning Waivers § 2640.301(b) lists five factors that an address the authority of agencies to Proposed § 2640.303, in accordance agency official may consider in judging issue waivers pursuant to section with section 301(d) of Executive Order the propriety of granting a waiver. First, 208(b)(3) for special Government 12674, would require a responsible the responsible official should consider employees who are members of an official, when practicable, to consult the type of interest creating the advisory committee established under formally or informally with the Office of disqualification, such as stock, bonds, or the Federal Advisory Committee Act (5 Government Ethics prior to granting a a job offer. Consideration should also be U.S.C. app.) or nominees to such a waiver under either § 2640.301 or given to the identity of the person committee if these individuals have a § 2640.302 as proposed. The whose financial interest is involved. In disqualifying financial interest. The consultation need not take any particular, if the financial interest is not basis for a determination to grant a particular form and may be done the employee’s own, but is the interest waiver under section 208(b)(3) is informally by telephone. While these of one of the other persons specified in somewhat different from that which waiver determinations are within an section 208, the agency official should underlies a waiver granted pursuant to agency’s discretion, consultation with examine the relationship of the person section 208(b)(1). To allow an OGE affords the agency official an to the employee. Employment interests individual to participate in advisory opportunity to benefit from OGE’s often create ties stronger than mere committee matters from which he experience and knowledge as to how stock ownership that might affect an would otherwise be disqualified, the these provisions are generally employee’s judgment. Moreover, the agency must balance the need for the interpreted and whether the agency’s ethics official should consider the effect individual’s services against the proposed solution is legally sufficient of the matter on the interests of the potential for a conflict of interest and is within the range of reasonable person specified in the statute, not just created by the employee’s disqualifying interpretations. After issuance of a the ultimate effect, if any, on the interest. After reviewing the financial waiver, a copy of the waiver must be interests of the employee. Next, the disclosure statement filed by the transmitted promptly to OGE. See official should consider the dollar value individual pursuant to the Ethics in section 301(d) of E.O. 12674, as of the disqualifying interest to the extent Government Act of 1978, the official modified, and 5 CFR 2635.402(d)(4). it is known or can be estimated, and the responsible for appointing the value of the financial instrument or individual to the committee must certify VI. Public Availability of Waivers holding which is creating the that the need for the individual’s Agencies are generally required to disqualifying interest. Finally, the services outweighs the potential for make copies of waivers issued pursuant Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules 47223 to 18 U.S.C. 208(b)(1) or (b)(3) available not contain information collection have a financial interest. The statute is to the public upon request. See 18 requirements that require the approval intended to prevent an employee from U.S.C. 208(d)(1) and proposed of the Office of Management and allowing personal interests to affect his § 2640.304. The procedures to be used Budget. official actions, and to protect for providing access to these waivers are governmental processes from actual or List of Subjects in 5 CFR Part 2640 those which are used for public access apparent conflicts of interests. However, to financial disclosure statements under Conflict of interests, Government in certain cases, the nature and size of the Ethics in Government Act. The employees. the financial interest and the nature of procedures are described at 5 CFR Approved: August 9th, 1995. the matter in which the employee 2634.603. Donald E. Campbell, would act are unlikely to affect an There are certain limitations on the Deputy Director, Office of Government Ethics. employee’s official actions. public availability of waivers granted Accordingly, for the reasons set forth Accordingly, the statute permits waivers pursuant to 18 U.S.C. 208(b)(1) and in the preamble, the Office of of the disqualification provision in (b)(3). Agencies may withhold from Government Ethics proposes to amend certain cases, either on an individual disclosure any information contained in title 5, chapter XVI, subchapter B of the basis or pursuant to general regulation. a waiver which would be exempt from Code of Federal Regulations by adding Section 208(b)(2) provides that the disclosure under the Freedom of a new part 2640 to read as follows: Director of the Office of Government Information Act, 5 U.S.C. 552. In Ethics may, by regulation, exempt from addition, for waivers issued under PART 2640ÐINTERPRETATION, the general prohibition, financial section 208(b)(3), an agency must EXEMPTIONS AND WAIVER interests which are too remote or too withhold any information in the GUIDANCE CONCERNING 18 U.S.C. inconsequential to affect the integrity of certification concerning an individual’s 208 (ACTS AFFECTING A PERSONAL the services of the employees to which financial interest that is more extensive FINANCIAL INTEREST) the prohibition applies. This regulation than what is required to be disclosed by describes those financial interests. The the individual in his financial Subpart AÐGeneral Provisions regulation also provides guidance to disclosure statement under the Ethics Sec. agencies on the factors to consider when Act. Agencies should also withhold 2640.101 Purpose. issuing individual waivers under 18 information in any waiver which is 2640.102 Definitions. U.S.C. 208(b)(1) or (b)(3), and provides otherwise subject to a prohibition on 2640.103 Prohibition. an interpretation of 18 U.S.C. 208(a). public disclosure under law. Subpart BÐExemptions Pursuant to 18 § 2640.102 Definitions. VII. Matters of Regulatory Procedure U.S.C. 208(b)(2) 2640.201 Exemptions for interests in For purposes of this part: Administrative Procedure Act mutual funds, common trust funds, unit (a) Common trust fund means any Interested persons are invited to investment trusts, and employee benefit fund as defined in 26 U.S.C. 584. A submit written comments to OGE on plans. common trust fund is maintained by a this proposed regulation, to be received 2640.202 Exemptions for interests in bank exclusively for the collective on or before November 13, 1995. The securities. investment and reinvestment of monies 2640.203 Miscellaneous exemptions. Office of Government Ethics will review 2640.204 Prohibited financial interests. contributed to the fund in its capacity all comments received and consider any 2640.205 Employee responsibility. as trustee, executor, administrator, or modifications to this rule as proposed 2640.206 Existing agency exemptions. guardian. Common trust funds are which appear warranted before adopting collections of individually established Subpart CÐIndividual Waivers a final rule on this matter. funds for which a bank acts as fiduciary. 2640.301 Waivers issued pursuant to 18 Executive Order 12866 The bank pools the funds for investment U.S.C. 208(b)(1). purposes. 2640.302 Waivers issued pursuant to 18 In promulgating this proposed (b) Diversified means that the fund, regulation, the Office of Government U.S.C. 208(b)(3). 2640.303 Consultation and notification trust or plan does not have a stated Ethics has adhered to the regulatory policy of concentrating its investments philosophy and the applicable regarding waivers. 2640.304 Public availability of agency in any industry, business, single country principles of regulation set forth in waivers. other than the United States, or bonds section 1 of Executive Order 12866, Authority: 5 U.S.C. App. (Ethics in of a single State within the United Regulatory Planning and Review. This Government Act of 1978); 18 U.S.C. 208; E.O. States and, in the case of: proposed rule has also been reviewed by 12674, 54 FR 15159, 3 CFR, 1989 Comp., p. (1) A mutual fund, means the assets the Office of Management and Budget 215, as modified by E.O. 12731, 55 FR 42547, of the mutual fund are sufficiently under that Executive order. 3 CFR, 1990 Comp., p. 306. varied that it meets the requirements of Regulatory Flexibility Act Subpart AÐGeneral Provisions section 5(b)(1) of the Investment As Director of the Office of Company Act of 1940, 15 U.S.C. 80a– Government Ethics, I certify under the § 2640.101 Purpose. 5(b)(1), for a diversified company; Regulatory Flexibility Act (5 U.S.C. 18 U.S.C. 208(a) prohibits an officer or (2) A common trust fund, means the chapter 6) that this proposed regulation employee of the executive branch, of fund is subject to the rules regarding will not have a significant economic any independent agency of the United diversification established by the Office impact on a substantial number of small States, of the District of Columbia, or of the Comptroller of the Currency at 12 entities because it affects only Federal Federal Reserve bank director, officer, or CFR 9.18; employees. employee, or any special Government (3) A unit investment trust, means the employee from participating in an assets of the trust are sufficiently varied Paperwork Reduction Act official capacity in particular matters in that it meets the requirements of section The Paperwork Reduction Act (44 which he has a personal financial 851 of the Internal Revenue Code, 26 U.S.C. chapter 35) does not apply interest, or in which certain persons or U.S.C. 851, for a regulated investment because this proposed regulation does organizations with which he is affiliated company; and 47224 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules (4) An employee benefit plan, means (g) Independent trustee means a Investment Company Act of 1940, as that the plan’s trustee has a written trustee who is independent of the amended, (15 U.S.C. 80a–8); or policy of varying plan investments. sponsor and the participants in a plan, (3) A corporate bond registered as an Note: A mutual fund meets the or is a registered investment advisor. offering with the Securities and requirements of Section 5(b)(1) of the (h) Institution of higher education Exchange Commission under section 12 Investment Company Act of 1940 if it is a means an educational institution as of the Securities Exchange Act of 1934 ‘‘diversified company.’’ A unit investment defined in 20 U.S.C. 1141 (a). (15 U.S.C. 781) and issued by an entity trust is diversified in accordance with 26 (i) Issuer means a person who issues whose stock is a publicly traded U.S.C. 851 if it is a ‘‘regulated investment or proposes to issue any security, or has security. company.’’ An employee can determine if a fund or trust meets these standards by any outstanding security which it has Note: National securities exchanges locating a description of the fund as a issued. include the American Stock Exchange and ‘‘diversified company’’ or the trust as a (j) Long-term Federal Government the New York Stock Exchange. Regional ‘‘regulated investment company’’ in the security means a bond or note with a exchanges include the Boston, Cincinnati, prospectus for the fund or trust or by calling maturity of one year or more issued by Intermountain (Salt Lake City), Midwest a broker or the manager of the trust or fund. the United States Treasury pursuant to (Chicago), Pacific (Los Angeles and San A common trust fund maintained by a 31 U.S.C. chapter 31. Francisco), Philadelphia (Philadelphia and national or State bank can be presumed to be Miami), and Spokane stock exchanges. (k) Municipal security means direct diversified in accordance with the standards (q) Sector mutual fund means a for diversification set by the Office of the obligation of, or obligation guaranteed Comptroller of the Currency. An employee as to principal or interest by, a State (or mutual fund that concentrates its benefit plan is diversified if the plan manager any of its political subdivisions, or any investments in an industry, business, has a written policy of varying assets. This municipal corporate instrumentality of single country other than the United policy might be found in materials describing one or more States,) or the District of States, or bonds of a single State within the plan or may be obtained in a written Columbia, Puerto Rico, the Virgin the United States. statement from the plan manager. (r) Security means common stock, It is important to note that a mutual fund, Islands, or any other possession of the United States. preferred stock, corporate bond, unit investment trust, common trust fund, or municipal security, mutual fund, long- employee benefit plan that is diversified for (l) Mutual fund means an entity purposes of this regulation may not which is registered as a management term Federal Government security, and necessarily be an excepted investment fund company under the Investment limited partnership interest. (EIF) for purposes of reporting financial Company Act of 1940, as amended, (15 (s) Short-term Federal Government interests pursuant to 5 CFR 2634.311(c). In U.S.C. 80a–1 et seq.). For purposes of security means a bill with a maturity of some cases, an employee may have to report this rule, the term mutual fund includes less than one year issued by the United the underlying assets of a fund, trust or plan States Treasury pursuant to 31 U.S.C. on his financial disclosure statement even open-end and closed-end mutual funds and registered money market funds. chapter 31. though an exemption set forth in this (t) Special Government employee (m) Particular matter involving regulation would permit the employee to means those executive branch officers or participate in a matter affecting the specific parties includes any judicial or employees specified in 18 U.S.C. 202(a). underlying assets of the fund, trust or plan. other proceeding, application, request A special Government employee is Conversely, there may be situations in which for a ruling or other determination, retained, designated, appointed or no exemption in this regulation is applicable contract, claim, controversy, to the assets of a fund, trust or plan which employed to perform temporary duties investigation, charge, accusation, arrest is properly reported as an EIF on the either on a full-time or intermittent or other particular matter involving a employee’s financial disclosure statement. basis, with or without compensation, for specific party or parties. The term (c) Employee means an officer or a period not to exceed 130 days during typically involves a specific proceeding employee of the executive branch of the any consecutive 365-day period. affecting the legal rights of the parties, United States, or of any independent (u) Unit investment trust means an or an isolatable transaction or related set agency of the United States, a Federal investment company as defined in 15 of transactions between identified Reserve bank director, officer, or U.S.C. 80a–4(2). parties. employee, or an officer or employee of (n) Pension plan means any plan, § 2640.103 Prohibition. the District of Columbia. The term also fund or program maintained by an includes a special Government (a) Statutory prohibition. Unless employee as defined in 18 U.S.C. 202. employer or an employee organization, permitted by 18 U.S.C. 208(b)(1)–(4), an (d) Employee benefit plan means a or both, to provide retirement income to employee is prohibited by 18 U.S.C. plan as defined in section 3(3) of the employees, or which results in deferral 208(a) from participating personally and Employee Retirement Security Act of of income for periods extending to, or substantially in an official capacity in 1974, 29 U.S.C. 1002(3), and that has beyond, termination of employment. any particular matter in which, to his more than one participant. An employee (o) Person means an individual, knowledge, he or any other person benefit plan is any plan, fund or corporation, company, association, firm, specified in the statute has a financial program established or maintained by partnership, society or any other interest, if the particular matter will an employer or an employee organization or institution. have a direct and predictable effect on organization, or both, to provide its (p) Publicly traded security means a that interest. The restrictions of 18 participants medical, disability, death, security as defined in paragraph (r) of U.S.C. 208 are described more fully in unemployment, or vacation benefits, this section and which is: 5 CFR 2635.401 and 2635.402. training programs, day care centers, (1) Registered with the Securities and (1) Particular matter. The term scholarship funds, prepaid legal Exchange Commission pursuant to ‘‘particular matter’’ includes only services, deferred income, or retirement section 12 of the Securities Exchange matters that involve deliberation, income. Act of 1934 (15 U.S.C. 781) and listed decision, or action that is focused upon (e) He, his, and him include she, hers, on a national or regional securities the interests of specific persons, or a and her. exchange or traded through NASDAQ; discrete and identifiable class of (f) Holdings means portfolio of (2) Issued by an investment company persons. The term may include matters investments. registered pursuant to section 8 of the which do not involve formal parties and Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules 47225 may extend to legislation or policy would be particular matters. These would any expected effect of the matter on the making that is narrowly focused on the include, for example, discussions whether to financial interest. An effect may be interests of a discrete and identifiable close a particular oil pumping station or direct even though it does not occur class of persons. It does not, however, pipeline in the area where hostilities are immediately. A particular matter will taking place, or a decision to seize a cover consideration or adoption of particular oil field or oil tanker. not have a direct effect on a financial broad policy options directed to the Example 8: A legislative proposal for broad interest, however, if the chain of interests of a large and diverse group of health care reform is not a particular matter causation is attenuated or is contingent persons. The particular matters covered because it is not focused on the interests of upon the occurrence of events that are by this part include a judicial or other specific persons, or a discrete and speculative or that are independent of, proceeding, application or request for a identifiable class of persons. It is intended to and unrelated to, the matter. A ruling or other determination, contract, affect every person in the United States. particular matter that has an effect on a claim, controversy, charge, accusation However, the implementation, through financial interest only as a consequence regulations, of a section of the health care bill or arrest. limiting the amount that can be charged for of its effects on the general economy Example 1: The Overseas Private prescription drugs is sufficiently focused on does not have a direct effect within the Investment Corporation decides to hire a the interests of pharmaceutical companies meaning of this part. contractor to conduct EEO training for its that it would be a particular matter. (ii) A particular matter will have a ‘‘predictable’’ effect if there is a real, as employees. The award of a contract for (2) Personal and substantial training services is a particular matter. opposed to a speculative, possibility participation. To participate Example 2: The spouse of a high level that the matter will affect the financial ‘‘personally’’ means to participate official of the Internal Revenue Service (IRS) interest. It is not necessary, however, directly. It includes the direct and active requests a meeting on behalf of her client (a that the magnitude of the gain or loss be major U.S. corporation) with IRS officials to supervision of the participation of a known, and the dollar amount of the discuss a provision of IRS regulations subordinate in the matter. To participate gain or loss is immaterial. governing depreciation of equipment. The ‘‘substantially’’ means that the spouse will be paid a fee by the corporation employee’s involvement is of Example 1: An attorney at the Department for arranging and attending the meeting. The significance to the matter. Participation of Justice is working on a case in which consideration of the spouse’s request and the may be substantial even though it is not several large companies are defendants. If the decision to hold the meeting are particular Department wins the case, the defendants matters in which the spouse has a financial determinative of the outcome of a may be required to reimburse the Federal interest. particular matter. However, it requires Government for their failure to adequately Example 3: A regulation published by the more than official responsibility, perform work under several contracts with Department of Agriculture applicable only to knowledge, perfunctory involvement, or the Government. The attorney’s spouse is a companies that operate meat packing plants involvement on an administrative or salaried employee of one of the companies, is a particular matter. peripheral issue. A finding of working in a division that has no Example 4: A change by the Department of substantiality should be based not only involvement in any of the contracts. She does Labor to health and safety regulations on the effort devoted to the matter, but not participate in any bonus or benefit plans applicable to all employers in the United tied to the profitability of the company, nor States is not a particular matter. The change also on the importance of the effort. does she own stock in the company. Because in the regulations is directed to the interests While a series of peripheral there is no evidence that the case will have of a large and diverse group of persons. involvements may be insubstantial, the a direct and predictable effect on whether the Example 5: The allocation of additional single act of approving or participating spouse will retain her job or maintain the resources to the investigation and in a critical step may be substantial. level of her salary, or whether the company prosecution of white collar crime by the Personal and substantial participation will undergo any reorganization that would Department of Justice is not a particular may occur when, for example, an affect her interests, the attorney would not matter. Similarly, deliberations on the employee participates through decision, have a disqualifying financial interest in the general merits of an omnibus bill such as the approval, disapproval, recommendation, matter. However, the attorney must consider, Tax Reform Act of 1986 are not sufficiently under the requirements of part 2635.502 of focused on the interests of specific persons, investigation or the rendering of advice this chapter, whether his impartiality would or a discrete and identifiable group of in a particular matter. be questioned if he continues to work on the persons to constitute participation in a Example 1: An agency’s Office of case. particular matter. Enforcement is investigating the allegedly Example 2: A special Government Example 6: The recommendations of the fraudulent marketing practices of a major employee (SGE) whose principal Council of Economic Advisors to the corporation. One of the agency’s personnel employment is as a researcher at a major President about appropriate policies to specialists is asked to provide information to university is appointed to serve on an maintain economic growth and stability are the Office of Enforcement about the agency’s advisory committee that will evaluate the not particular matters. Discussions about personnel ceiling so that the Office can safety and effectiveness of a new medical economic growth policies are directed to the determine whether new employees can be device to regulate arrhythmic heartbeats. The interests of a large and diverse group of hired to work on the investigation. The device is being developed by Alpha Medical persons. employee personnel specialist owns $10,000 Inc., a company which also has contracted Example 7: The formulation and worth of stock in the corporation that is the with the SGE’s university to assist in implementation of the response of the United target of the investigation. She does not have developing another medical device related to States to the military invasion of a U.S. ally a disqualifying financial interest in the kidney dialysis. There is no evidence that the is not a particular matter. General matter (the investigation and possible advisory committee’s determinations deliberations, decisions and actions subsequent enforcement proceedings) concerning the medical device under review concerning a response are based on a because her involvement is on a peripheral will affect Alpha Medical’s contract with the consideration of the political, military, personnel issue and her participation cannot university to develop the kidney dialysis diplomatic and economic interests of every be considered ‘‘substantial’’ as defined in the device. The SGE may participate in the sector of society and are too diffuse to be statute. committee’s deliberations because those focused on the interests of specific deliberations will not have a direct and individuals or entities. However, at the time (3) Direct and predictable effect. (i) A predictable effect on the financial interests of consideration is given to actions focused on particular matter will have a ‘‘direct’’ the researcher or his employer. specific individuals or entities, or a discrete effect on a financial interest if there is Example 3: The SGE in the preceding and identifiable class of individuals or a close causal link between any decision example is instead asked to serve on an entities, the matters under consideration or action to be taken in the matter and advisory committee that has been convened 47226 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules to conduct a preliminary evaluation of the effect on the State’s ability or willingness to him to act, the employee must disqualify new kidney dialysis device developed by honor its obligation to pay the bonds when himself from particular matters involving the Alpha Medical under contract with the they mature. HUD-subsidized project which his general employee’s university. Alpha’s contract with Example 2: An employee of the Bureau of partners own. the university requires the university to Land Management owns undeveloped land Example 3: The spouse of an employee of undertake additional testing of the device to adjacent to Federal lands in New Mexico. A the Department of Health and Human address issues raised by the committee portion of the Federal land will be leased by Services (HHS) works for a consulting firm during its review. The committee’s actions the Bureau to a mining company for that provides support services to colleges and will have a direct and predictable effect on exploration and development, resulting in an universities on research projects they are the university’s financial interest. increase in the value of the surrounding conducting under grants from HHS. The Example 4: An engineer at the privately owned land, including that owned spouse is a salaried employee who has no Environmental Protection Agency (EPA) was by the employee. The employee has a direct ownership interest in the firm such as formerly employed by Waste Management, financial interest in the lease of the Federal through stockholding, and the award of a Inc., a corporation subject to EPA’s land to the mining company and, therefore, grant to a particular university will have no regulations concerning the disposal of cannot participate in Bureau matters direct and predictable effect on his continued hazardous waste materials. Waste involving the lease unless he obtains an employment or his salary. Because the award Management is a large corporation, with less individual waiver pursuant to 18 U.S.C. of a grant will not affect the spouse’s than 5% of its profits derived from handling 208(b)(1). financial interest, section 208 would not bar hazardous waste materials. The engineer has Example 3: A special Government the HHS employee from participating in the a vested interest in a defined benefit pension employee serving on an advisory committee award of a grant to a university to which the plan sponsored by Waste Management which studying the effectiveness of a new arthritis consulting firm will provide services. guarantees that he will receive payments of drug is a practicing physician with a However, the employee must consider $500 per month beginning at age 62. As an specialty in treating arthritis. The drug being whether her participation in the award of the employee of EPA, the engineer has been studied by the committee would be a low grant would be barred under the impartiality assigned to evaluate Waste Management’s cost alternative to current treatments for provision in the Standards of Ethical compliance with EPA hazardous waste arthritis. If the drug is ultimately approved, Conduct for Employees of the Executive regulations. Because there is no evidence that the physician will be able to prescribe the Branch at 5 CFR 2635.502. the engineer’s monitoring activities will less expensive drug. The physician does not (d) Disqualification. Unless the own stock in, or hold any position, or have affect Waste Management’s ability or employee is authorized to participate in willingness to pay his pension benefits when any business relationship with the company developing the drug. Moreover, there is no the particular matter by virtue of an he is entitled to receive them at age 62, he exemption or waiver described in has no disqualifying financial interest in the indication that the availability of a less Government matter. The EPA’s monitoring expensive treatment for arthritis will increase subpart B or subpart C of this part, or activities will not have a direct and the volume and profitability of the doctor’s the interest has been divested in predictable effect on the employee’s financial private practice. Accordingly, the physician accordance with paragraph (e) of this interest in his Waste Management pension. has no disqualifying financial interest in the section, an employee shall disqualify However, the engineer should consider actions of the advisory committee. himself from participating in a whether, under the standards set forth in 5 (c) Interests of others. The financial particular matter in which, to his CFR 2635.502, a reasonable person would interests of the following persons will knowledge, he or any other person question his impartiality if he acts in a matter serve to disqualify an employee to the specified in the statute has a financial in which Waste Management is a party. same extent as the employee’s own interest, if the particular matter will (b) Disqualifying financial interests. interests: have a direct and predictable effect on For purposes of 18 U.S.C. 208(a) and (1) The employee’s spouse; that interest. Disqualification is this part, the term financial interest (2) The employee’s minor child; accomplished by not participating in the means the potential for gain or loss to (3) The employee’s general partner; particular matter. the employee, or other person specified (4) An organization or entity which (1) Notification. An employee who in section 208, as a result of the employee serves as officer, director, becomes aware of the need to disqualify governmental action on the particular trustee, general partner, or employee; himself from participation in a matter. The disqualifying financial and particular matter to which he has been interest might arise from ownership of (5) A person with whom the employee assigned should notify the person certain financial instruments or is negotiating for, or has an arrangement responsible for his assignment. An investments such as stock, bonds, concerning, prospective employment. employee who is responsible for his mutual funds, or real estate. Example 1: An employee of the Consumer own assignments should take whatever Additionally, a disqualifying financial Product Safety Commission (CPSC) has two steps are necessary to ensure that he interest might derive from a salary, minor children who have inherited shares of does not participate in the matter from indebtedness, job offer, or any similar stock from their grandparents in a company which he is disqualified. Appropriate interest that may be affected by the that manufactures small appliances. Unless oral or written notification of the an exemption is applicable under section matter. 2640.202 of this part or he obtains a waiver employee’s disqualification may be Example 1: An employee of the under 18 U.S.C. 208(b)(1), the employee is made to coworkers by the employee or Department of the Interior owns disqualified from participating in a CPSC a supervisor to ensure that the employee transportation bonds issued by the State of proceeding to require the manufacturer to is not involved in a matter from which Minnesota. The proceeds of the bonds will be remove a defective appliance from the he is disqualified. used to fund improvements to certain State market. (2) Documentation. An employee highways. In her official position, the Example 2: A newly appointed employee need not file a written disqualification employee is evaluating an application from of the Department of Housing and Urban statement unless he is required by part Minnesota for a grant to support a State Development (HUD) is a general partner with 2634 of this chapter to file written wildlife refuge. The employee’s ownership of three former business associates in a evidence of compliance with an ethics the transportation bonds does not create a partnership that owns a travel agency. The disqualifying financial interest in employee knows that his three general agreement with the Office of Minnesota’s application for wildlife funds partners are also partners in another Government Ethics, is asked by an because approval or disapproval of the grant partnership that owns a HUD-subsidized agency ethics official or the person will not in any way affect the current value housing project. Unless he receives a waiver responsible for his assignment to file a of the bonds or have a direct and predictable pursuant to 18 U.S.C. 208(b)(1) permitting written disqualification statement, or is Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules 47227 required to do so by agency (f) Official duties that give rise to children. The trust is managed by a bank as supplemental regulation issued potential conflicts. Where an a common trust fund. The IRS auditor may pursuant to 5 CFR 2635.105. However, employee’s official duties create a assume that the trust’s assets are diversified an employee may elect to create a record substantial likelihood that the employee and may act in IRS matters that would affect the trust’s underlying assets. of his actions by providing written may be assigned to a particular matter Example 4: A nonsupervisory employee of notice to a supervisor or other from which he is disqualified, the the Department of Energy owns shares in a appropriate official. employee should advise his supervisor mutual fund that expressly concentrates its Example 1: The supervisor of an employee or other person responsible for his holdings in the stock of utility companies. of the Department of Education asks the assignments of that potential so that The employee may not rely on the exemption employee to attend a meeting on his behalf conflicting assignments can be avoided, in § 2640.201(a) to act in matters affecting a on developing national standards for science consistent with the agency’s needs. utility company whose stock is part of the education in secondary schools. When the mutual fund’s portfolio because the fund is employee arrives for the meeting, she realizes Subpart BÐExemptions Pursuant to 18 not a diversified fund as defined in one of the participants is the president of U.S.C. 208(b)(2) § 2640.102(b)(1). The employee may, Education Consulting Associates (ECA), a however, seek an individual waiver under 18 firm which has been awarded a contract to § 2640.201 Exemptions for interests in U.S.C. 208(b)(1) permitting him to act. prepare a bulletin describing the mutual funds, common trust funds, unit Moreover, depending upon the value of the Department’s policies on science education investment trusts, and employee benefit employee’s interest in the fund and the type standards. The employee’s spouse has a plans. of particular matter in which he would subcontract with ECA to provide the graphics (a) Diversified mutual funds, common participate, one of the exemptions at and charts that will be used in the bulletin. trust funds, and unit investment trusts. § 2640.202(a)–(c) for interests arising from publicly traded securities may be applicable. Because the employee realizes that the An employee may participate in any meeting will involve matters relating to the particular matter, whether of general (b) Sector mutual funds. An employee production of the bulletin, the employee applicability or involving specific may participate in any particular matter, properly decides that she must disqualify whether of general applicability or herself from participating in the discussions. parties, affecting one or more holdings After withdrawing from the meeting, the of a diversified mutual fund, a involving specific parties, affecting one employee should notify her supervisor about diversified common trust fund, or a or more holdings of a sector mutual the reason for her disqualification. She may diversified unit investment trust, where fund where the affected holding is not elect to put her disqualification statement in the disqualifying financial interest in invested in the sector in which the fund writing, or to simply notify her supervisor the matter arises because of the direct or concentrates, and where the orally. She may also elect to notify beneficial ownership by the employee, disqualifying financial interest in the appropriate coworkers about her need to or any other person specified in section matter arises because of the direct or disqualify herself from this matter. 208(a), of an interest in the trust or fund. beneficial ownership by the employee, or any other person specified in section (e) Divestiture of a disqualifying Example 1: An employee owns shares financial interest. Upon sale or other worth $100,000 in several mutual funds 208, of an interest in the fund. divestiture of the asset or other interest whose portfolios contain stock in a small Example 1: An employee of the Federal that causes his disqualification from computer company. Each mutual fund Reserve owns shares in the mutual fund participation in a particular matter, an prospectus describes the fund as a described in the preceding example. In employee is no longer prohibited from ‘‘diversified management company.’’ The addition to holdings in utility companies, the acting in the particular matter. employee may participate in agency matters mutual fund contains stock in certain (1) Voluntary divestiture. An affecting the computer company. regional banks and bank holding companies Example 2: An employee has owned shares employee who would otherwise be whose financial interests would be affected in five different mutual funds for a number by an investigation in which the Federal disqualified from participation in a of years. Although each of the funds has Reserve employee would participate. The particular matter may voluntarily sell or numerous varied holdings, the employee is employee is not disqualified from otherwise divest himself of the interest not sure whether the funds are actually participating in the investigation because the that causes the disqualification. ‘‘diversified’’ as defined in § 2640.102(b). banks that would be affected are not part of (2) Directed divestiture. An employee After searching his records, the employee the sector in which the fund concentrates. finds prospectuses for three of the funds. One may be required to sell or otherwise (c) Employee benefit plans. An divest himself of the disqualifying of these prospectuses indicates that the mutual fund is a ‘‘diversified company’’ and employee may participate in: financial interest if his continued a second states that the fund is a ‘‘diversified (1) Any particular matter, whether of holding of that interest is prohibited by management company.’’ Neither indicates general applicability or involving statute or by agency supplemental that the fund has a policy of concentrating its specific parties, affecting one or more regulation issued in accordance with investments in a particular sector. Both funds holdings of an employee benefit plan, § 2635.403(a) of this chapter, or if the are ‘‘diversified’’ mutual funds and the where the disqualifying financial agency determines in accordance with employee is not disqualified from acting in interest in the matter arises from matters affecting the underlying holdings of § 2635.403(b) of this chapter that a membership by the employee, or any substantial conflict exists between the the funds. For the remaining three funds, the employee calls the telephone number other person specified in section 208(a), financial interest and the employee’s provided by the fund’s sponsor for investor in: duties or accomplishment of the inquiries. After ascertaining that all three (i) The Thrift Savings Plan for Federal agency’s mission. funds are ‘‘diversified companies’’ and none employees described in 5 U.S.C. 8437; (3) Eligibility for special tax has a policy of concentrating investments in (ii) A pension plan established or treatment. An employee who is directed a particular sector, the employee is free to act maintained by a State government or to divest an interest may be eligible to in matters affecting the funds’ holdings. Once any political subdivision of a State defer the tax consequences of this determination has been made, no further government for its employees; or divestiture under subpart J of part 2634 action is required and the employee may rely on the exemption in § 2640.201(a). (iii) A diversified employee benefit of this chapter. An employee who Example 3: An auditor at the Internal plan, provided: divests before obtaining a certificate of Revenue Service (IRS) is one of the (A) The investments of the plan are divestiture will not be eligible for this beneficiaries of a trust established by her administered by an independent trustee, special tax treatment. father to provide a life income for his and the employee, or other person 47228 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules specified in section 208(a), does not § 2640.202 Exemptions for interests in (2) The aggregate market value of the participate in the selection of the plan’s securities. holdings of the employee, his spouse investments or designate specific plan (a) De minimis exemption for all and minor children in the securities of investments (except for directing that matters. An employee may participate all affected entities (including securities contributions be divided among several in any particular matter involving exempted under paragraph (a) of this different categories of investments, such specific parties, in which the section) does not exceed $25,000. as stocks, bonds or mutual funds, which disqualifying financial interest arises Example 1: An attorney at the Department are available to plan participants); and from the direct or beneficial ownership of Labor is handling litigation brought by (B) The plan is not a profit-sharing or by the employee, his spouse or minor Allied Chemical Corporation challenging a stock bonus plan. children of securities issued by one or provision in the Department’s health and Note: Employee benefit plans that are tax more entities which are parties to the safety regulations that apply to companies deferred under 26 U.S.C. 401(k) are not matter, if: which manufacture certain types of ether. If considered profit-sharing plans for purposes (1) The securities are publicly traded, the plaintiff is successful, all companies of this section. However, for the exemption or are long-term Federal Government subject to this provision in the health and to apply, 401(k) plans must meet the securities or municipal securities; and safety rules will be able to reduce requirements of § 2640.201(c)(1)(iii)(A). (2) The aggregate market value of the expenditures required for complying with the regulations. The attorney does not own any (2) Particular matters of general holdings of the employee, his spouse stock in Allied Chemical Corporation, but applicability, such as rulemaking, and minor children in the securities of does own $15,000 worth of stock in another affecting the State or local government all parties does not exceed $5,000. company not a party to the litigation, but sponsor of a State or local government Example 1: An employee owns 100 shares which is subject to the regulatory provision pension plan described in of publicly traded stock valued at $3,000 in at issue in the litigation. The attorney may § 2640.201(c)(1)(ii) where the only XYZ Corporation. As part of his official continue to handle the litigation. disqualifying financial interest in the duties, the employee is evaluating bids for Example 2: A second attorney at the Department of Labor is asked to assist in matter arises because of participation by performing computer maintenance services at his agency and discovers that XYZ handling the same litigation brought by the employee, or other person specified Corporation is one of the companies that has Allied Chemical Corporation, as described in in section 208(a), in the plan. submitted a bid. The employee is not the preceding example. However, this Example 1: An attorney terminates his required to recuse himself from continuing to attorney owns $4,000 worth of stock in position with a law firm to take a position evaluate the bids. Allied Chemical, as well as $12,000 worth of with the Department of Justice. As a result of Example 2: In the preceding example, the stock in each of two other chemical his employment with the firm, the employee employee and his spouse each own 100 companies which are not parties to the has interests in a 401(k) plan, the assets of shares of stock in XYZ Corporation, resulting litigation, but which are subject to the which are invested primarily in stocks in ownership of $6,000 worth of stock by the regulatory provision at issue and which chosen by an independent financial employee and his spouse. The exemption in would be affected by the outcome of the management firm. He also participates in a § 2640.202(a) would not permit the employee litigation. Unless the attorney obtains an defined contribution pension plan to participate in the evaluation of bids individual waiver pursuant to section maintained by the firm, the assets of which because the aggregate market value of the 208(b)(1), or sells a portion of his stock, he are stocks, bonds, and financial instruments. holdings of the employee, spouse and minor may not participate in matters involving this The plan is managed by an independent children in XYZ Corporation exceeds $5,000. litigation. The aggregate market value of his trustee. Assuming that the manager of the The employee could, however, seek an holdings in affected entities exceeds $25,000. pension plan has a written policy of individual waiver under 18 U.S.C. 208(b)(1) (c) De minimis exemption for matters in order to participate in the evaluation of diversifying plan investments, the employee of general applicability. An employee may act in matters affecting the plan’s bids. holdings. The employee may also participate Example 3: An employee is assigned to may participate in any particular matter in matters affecting the holdings of his 401(k) monitor XYZ Corporation’s performance of a of general applicability not involving plan if the individual financial management contract to provide computer maintenance specific parties, such as rulemaking, in firm that selects the plan’s investments has services at the employee’s agency. At the which the disqualifying financial a written policy of diversifying the plan’s time the employee is first assigned these interest arises from the direct or assets. Employee benefit plans that are tax duties, he owns publicly traded stock in XYZ beneficial ownership by the employee, deferred under 26 U.S.C. 401(k) are not Corporation valued at less than $5,000. his spouse or minor children of considered profit-sharing or stock bonus During the time the contract is being securities issued by one or more entities plans for purposes of this regulation. performed, however, the value of the Example 2: An employee of the employee’s stock increases to $7,500. When affected by the matter, if: Department of Agriculture who is a former the employee knows that the value of his (1) The securities are publicly traded, New York State employee has a vested stock exceeds $5,000, he must disqualify or are long-term Federal Government interest in a pension plan established by the himself from any further participation in securities or municipal securities; and State of New York for its employees. She may matters affecting XYZ Corporation or seek an (2) The aggregate market value of the participate in an agency matter that would individual waiver under 18 U.S.C. 208(b)(1). holdings of the employee, his spouse affect a company whose stock is in the (b) De minimis exemption when issuer and minor children in: pension plan’s portfolio. She also may (i) Any one such entity does not participate in a matter of general is not a party. An employee may participate in any particular matter exceed $25,000; and applicability affecting all States, including (ii) All entities affected by the matter involving specific parties in which the the State of New York, such as the drafting does not exceed $50,000. and promulgation of a rule requiring States disqualifying financial interest arises to expend additional resources implementing from the direct or beneficial ownership Example 1: The Department of Commerce the Food Stamp program. Unless she obtains by the employee, his spouse, or minor is in the process of formulating a regulation an individual waiver under 18 U.S.C. children of securities issued by one or concerning unfair trade practices. The regulation will affect all foreign companies 208(b)(1), she may not participate in a matter more entities that are not parties to the involving the State of New York as a party, that sell automobiles in the United States. An such as an application by the State for matter but that are affected by the employee of the Department who is assisting additional Federal funding for administrative matter, if: in drafting the regulation owns $10,000 support services, if that matter would affect (1) The securities are publicly traded, worth of stock in one Japanese automobile the State’s ability or willingness to honor its or are long-term Federal Government manufacturer, $20,000 worth of stock in a obligation to pay her pension benefits. securities or municipal securities; and German automobile manufacturer, and Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules 47229 $7,500 worth of stock in a Swedish that which arises from routine though the employee’s general partner automobile company. Even though the commercial transactions, is that of (Capital Investment Services) has a financial employee owns $37,500 worth of stock in investor. interest in PBGC’s review of the pension companies that will be affected by the plan, the employee may participate in the regulation, she may participate in drafting Example 1: An employee of the Federal review because his relationship with his the regulation because the value of the Reserve is a director of the National general partner is that of a limited partner in securities she owns does not exceed $25,000 Association to Save Trees (NAST), an a partnership that has at least 100 limited in any one affected company and the total environmental organization that is tax partners. value of stock owned in all affected exempt under section 501(c)(3) of the companies does not exceed $50,000. Internal Revenue Code. The employee knows § 2640.203 Miscellaneous exemptions. Example 2: A health scientist administrator that NAST has an endowment fund that is (a) Hiring decisions. An employee employed in the Public Health Service at the partially (about 10% of the endowment’s may participate in a hiring decision Department of Health and Human Services is value) invested in the publicly traded stock involving an applicant who is currently assigned to serve on a Departmentwide task of Computer Inc. The employee’s position at employed by a corporation that issues force that will recommend changes in how the Federal Reserve involves the publicly traded securities, if the Medicare reimbursements will be made to procurement of computer software, including software marketed by Computer Inc. The disqualifying financial interest arises health care providers. The employee owns from: $10,000 worth of shares in a sector mutual employee may participate in the procurement fund invested primarily in health-related of software from Computer Inc. provided that (1) Ownership by the employee, or companies such as pharmaceuticals, he is not involved in selecting NAST’s any other person specified in section developers of medical instruments and investments, and that NAST has no 208, of publicly traded securities issued devices, managed care health organizations, relationship to Computer Inc. other than as by the corporation; or and acute care hospitals. Because the fund is an investor in the company and routine (2) Participation by the employee, or not a ‘‘diversified mutual fund’’ as defined in purchaser of Computer Inc. software. any other person specified in section § 2640.102(b), the exemption at § 2640.201(a) (f) Exemption for certain interests of 208, in a vested pension plan sponsored is not applicable. However, because the fund general partners. An employee may by the corporation. is a ‘‘publicly traded security’’ as defined in participate in any particular matter, (b) Employees on leave from § 2640.102(q), the exemption for financial whether of general applicability or institutions of higher education. An interests arising from ownership of a de employee on a leave of absence from an minimis amount of securities at § 2640.202(c) involving specific parties, in which the will permit the employee to participate on disqualifying financial interest arises institution of higher education may the task force. from: participate in any particular matter of (1) The ownership of publicly traded general applicability, not involving (d) Exemption for short-term Federal securities, long-term Federal specific parties, affecting the financial Government securities. An employee Government securities, or municipal interests of the institution from which may participate in any particular matter, securities by the employee’s general he is on leave, provided that the matter whether of general applicability or partner, provided: will not have a special or distinct effect involving specific parties, in which the (i) Ownership of the securities is not on that institution other than as part of disqualifying financial interest arises related to the partnership between the a class. from the direct or beneficial ownership employee and his general partner, and by the employee, or any other person Example 1: An employee at the (ii) The value of the securities does Department of Defense (DOD) is on a leave specified in section 208(a), of short-term not exceed $200,000; or of absence from his position as a tenured Federal Government securities. (2) Any interest of the employee’s Professor of Engineering at the University of (e) Exemption for interests of tax- general partner if the employee’s California (UC) at Berkeley. While at DOD, he exempt organizations. An employee relationship to the general partner is as is assigned to assist in developing a may participate in any particular matter, a limited partner in a partnership that regulation which will contain new standards for the oversight of grants given by DOD. whether of general applicability or has at least 100 limited partners. involving specific parties, in which the Even though the University of California at Berkeley is a DOD grantee, and will be disqualifying financial interest arises Example 1: An employee of the Department of Transportation is a general affected by these new monitoring standards, from the ownership of publicly traded partner in a partnership that owns the employee may participate in developing or municipal securities, or long-term commercial property. The employee knows the standards because UC Berkeley will be Federal Government securities by an that one of his partners owns stock in an affected only as part of the class of all DOD organization which is tax exempt aviation company valued at $100,000 grantees. However, if the new standards pursuant to 26 U.S.C. 501(c)(3), and of because the stock has been pledged as would affect the employee’s own financial which the employee is an unpaid collateral for the purchase of the commercial interest, such as by affecting his tenure or his officer, director, or trustee, or an property by the partnership. In the absence salary, the employee could not participate in of an individual waiver under 18 U.S.C. the matter unless he first obtains an employee, if: individual waiver under section 208(b)(1). (1) The matter affects only the 208(b)(1), the employee may not act in a matter affecting the aviation company. Example 2: An employee on leave from a organization’s investments, not the Because the stock has been pledged as university could not participate in the organization directly; collateral, ownership of the securities is development of an agency program of grants (2) The employee plays no role in related to the partnership between the specifically designed to facilitate research in making investment decisions for the employee and his general partner. jet propulsion systems where the employee’s organization, except for participating in Example 2: An employee of the Pension university is one of just two or three the decision to invest in several Benefit Guaranty Corporation (PBGC) has a universities likely to receive a grant under the new program. Even though the grant different categories of investments such limited partnership interest in Ambank Partners, a large partnership with more than announcement is open to all universities, the as stocks, bonds, or mutual funds; employee’s university is among the very few (3) The organization’s holdings in one 500 limited partners. The partnership assets are invested in the securities of various known to have facilities and equipment or more affected issuers represent no financial institutions. Ambank’s general adequate to conduct the research. The matter more than 20% of the organization’s partner is Capital Investment Services, an would have a distinct effect on the institution total investment portfolio; and investment firm whose pension plan for its other than as part of a class. (4) The organization’s only own employees is being examined by the (c) Multi-campus institutions of higher relationship to the issuer, other than PBGC for possible unfunded liabilities. Even education. An employee may participate in 47230 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules any particular matter, whether of general energetically perform the duties of his would be affected by the board’s applicability or involving specific parties, position even though his outstanding recommendations because all SES awards are affecting one campus of a State multi-campus performance would result in a performance derived from the same limited pool of funds. institution of higher education, if the bonus or other similar merit award. However, the employee’s activities on the employee’s only disqualifying financial Example 2: A policy analyst at the Defense board involve only recommendations, and interest is employment in a position with no Intelligence Agency may request promotion not determinations that individually or multi-campus responsibilities at a separate to another grade or salary level. However, the specially affect his own award. Additionally, campus of the same multi-campus analyst may not recommend or approve the 5 U.S.C. 5384(c)(2) requires that a majority of institution. promotion of her general partner to the next the board’s members be career SES Note: Many State institutions and systems grade. employees. of higher education are sufficiently separate Example 3: An engineer employed by the Example 10: In carrying out a from each other that an exemption is not National Science Foundation may request reorganization of the Office of General necessary to permit an employee to that his agency pay the registration fees and Counsel (OGC) of the Federal Trade participate in matters affecting another State appropriate travel expenses required for him Commission, the Deputy General Counsel is educational institution. Whether State to attend a conference sponsored by the asked to determine which of five Senior institutions constitute a State ‘‘system’’ must Engineering Institute of America. However, Executive Service (SES) positions in the OGC be resolved on an individual basis by the the employee may not approve payment of to abolish. Because her own position is one agency employing the exemption. his own travel expenses and registration fees. of the five SES positions being considered for Example 4: A GS–14 attorney at the elimination, the matter is one that would Example 1: A special Government Department of Justice may review and make individually or specially affect her own employee (SGE) member of an advisory comments about the legal sufficiency of a bill salary and benefits and, therefore, the Deputy committee convened by the National Science to raise the pay level of all Federal employees may not decide which position should be Foundation is a full-time professor in the paid under the General Schedule even abolished. School of Engineering at one campus of a though her own pay level, and that of her State university. The SGE may participate in spouse who works at the Department of (e) Commercial discount and formulating the committee’s recommendation Labor, would be raised if the bill were to incentive programs. An employee may to award a grant to a researcher at another become law. participate in any particular matter, campus of the same State university system. Example 5: An employee of the whether of general applicability or Example 2: A member of the Board of Department of Veterans Affairs (VA) may involving specific parties, affecting the Regents at a State university is asked to serve assist in drafting a regulation that will sponsor of a discount, incentive or other on an advisory committee established by the provide expanded hospital benefits for similar benefit program if the only Department of Health and Human Services to veterans, even though he himself is a veteran consider applications for grants for human disqualifying financial interest arises who would be eligible for treatment in a because of the participation of the genome research projects. An application hospital operated by the VA. from another university that is part of the Example 6: An employee of the Office of employee, or any other person specified same State system will be reviewed by the Personnel Management may participate in in section 208, in the program, committee. Unless he receives an individual discussions with various health insurance provided: waiver under section 208 (b)(1) or (b)(3), the providers to formulate the package of benefits (1) The program is open to the general advisory committee member may not that will be available to Federal employees public; and participate in matters affecting the second who participate in the Government’s Federal (2) Participation in the program university that is part of the State system Employees Health Benefits Program, even involves no other financial interest in because as a member of the Board of Regents, though the employee will obtain health the sponsor, such as stockholding. he has duties and responsibilities that affect insurance from one of these providers the entire State educational system. through the program. Example 1: An attorney at the Pension (d) Exemptions for financial interests Example 7: An employee of the Federal Benefit Guaranty Corporation who is a member of a frequent flier program arising from Federal Government Supply Service Division of the General Services Administration (GSA) may sponsored by Alpha Airlines may assist in an employment or from Social Security or action against Alpha for failing to make veterans’ benefits. An employee may participate in GSA’s evaluation of the feasibility of privatizing the entire Federal required payments to its employee pension participate in any particular matter, Supply Service, even though the employee’s fund, even though the agency action will whether of general applicability or own position would be eliminated if the cause Alpha to disband its frequent flier involving specific parties, where the Service were privatized. program. disqualifying financial interest arises Example 8: Absent an individual waiver (f) Mutual insurance companies. An from Federal Government salary or under section 208(b)(1), the employee in the employee may participate in any benefits, or from Social Security or preceding example could not participate in particular matter, whether of general veterans’ benefits, except an employee the implementation of a GSA plan to create applicability or involving specific may not: an employee-owned private corporation which would carry out Federal Supply parties, affecting a mutual insurance (1) Make determinations that company if the only disqualifying individually or specially affect his own Service functions under contract with GSA. Because implementing the plan would result financial interest arises because of the Government salary and benefits, or not only in the elimination of the employee’s employee’s interest or the interest of any Social Security or veterans’ benefits; or Federal position, but also in the creation of other individual specified in section (2) Make determinations, requests, or a new position in the new corporation to 208, as a policyholder, unless the matter recommendations that individually or which the employee would be transferred, would affect the company’s ability to specially relate to, or affect, the the employee would have a disqualifying pay claims required under the terms of Government salary or benefits, or Social financial interest in the matter arising from the policy or to pay the employee the other than Federal salary and benefits, or Security or veterans’ benefits of any cash value of the policy. other person specified in section 208. Social Security or veterans’ benefits. Example 9: A career member of the Senior Example 1: An administrative law judge at Note: This exemption does not permit an Executive Service (SES) at the Internal the Department of Labor receives dividends employee to take any action in violation of Revenue Service (IRS) may serve on a from a mutual insurance company which he any other statutory or regulatory requirement, performance review board that makes takes in the form of reduced premiums on his such as the prohibition on the employment recommendations about the performance life insurance policy. The amount of the of relatives at 5 U.S.C. 3110. awards that will be awarded to other career dividend is based upon the company’s Example 1: An employee of the Office of SES employees at the IRS. The amount of the overall profitability. Nevertheless, he may Management and Budget may vigorously and employee’s own SES performance award preside in a Department hearing involving a Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules 47231 major corporation insured by the same Example 3: An engineer whose principal (1) Employment by the special company even though the insurance employment is with a major Department of Government employee, or any other company will have to pay the corporation’s Defense (DOD) contractor is appointed to person specified in section 208(a), with penalties and other costs if the Department serve on an advisory committee established a hospital or other similar medical prevails in the hearing. by DOD to develop concepts for the next facility whose only interest in the Example 2: An employee of the generation of laser-guided missiles. The Department of Justice is assigned to engineer’s employer, as well as a number of medical product or device is purchase prosecute a case involving the fraudulent other similar companies, has developed of it for use by its patients; or practices of an issuer of junk bonds. While certain missile components for DOD in the (2) The prescription of medical developing the facts pertinent to the case, the past, and has the capability to work on products and devices for patients by the employee learns that the mutual life aspects of the newer missile designs under special Government employee, or any insurance company from which he holds a consideration by the committee. The other person specified in section 208(a). life insurance policy has invested heavily in engineer owns $20,000 worth of stock in his these junk bonds. If the Government employer. Because the exemption for the § 2640.204 Prohibited financial interests. succeeds in its case, the bonds will be employment interests of special Government None of the exemptions set forth in worthless and the corresponding decline in employees serving on advisory committees §§ 2640.201, 2640.202, or 2640.203 the insurance company’s investments will does not extend to financial interests arising apply to any financial interest held or impair the company’s ability to pay claims from the ownership of stock, the engineer acquired by an employee in violation of under the policies it has issued. The may not participate in committee matters a statute or agency supplemental employee may not continue assisting in the affecting his employer unless he receives an prosecution of the case unless he obtains an individual waiver under section 208(b)(1) or regulation issued in accordance with 5 individual waiver pursuant to section (b)(3), or determines that the exemption for CFR 2635.105, or that is otherwise 208(a)(1). interests in securities at § 2640.202(c) prohibited under 5 CFR 2635.403(b). applies. Example 1: The Office of the Comptroller (g) Exemption for employment (h) Directors of Federal Reserve of the Currency (OCC), in a regulation that interests of special Government supplements part 2635 of this chapter, employees serving on advisory Banks. A Director of a Federal Reserve prohibits certain employees from owning committees. A special Government Bank or a branch of a Federal Reserve stock in commercial banks. If an OCC employee serving on an advisory Bank may participate in the following employee purchases stock valued at $2,000 committee within the meaning of the matters, even though they may be in contravention of the regulation, the Federal Advisory Committee Act (5 particular matters in which he, or any exemption at § 2640.202(a) for interests arising from the ownership of no more than U.S.C. app.) may participate in any other person specified in section 208(a), has a disqualifying financial interest: $5,000 worth of publicly traded stock will particular matter of general not apply to the employee’s participation in applicability, not involving specific (1) Establishment of rates to be matters affecting the bank. parties, where the disqualifying charged for all advances and discounts financial interest arises from his non- by Federal Reserve Banks; § 2640.205 Employee responsibility. Federal employment or non-Federal (2) Consideration of monetary policy Prior to taking official action in a prospective employment, provided that matters, regulations, statutes and matter which an employee knows the matter will not have a special or proposed or pending legislation, and would affect his financial interest or the distinct effect on the employee or other matters of broad applicability interest of another person specified in employer other than as part of a class. intended to have uniform application to 18 U.S.C. 208(a), an employee must For purposes of this provision, banks within the Reserve Bank district; determine whether one of the ‘‘disqualifying financial interest’’ arising (3) Approval or ratification of exemptions in §§ 2640.201, 2640.202, or from non-Federal employment does not extensions of credit, advances or 2640.203 would permit his action include the interests of a special discounts to a depository institution notwithstanding the existence of the Government employee arising from the that has not been determined to be in a disqualifying interest. An employee ownership of stock in his employer or hazardous financial condition by the who is unsure whether a waiver is prospective employer. President of the Reserve Bank; or applicable in a particular case, should (4) Approval or ratification of consult an agency ethics official prior to Example 1: A chemist employed by a major pharmaceutical company has been appointed extensions of credit, advances or taking action in a particular matter. discounts to a depository institution to serve on an advisory committee § 2640.206 Existing agency exemptions. established to develop recommendations for that has been determined to be in a new standards for AIDS vaccine trials hazardous financial condition by the An employee who, prior to the involving human subjects. Even though the President of the Reserve Bank, provided effective date of this regulation, acted in chemist’s employer is in the process of that the disqualifying financial interest an official capacity in a particular developing an experimental AIDS vaccine arises from the ownership of stock in, or matter in which he had a financial and therefore will be affected by the new service as an officer, director, trustee, interest, will be deemed to have acted standards, the chemist may participate in general partner or employee, of an entity in accordance with applicable formulating the advisory committee’s regulations if he acted in reliance on an recommendations. The chemist’s employer other than the depository institution, or its parent holding company or exemption issued by his employing will be affected by the new standards only as Government agency pursuant to 18 part of the class of all pharmaceutical subsidiary of such holding company. companies and other research entities that (i) Medical products and devices. A U.S.C. 208(b)(2), as in effect prior to are attempting to develop an AIDS vaccine. special Government employee serving November 30, 1989. Example 2: The National Cancer Institute on an advisory committee within the Subpart CÐIndividual Waivers (NCI) has established an advisory committee meaning of the Federal Advisory to evaluate a university’s performance of an Committee Act (5 U.S.C. app.) may § 2640.301 Waivers issued pursuant to 18 NCI grant to study the efficacy of a newly U.S.C. 208(b)(1). developed breast cancer drug. An employee participate in Federal advisory of the university may not participate in the committee matters concerning the (a) Requirements for issuing an evaluation of the university’s performance approval or classification of medical individual waiver under 18 U.S.C. because it is not a matter of general products or devices if the disqualifying 208(b)(1). Pursuant to 18 U.S.C. applicability. financial interest arises from: 208(b)(1), an agency may determine in 47232 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules an individual case that a disqualifying financial interest. In determining committee established under the financial interest in a particular matter whether a disqualifying financial Federal Advisory Committee Act, or matters is not so substantial as to be interest is sufficiently substantial to be notwithstanding the fact that the deemed likely to affect the integrity of deemed likely to affect the integrity of individual has one or more financial the employee’s services to the the employee’s services to the interests that would be affected by the Government. Upon making that Government, the responsible official activities of the advisory committee. determination, the agency may then may consider the following factors: The agency’s determination must be waive the employee’s disqualification (1) The type of interest that is creating based on a certification that the need for notwithstanding the financial interest, the disqualification (e.g. stock, bonds, the employee’s services outweighs the and permit the employee to participate real estate, other securities, cash potential for a conflict of interest in the particular matter. Waivers issued payment, job offer, or enhancement of a created by the financial interest pursuant to section 208(b)(1) should spouse’s employment); involved. Waivers issued pursuant to 18 comply with the following (2) The identity of the person whose U.S.C. 208(b)(3) should comply with the requirements: financial interest is involved, and if the following requirements: (1) The disqualifying financial interest is not the employee’s, the (1) The advisory committee upon interest, and the nature and relationship of that person to the which the individual is serving, or will circumstances of the particular matter or employee; serve, is an advisory committee within matters, must be fully disclosed to the (3) The dollar value of the the meaning of the Federal Advisory Government official responsible for disqualifying financial interest, if it is Committee Act, 5 U.S.C. app.; appointing the employee to his position known or can be estimated (e.g. the (2) The waiver must be issued in (or other Government official to whom amount of cash payment which may be writing by the Government official authority to issue such a waiver for the gained or lost, the salary of the job responsible for the individual’s employee has been delegated); which will be gained or lost, the appointment (or other Government (2) The waiver must be issued in predictable change in either the market official to which authority to issue such writing by the Government official value of the stock or the actual or waivers has been delegated) after the responsible for appointing the employee potential profit or loss or cost of the official reviews the financial disclosure to his position (or other Government matter to the company issuing the stock, report filed by the individual pursuant official to whom the authority to issue the change in the value of real estate or to the Ethics in Government Act of such a waiver for the employee has been other securities); 1978; delegated); (4) The value of the financial (3) The waiver must include a (3) The waiver should describe the instrument or holding from which the certification that the need for the disqualifying financial interest, the disqualifying financial interest arises individual’s services on the advisory particular matter or matters to which it (e.g. the face value of the stock, bond, committee outweighs the potential for a applies, the employee’s role in the other security or real estate) and its conflict of interest; matter or matters, and any limitations value in relationship to the individual’s (4) The facts upon which the on the employee’s ability to act in such assets. If the disqualifying financial certification is based should be fully matters; interest is that of a general partner or described in the waiver, including the (4) The waiver shall be based on a organization specified in section 208, nature of the financial interest, and the determination that the disqualifying this information must be provided only particular matter or matters to which the financial interest is not so substantial as to the extent that it is known by the waiver applies; to be deemed likely to affect the employee; (5) The waiver should describe any integrity of the employee’s services to (5) The nature and importance of the limitations on the individual’s ability to the Government. Statements concerning employee’s role in the matter, including act in the matter or matters; the employee’s good character are not the extent to which the employee is (6) The waiver must be issued prior to material to, nor a basis for making, such called upon to exercise discretion in the the individual taking any action in the a decision; matter. matter or matters; and (5) The waiver must be issued prior to (6) Other factors which may be taken (7) The waiver may apply to both the employee taking any action in the into consideration include: present and future financial interests of matter or matters; and (i) The sensitivity of the matter; the individual, provided the interests (6) The waiver may apply to both (ii) The need for the employee’s are described with sufficient specificity. present and future financial interests, services in the particular matter; and (b) Agency certification concerning provided the interests are described (iii) Adjustments that may be made in need for individual’s services. In with sufficient specificity. the employee’s duties that would reduce determining whether the need for an Note: The disqualifying financial interest, or eliminate the likelihood that the individual’s services on an advisory the particular matter or matters to which the integrity of the employee’s services committee outweighs the potential for a waiver applies, and the employee’s role in would be questioned by a reasonable conflict of interest created by the such matters do not need to be described person. disqualifying financial interest, the with any particular degree of specificity. For responsible official may consider the example, if a waiver were to apply to all § 2640.302 Waivers issued pursuant to 18 following factors: matters which an employee would undertake U.S.C. 208(b)(3). (1) The type of interest that is creating as part of his official duties, the waiver document would not have to enumerate (a) Requirements for issuing an the disqualification (e.g. stock, bonds, those duties. The information contained in individual waiver under 18 U.S.C. real estate, other securities, cash the waiver, however, should provide a clear 208(b)(3). Pursuant to 18 U.S.C. payment, job offer, or enhancement of a understanding of the nature and identity of 208(b)(3), an agency may determine in spouse’s employment); the disqualifying financial interest, the an individual case that the prohibition (2) The identity of the person whose matters to which the waiver will apply, and of 18 U.S.C. 208(a) should not apply to financial interest is involved, and if the the employee’s role in such matters. a special Government employee serving interest is not the individual’s, the (b) Agency determination concerning on, or an individual being considered relationship of that person to the substantiality of the disqualifying for, appointment to an advisory individual; Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Proposed Rules 47233 (3) The uniqueness of the individual’s to the extent that it is known by the the Ethics in Government Act of 1978, qualifications; employee; and as amended. Those procedures are (4) The difficulty of locating a (7) The extent to which the described in 5 CFR 2634.603. similarly qualified individual without a disqualifying financial interest will be (b) Limitations on availability. In disqualifying financial interest to serve affected individually or particularly by making a waiver issued pursuant to 18 on the committee; the actions of the advisory committee. U.S.C. 208(b)(1) or (b)(3) publicly (5) The dollar value of the § 2640.303 Consultation and notification available, an agency: disqualifying financial interest, if it is regarding waivers. (1) May withhold from public known or can be estimated (e.g. the When practicable, an official is disclosure any information contained in amount of cash payment which may be required to consult formally or the waiver that would be exempt from gained or lost, the salary of the job informally with the Office of disclosure pursuant to 5 U.S.C. 552; which will be gained or lost, the Government Ethics prior to granting a (2) Shall withhold from public predictable change in either the market waiver referred to in §§ 2640.301 and disclosure information in a waiver value of the stock or the actual or 2640.302. A copy of each such waiver issued pursuant to 18 U.S.C. 208(b)(3) potential profit or loss or cost of the is to be forwarded to the Director of the concerning an individual’s financial matter to the company issuing the stock, Office of Government Ethics. interest which is more extensive than the change in the value of real estate or that required to be disclosed by the other securities); § 2640.304 Public availability of agency individual in his financial disclosure waivers. (6) The value of the financial report under the Ethics in Government instrument or holding from which the (a) Availability. Subject to the Act of 1978, as amended; and disqualifying financial interest arises limitations in paragraph (b) of this (3) Shall withhold from public (e.g. the face value of the stock, bond, section, a copy of an agency waiver disclosure information in any waiver other security or real estate) and its issued pursuant to 18 U.S.C. 208(b)(1) or which is otherwise subject to a value in relationship to the individual’s (b)(3) shall generally be made available prohibition on public disclosure under assets. If the disqualifying financial upon request to the public by the law. interest is that of a general partner or issuing agency. Public release of waivers organization specified in section 208, shall be in accordance with the [FR Doc. 95–22174 Filed 9–8–95; 8:45 am] this information must be provided only procedures set forth in section 105 of BILLING CODE 6345±01±U federal register September 11,1995 Monday Solicitation ofApplications;Notice Grants Program;FiscalYear1996; Biotechnology RiskAssessmentResearch Service State Research,EducationandExtension Agricultural ResearchServiceCooperative Agriculture Department of Part III 47235 47236 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices DEPARTMENT OF AGRICULTURE and Drug Administration, and Related development of better risk assessment Agencies Appropriations Act, 1996 methods for field testing genetically Agricultural Research Service; (H.R. 1976), in the case of any modified organisms also will be Cooperative State Research, equipment or product that may be considered. Education and Extension Service authorized to be purchased with the 2. Creation of information systems funds provided under this Program, and computer models to support Biotechnology Risk Assessment entities will be encouraged to use such regulatory agency decision-making in Research Grants Program; Fiscal Year funds to purchase only American-made regards to potential impacts to the 1996; Solicitation of Applications equipment or products. environment over time (e.g., computer models to describe the interaction of Purpose Program Description environmental and organismal factors Applications are invited for Under the Program, USDA will especially for establishment and competitive grant awards under the competitively award research grants to dispersal of the organism). Biotechnology Risk Assessment support science-based biotechnology 3. Risk assessment of the Research Grants Program (the regulation and thus help address environmental fate (e.g. survival, ‘‘Program’’) for fiscal year 1996. The concerns about the effects of reproductive fitness, genetic stability, authority for the Program is contained introducing genetically modified horizontal gene transfer) as correlated in section 1668 of Pub. L. No. 101–624 organisms into the environment and to with effects (e.g., loss of genetic (the Food, Agriculture, Conservation, help regulators develop policies diversity, enhanced competition) of and Trade Act of 1990, 7 U.S.C. 5921). concerning such introduction. Proposals genetically modified fungi, bacteria, The Program is administered by the are invited in the area of biotechnology viruses, plants, arthropods, fish, birds, Cooperative State Research, education risk assessment research as appropriate and mammals introduced into the and Extension Service (CSREES) and the to agricultural plants, animals and environment (i.e., not in a contained Agricultural Research Service (ARS) of microbes. Proposals based upon field laboratory, greenhouse or building); and the U.S. Department of Agriculture. research and whole organism- studies or identification of traits which The purpose of the Program is to population level studies are strongly may influence fate and effects. assist Federal regulatory agencies in encouraged. Although emphasis will be In response to requests to Program making science-based decisions about given to risk assessment research Directors and Federal regulatory the safety of introducing genetically involving genetically modified agencies, as stipulated in the modified plants, animals, and organisms, model systems using authorizing legislation for the Program, microorganisms into the environment. nongenetically modified organisms also section 1668 of Public Law 101–624, the The Program accomplishes this purpose will be considered if they can provide following specific areas of risk by providing scientific information information that could lead to improved assessment research have been derived from the risk assessment assessment of potential risks associated identified as eligible for competition as research conducted under it. Research with the introduction of genetically research topics for this year: proposals submitted to the Program modified organisms into the 4. The bidirectional rates, effects of must be applicable to the purpose of the environment. Proposals should be selection pressures, mechanisms and Program to be considered. Awards will applicable to current regulatory issues impact of gene transfer between not be made for clinical trials, surrounding the ecological impacts of currently genetically transformable crop commercial product development, genetically modified organisms. species and existing North American product marketing strategies, or other weedy, free living relatives of those research not appropriate to risk Proposal Evaluation crops including studies of methods of assessment. Proposals will be evaluated by the mitigation of potential gene exchange. administrator assisted by a peer panel of Research could rely on reanalysis of Applicant Eligibility scientists for scientific merit, published information and/or Proposals may be submitted by any qualifications of project personnel, laboratory/field studies. United States public or private research adequacy of facilities, and relevance for 5. The potential for recombination or educational institution or current regulatory issues. between plant viruses and plant- organization. encoded noncapsid viral genes (e.g. Areas of Research to be Supported in replicase), especially for those viruses in Available Funding Fiscal Year 1996 supergroup B (carmovirus, tombusvirus, Subject to the availability of funds, Proposals addressing the following luteovirus, sobemovirus). Such studies the anticipated amount available for research topics are requested: should identify recombination support of the program in fiscal year 1. Development of new risk potentials and, if demonstrated, define 1996 is $1.7 million. assessment methods (e.g., monitoring frequencies and effect on symptom It is expected that Congress, in the organism escape, measuring biological expression. Comparisons with final version of the Agriculture, Rural impacts), and risk assessment recombination frequencies between Development, Food and Drug procedures (e.g. comparative analysis of naturally occurring viral sequences are Administration, and Related Agencies ecosystems, models to predict risks) that encouraged. Appropriations Act, 1996 (H.R. 1976), could be used in risk assessment of 6. Changes in viral host ranges or the will prohibit CSREES from using the genetically modified fungi, bacteria, types of viral vectors as a result of the funds available for fiscal year 1996 to viruses (including animal vaccines), use of transgenic plants expressing viral pay indirect costs exceeding 14 per plants, arthropods, fish, birds, and genes. centum of the total Federal funds mammals. Applicants should address 7. The potential for nontarget effects provided under each award on the need for, and development of, new of introduced plant-defense compounds competitively-awarded research grants. risk assessment methods in the course expressed in genetically modified plant- In addition, it is expected that, of addressing a specific and defined risk associated microorganisms (e.g., pursuant to the final version of the assessment issue, especially as pertains compounds in phyllosphere or Agriculture, Rural Development, Food to genetically modified organisms. The rhizosphere-inhabiting bacteria) or in Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices 47237 plants (e.g., Bacillus thuringiensis delta- 7 CFR Part 3015—USDA Uniform Program (7 CFR Part 3415), and the endotoxin), especially in regard to Federal Assistance Regulations, Application Kit contains required forms, persistence of the organisms and implementing OMB directives (i.e., certifications, and instructions for material in the environment. Circular Nos. A–110, A–21, and A–122) preparing and submitting grant 8. Identification of genes which can and incorporating provisions of 31 applications. The administrative confer additional pathogenicity to U.S.C. 6301–6308 (formerly, the Federal provisions include guidelines for animal pathogens. Grant and Cooperative Agreement Act of proposal format. 9. Environmental risk analysis of large 1977, Pub. L. No. 95–224), as well as Copies of this solicitation, the scale deployment of genetically general policy requirements applicable administrative provisions, and the engineered organisms; especially to recipients of Departmental financial Application Kit may be obtained by commercial uses of such organisms, assistance; contacting: with special reference to consideration 7 CFR Part 3016—USDA Uniform Proposal Services Branch, Awards that may not be revealed through small Administrative Requirements for Grants Management Division, Cooperative scale evaluations and tests. and Cooperative Agreements to State State Research, Education and All research proposals submitted and Local Governments; Extension Service, U.S. Department of should include a statement describing 7 CFR Part 3017, as amended—USDA Agriculture, Ag Box 2245, the relevance of the proposed project to implementation of Governmentwide Washington, DC 20250–2245, one or more of the research topics Debarment and Suspension Telephone Number: (202) 401–5048 (Nonprocurement) and requested. When appropriate, detailed Application materials may also be Governmentwide Requirements for descriptions of statistical analyses to be requested via Internet by sending a Drug-Free Workplace (Grants); done should be included in the message with your name, mailing 7 CFR Part 3018—USDA proposal. The inclusion of statisticians address (not e-mail) and telephone implementation of New Restrictions on as co-principal investigators or number [email protected] which states Lobbying. Imposes new prohibitions contractors is encouraged. that you wish to receive a copy of the and requirements for disclosure and Note: Individual investigators whose application materials for the Fiscal Year certification related to lobbying on research projects are funded under the 1996 Biotechnology Risk Assessment recipients of Federal contracts, grants, Program will be required to attend, present Research Grants Program. The materials cooperative agreements, and loans; data and provide a manuscript on the results will then be mailed to you (not 7 CFR Part 3051—Audits of of their research at an Annual Conference. e-mailed) as quickly as possible. Attendance costs at such a conference do not Institutions of Higher Education and need to be included in the budgets of Other Nonprofit Institutions; Proposal Format proposed research projects; such costs will be 7 CFR Part 3407—CSREES The format guidelines for full research paid from funds provided under a implementation of the National proposals, found in the administrative cooperative agreement between CSREES and Environmental Policy Act; provisions for the Program at the University of Maryland for an annual risk 29 U.S.C. 794, section 504— assessment symposium Additionally, a final § 3415.4(d), should be followed for the Rehabilitation Act of 1973, and 7 CFR project report on research results will be preparation of proposals under the Part 15B (USDA implementation of the required in a fixed protocol, electronic Program in fiscal year 1996. (Note that statute), prohibiting discrimination format, suitable for distribution by USDA. the Department elects not to solicit based upon physical or mental handicap preproposals nor conference grant Applicable Regulations in federally assisted programs; proposals in fiscal year 1996.) This Program is subject to the 35 U.S.C. 200 et seq.—Bayh-Dole Act, administrative provisions found in 7 controlling allocation of rights to Compliance with the National CFR part 3415 (58 FR 65646, December inventions made by employees of small Environmental Policy Act (NEPA) 15, 1993), which set forth procedures to business firms and domestic nonprofit As outlined in 7 CFR part 3407 and be followed when submitting grant organizations, including universities, in 7 CFR part 520 (the CSREES and ARS proposals, rules governing the Federally assisted programs regulations implementing the National evaluation of proposals, the awarding of (implementing regulations are contained Environmental Policy Act of 1969), grants, and post-award administration of in 37 CFR part 401). environmental data for any proposed such grants. Several other Federal Programmatic Contact project is to be provided to CSREES and statutes and regulations apply to grant ARS so that CSREES and ARS may For additional information on the proposals considered for review or to determine whether any further action is Program, please contact: grants awarded under this Program. needed. The applicant shall review the These include, but are not limited to: Dr. Edward K. Kaleikau, Cooperative following categorical exclusions and 7 CFR Part 1.1—USDA State Research, Education, and determine if the proposed project may implementation of the Freedom of Extension Service, U.S. Department of fall within one of the categories. Information Act; Agriculture, Ag Box 2241, 7 CFR Part 1c—USDA Washington, DC 20250–2241, (1) Department of Agriculture implementation of the Federal Policy for Telephone: (202) 401–1901 Categorical Exclusions (7 CFR 1b.3) the Protection of Human Subjects; or (i) Policy development, planning and 7 CFR Part 3—USDA implementation Dr. Robert M. Faust, Agricultural implementation which are related to of OMB Circular A–129 regarding debt Research Service, U.S. Department of routine activities such as personnel, collection; Agriculture, Room 338, Building 005, organizational changes, or similar 7 CFR Part 15, Subpart A—USDA BARC-West, Beltsville, MD 20705, administrative functions; implementation of Title VI of the Civil Telephone: (301) 504–6918. (ii) Activities which deal solely with Rights Act of 1964; the funding of programs, such as 7 CFR Part 520—ARS implementation How to Obtain Application Materials program budget proposals, of the National Environmental Policy Copies of this solicitation, the disbursements, and transfer or Act; administrative provisions for the reprogramming of funds; 47238 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices (iii) Inventories, research activities, In order for CSREES and ARS to Proposal Services Branch, Awards and studies, such as resource determine whether any further action is Management Division, Cooperative inventories and routine data collection needed with respect to NEPA, pertinent State Research, Education, and when such actions are clearly limited in information regarding the possible Extension Service, U.S. Department of context and intensity; environmental impacts of a particular Agriculture, Ag Box 2245, (iv) Educational and informational project is necessary; therefore, a Washington, DC 20250–2245, programs and activities; separate statement must be included in Telephone: (202) 401–5048 (v) Civil and criminal law the proposal indicating whether the Proposals that are delivered by enforcement and investigative activities; applicant is of the opinion that the Express mail, a courier service, or by (vi) Activities which are advisory and project falls within a categorical hand must be submitted to the following consultative to other agencies and exclusion and the reasons therefor. If it address (note that the zip code differs public and private entities; and is the applicant’s opinion that the (vii) Activities related to trade from that shown above): Proposal project proposed falls within the Services Branch, Awards Management representation and market development categorical exclusions, the specific activities abroad. Division, Cooperative State Research, exclusions must be identified. The Education and Extension Service, U.S. (2) CSREES and ARS Categorical information submitted shall be Department of Agriculture, Room 303, Exclusions (7 CFR 3407.6 and 7 CFR identified as ‘‘NEPA Considerations’’ Aerospace Center, 901 D Street, SW., 520.5) and the narrative statement shall be Washington, DC 20024, Telephone: Based on previous experience, the placed after the coversheet of the (202) 401–5048 proposal. following categories of CSREES and Supplementary Information ARS actions are excluded because they Even though a project may fall within have been found to have limited scope the categorical exclusions, CSREES and The Biotechnology Risk Assessment and intensity and to have no significant ARS may determine that an Research Grants Program is listed in the individual or cumulative impacts on the Environmental Assessment or an Catalog of Federal Domestic Assistance quality of the human environment: Environmental Impact Statement is under No. 10.219. For reasons set forth (i) The following categories of necessary for an activity, if substantial in the final rule-related Notice to 7 CFR research programs or projects of limited controversy on environmental grounds Part 3015, subpart V (48 FR 29115, June size and magnitude or with only short- exists or if other extraordinary 24, 1983), this Program is excluded from term effects on the environment: conditions or circumstances are present the scope of Executive Order No. 12372 (A) Research conducted within any which may cause such activity to have which requires intergovernmental laboratory, greenhouse, or other a significant environmental effect. consultation with State and local contained facility where research officials. Proposal Submission practices and safeguards prevent Under the provisions of the environmental impacts; What to Submit Paperwork Reduction Act of 1980 (44 (B) Surveys, inventories, and similar U.S.C. 3504(h)), the collection of studies that have limited context and An original and 14 copies of a information requirements contained in minimal intensity in terms of changes in proposal must be submitted. Each copy this Notice have been approved under the environment; and of each proposal must be stapled OMB Document No. 0524–0022. (C) Testing outside of the laboratory, securely in the upper lefthand corner (DO NOT BIND). All copies of the Done at Washington, DC, on this 1st day such as in small isolated field plots, of September, 1995. proposal must be submitted in one which involves the routine use of William D. Carlson, familiar chemicals or biological package. Acting Administrator, Cooperative State materials. Where and When to Submit Research, Education, and Extension Service. (ii) Routine renovation, rehabilitation, or revitalization of physical facilities, Proposals must be received by 4:30 Robert J. Reginato, including the acquisition and p.m. eastern standard time on December Acting Administrator, Agricultural Research installation of equipment, where such 11, 1995. Proposals sent by First Class Service. activity is limited in scope and mail must be sent to the following [FR Doc. 95–22464 Filed 9–8–95; 8:45 am] intensity. address: BILLING CODE 3410±22±M federal register September 11,1995 Monday Final Rules Conduct andConformingAmendments; Supplemental StandardsofEthical 39 CFRPart447 5 CFRCh.LX Postal Service Part IV 47239 47240 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations POSTAL SERVICE Postal Service. Therefore, no changes CHAPTER LXÐUNITED STATES POSTAL have been made in the final rule. The SERVICE 5 CFR Chapter LX Postal Service, with OGE’s concurrence, PART 7001ÐSUPPLEMENTAL RIN 3209±AA15 is now publishing as a final rule the STANDARDS OF ETHICAL CONDUCT Supplemental Standards of Ethical FOR EMPLOYEES OF THE UNITED Supplemental Standards of Ethical Conduct for Employees of the United STATES POSTAL SERVICE Conduct for Employees of the United States Postal Service, to be codified at States Postal Service a new part 7001, Title 5 of the Code of Sec. Federal Regulations. 7001.101 General. AGENCY: Postal Service. 7001.102 Restrictions on outside The Executive Branch-wide Standards ACTION: Final rule. employment and business activities. have superseded many provisions of the 7001.103 Statutory prohibition against SUMMARY: The United States Postal Code of Ethical Conduct for Postal interests in contracts to carry mail and Service, with the concurrence of the Employees (Code), 39 CFR part 447. acting as agent for contractors. Office of Government Ethics (OGE), is Certain other provisions of the Code that Authority: 5 U.S.C. 7301; 5 U.S.C. App. issuing a final rule establishing prohibited the holding of specified (Ethics in Government Act of 1978); 39 regulations applicable to employees of financial interests, 39 CFR 447.22(b)(1)– U.S.C. 401; E.O. 12674, 54 FR 15159, 3 CFR, 1989 Comp., p. 215, as modified by E.O. the Postal Service to supplement the (7), and those provisions of 39 CFR Standards of Ethical Conduct for 12731, 55 FR 42547, 3 CFR, 1990 Comp., p. 447.23 that involve compensated 306; 5 CFR 2635.105, 2635.802, and Employees of the Executive Branch outside employment relationships, 2635.803. issued by OGE. The final rule is a remained temporarily in effect pursuant necessary supplement to the Executive to the note following 5 CFR 2635.403(a), § 7001.101 General. Branch-wide Standards because it as extended at 59 FR 4779–4780 and 60 In accordance with 5 CFR 2635.105, addresses ethical issues unique to the FR 6390–6391. The note following 5 the regulations in this part supplement Postal Service. The final rule is effective CFR 2635.403(a) provides that such the Standards of Ethical Conduct for upon publication and establishes prohibitions shall cease to be effective Employees of the Executive Branch regulations which prohibit certain upon the issuance of agency contained in 5 CFR part 2635, as outside activities and require prior applied to employees of the United approval for employees to engage in supplemental regulations. Therefore, the provisions of 39 CFR part 447 States Postal Service (Postal Service). other specified outside employment or Postal Service employees are subject, in activities. concerning prohibited financial interests or compensated outside addition to the standards in 5 CFR part EFFECTIVE DATE: September 11, 1995. 2635 and this part, to the executive employment relationships are now FOR FURTHER INFORMATION CONTACT: branch financial disclosure regulations superseded. In a separate document Mitchell J. Benowitz, Ethics and contained in 5 CFR part 2634, and to published in this issue of the Federal Information Law, Postal Service, (202) any rules of conduct issued separately Register, the Postal Service is amending 268–2967. by the Postal Service, including but not 39 CFR part 447 to repeal the financial SUPPLEMENTARY INFORMATION: On March limited to regulations contained in 39 interest prohibitions and those 27, 1995, the Postal Service, with OGE’s CFR part 447, the Postal Service’s provisions that have been superseded by concurrence, published for comment a Employee and Labor Relations Manual, the Executive Branch-wide Standards. proposed rule to establish supplemental and the Postal Service’s Procurement standards of ethical conduct for Postal List of Subjects in 5 CFR Part 7001 Manual. Service employees (60 FR 15700– § 7001.102 Restrictions on outside 15703). The proposed rule was intended Conflict of interests, Ethical employment and business activities. to supplement the Standards of Ethical standards, Executive branch standards Conduct for Employees of the Executive of conduct, Government employees. (a) Prohibited outside employment and business activities. No Postal Branch published by OGE on August 7, Dated: August 2, 1995. 1992, and effective February 3, 1993 (5 Service employee shall: Mary S. Elcano, CFR part 2635; see also the grace period (1) Engage in outside employment or extensions at 59 FR 4779–4780, Senior Vice President, General Counsel, business activities with or for a person, February 2, 1994, and 60 FR 6390–6391, United States Postal Service. including oneself, engaged in: February 2, 1995). The proposed rule Approved: August 4, 1995. (i) The manufacture of any uniform or was issued pursuant to 5 CFR 2635.105, Stephen D. Potts, other product required by the Postal Service for use by its employees or which authorizes executive branch Director, Office of Government Ethics. agencies to publish agency-specific customers; supplemental regulations that are For the reasons set forth in the (ii) The transportation of mail under necessary to implement their ethics preamble, the United States Postal Postal Service contract to or from the programs. The Postal Service, with Service, with the concurrence of the postal facility at which the employee OGE’s concurrence, determined that the Office of Government Ethics, is works, or to or from a postal facility supplemental regulations contained in amending title 5 of the Code of Federal within the delivery area of a post office the proposed rule were necessary to Regulations by adding a new chapter in which the employee works; implement the Postal Service’s ethics LX, consisting of part 7001, as follows: (iii) Providing consultation, advice, or program successfully, considering the any subcontracting service, with respect unique programs and operations of the to the operations, programs, or Postal Service. procedures of the Postal Service, to any The proposed rule prescribed a 60- person who has a contract with the day comment period and invited Postal Service or who the employee has comments from all interested parties. reason to believe will compete for such No comments have been received by the a contract; or Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations 47241 (iv) The operation of a commercial (3) Standard for approval. The § 7001.103 Statutory prohibition against mail receiving agency registered with approval required by paragraph (b)(1) of interests in contracts to carry mail and the Postal Service, or the delivery this section shall be granted only upon acting as agent for contractors. outside the mails of any type of mailable a determination that the outside Section 440 of title 18, United States matter, except daily newspapers; or employment or business activity will Code, makes it unlawful for any Postal (2) Engage in any sales activity, not involve conduct prohibited by Service employee to become interested including the solicitation of business or statute or federal regulation, including 5 in any contract for carrying the mail, or the receipt of orders, for oneself or any CFR part 2635, which includes, among to act as agent, with or without other person, while on duty or in other provisions, the principle stated at compensation, for any contractor or uniform, or at any postal facility. 5 CFR 2635.101(b)(14) that employees person offering to become a contractor (b) Prior approval for outside shall endeavor to avoid any actions in any business before the Postal employment and business activities—(1) creating the appearance that they are Service. Requirement for approval. A Postal violating the law or the ethical Stanley F. Mires, Service employee shall obtain approval, standards set forth in part 2635. Chief Counsel, Legislative. in accordance with paragraph (b)(2) of (c) Definitions. For purposes of this [FR Doc. 95–22381 Filed 9–8–95; 8:45 am] this section, prior to: section: BILLING CODE 7710±12±P (i) Engaging in outside employment or (1) Outside employment or business business activities with or for any activity means any form of employment 39 CFR Part 447 person with whom the employee has or business, whether or not for official dealings on behalf of the Postal compensation. It includes, but is not Ethical Conduct; Conforming Service; or limited to, the provision of personal Amendments (ii) Engaging in outside employment services as officer, employee, agent, or business activities, with or for a attorney, consultant, contractor, trustee, AGENCY: Postal Service. person, including oneself, whose teacher, or speaker. It also includes, but ACTION: Final rule. interests are: is not limited to, engagement as SUMMARY: The United States Postal (A) Substantially dependent upon, or principal, proprietor, general partner, Service is amending the Code of Ethical potentially affected to a significant holder of a franchise, operator, manager, Conduct for Postal Employees (Code). degree by, postal rates, fees, or or director. It does not include equitable classifications; or Many provisions of the Code have been ownership through the holding of superseded by the Standards of Ethical (B) Substantially dependent upon publicly traded shares of a corporation. providing goods or services to, or for use Conduct for Employees of the Executive (2) A person having interests in connection with, the Postal Service. Branch (Standards) issued by the Office substantially dependent upon, or (2) Submission and contents of of Government Ethics (OGE) and by the potentially affected to a significant request for approval. An employee who Postal Service regulations supplemental degree by, postal rates, fees, or wishes to engage in outside employment to the Standards. Other provisions have classifications includes a person: or business activities for which prior been superseded by OGE regulations approval is required by paragraph (b)(1) (i) Primarily engaged in the business governing the filing and review of of this section shall submit a written of publishing or distributing a public and confidential financial request for approval to the Postal publication mailed at second-class rates disclosure reports. The superseded Service Ethical Conduct Officer or of postage; provisions of the Code are repealed, and appropriate delegate. The request shall (ii) Primarily engaged in the business certain provisions in 39 CFR part 447 be accompanied by a statement from the of sending advertising, promotional, or are amended or revised to conform to employee’s supervisor briefly other material on behalf of other persons new OGE regulations. summarizing the employee’s duties and through the mails; EFFECTIVE DATE: September 11, 1995. stating any workplace concerns raised (iii) Engaged in a business that FOR FURTHER INFORMATION CONTACT: by the employee’s request for approval. depends substantially upon the mails Mitchell J. Benowitz, Ethics and The request for approval shall include: for the solicitation or receipt of orders Information Law, Postal Service, (202) (i) A brief description of the for, or the delivery of, goods or services; 268–2967. employee’s official duties; or SUPPLEMENTARY INFORMATION: (ii) The name of the outside employer, (iv) Who is, or within the past 4 years Background or a statement that the employee will be has been, a party to a proceeding before engaging in employment or business the Postal Rate Commission. On August 7, 1992, the Office of activities on his or her own behalf; Government Ethics (OGE) published (3) A person having interests (iii) The type of employment or new Standards of Ethical Conduct for substantially dependent upon providing business activities in which the outside Employees of the Executive Branch goods or services to or for use in employer, if any, is engaged; (Standards), now codified at 5 CFR part connection with the Postal Service (iv) The type of services to be 2635. See 57 FR 35006–35067, as includes a person: performed by the employee in corrected at 57 FR 48557 and 52583, connection with the outside (i) Providing goods or services under with additional grace-period extensions employment or business activities; contract with the Postal Service that can at 59 FR 4779–4780 and 60 FR 6390– (v) A description of the employee’s be expected to provide revenue 6391. The Standards, which became official dealings, if any, with the outside exceeding $100,000 over the term of the effective February 3, 1993, set uniform employer on behalf of the Postal contract and that provides five percent ethical conduct standards applicable to Service; and or more of the person’s gross income for all executive branch personnel. (vi) Any additional information the person’s current fiscal year; or The Standards superseded most requested by the Ethical Conduct Officer (ii) Substantially engaged in the federal agency regulations promulgated or delegate that is needed to determine business of preparing items for others under subparts A, B, and C of former 5 whether approval should be granted. for mailing through the Postal Service. CFR part 735. On November 30, 1992 47242 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations (57 FR 56433), the Office of Personnel because they concern matters that are specifically the rules contained in 5 CFR Management (OPM) issued a final rule outside the scope of 5 CFR part 2635. part 2635 and Postal Service regulations amending 5 CFR part 735. The final Some provisions are amended to supplemental thereto. rule, effective February 3, 1993, conform to the Ethics Reform Act of Subpart B—Standards of Conduct repealed many provisions that were 1989, and others are amended to contained in subparts A, B, and C of conform to recent changes in the Subpart B contained general former 5 CFR part 735, but retained organizational structure of the Postal standards of conduct, rules concerning certain provisions covering types of Service. prohibited financial interests, rules conduct that are not covered by the concerning outside employment, and II. Revision of the Heading of 39 CFR Standards. other rules of conduct applicable to Part 447 On April 7, 1992, OGE published in Postal Service employees. Most sections the Federal Register (57 FR 11800) an The heading of 39 CFR part 447, of subpart B are repealed because they interim rule amending 5 CFR parts 2633 ‘‘Code of Ethical Conduct for Postal have been superseded by 5 CFR part and 2634. The interim rule implements Employees,’’ is being revised to ‘‘Rules 2635 and the Postal Service regulations provisions of the Ethics Reform Act of of Conduct for Postal Employees.’’ This supplemental thereto, but certain 1989 (Reform Act) and related revision is intended to make clear that sections are retained. In order to legislation pertaining to executive the rules of conduct in 39 CFR part 447, distinguish the rules in subpart B of 39 branch employees, which modified as amended, are not part of the ethical CFR part 447 from the ‘‘standards’’ in 5 public financial disclosure requirements standards contained in 5 CFR part 2635 CFR part 2635, the heading of subpart and amended the availability of and and regulations supplemental thereto. B is revised to ‘‘Employee Conduct.’’ procedures for certification of qualified The following sections of subpart B III. Repeal of Financial Interest are retained: blind and diversified trusts. OGE also Prohibitions published an interim rule, subpart I of (1) Part of paragraph (j) of 39 CFR 5 CFR part 2634, to establish, effective The provisions of the Code that 447.23, which concerned teaching, October 5, 1992, a revised system of prohibited the holding of specified lecturing, and writing. Because the confidential (nonpublic) financial financial interests, 39 CFR 447.22(b)(1) subject of teaching, lecturing, and disclosure reporting for certain midlevel through (b)(7), and those provisions of writing is generally covered in 5 CFR employees of the executive branch, 39 CFR 447.23 that involved part 2635, part of paragraph (j) therefore pursuant to the Reform Act and compensated outside employment is superseded and repealed. Paragraph Executive Order 12674. These interim relationships, have remained (j) also included, however, rules rules superseded Postal Service temporarily in effect pursuant to the concerning the use of information in regulations pertaining to public and note following 5 CFR 2635.403(a), as connection with preparing persons for confidential financial disclosure reports, extended at 59 FR 4779–4780 and 60 FR examinations for appointments within as contained in subpart D of 39 CFR part 6390–6391. The note following 5 CFR the Federal Government. This part of 447. 2635.403(a) provides that such paragraph (j) is similar to the Executive In a separate document published in prohibitions shall cease to be effective Branch-wide rule promulgated by OPM, this issue of the Federal Register, the upon the issuance of agency 5 CFR 735.202. The OPM rule does not, Postal Service, with the concurrence of supplemental regulations. In another however, apply to examinations for OGE, is issuing regulations applicable to document, the Postal Service is now appointment in the Postal Service, and employees of the Postal Service to issuing supplemental regulations. it does not specify that the Postmaster supplement the Standards of Ethical Therefore, the provisions of 39 CFR part General may authorize the use of Conduct for Employees of the Executive 447 concerning prohibited financial nonpublic information when such use is Branch. The supplemental regulations, interests or compensated outside in the public interest. Therefore, part of to be codified at 5 CFR part 7001, employment relationships are now paragraph (j) is retained in amended include restrictions on outside superseded and repealed. The form. (2) Paragraph (k) of 39 CFR 447.23, employment similar to many of those supplemental regulations prohibit which prohibited employees from using that existed under the Code of Ethical certain outside employment, and they sick leave to enable themselves to Conduct for Postal Employees. require prior approval for certain outside employment. The supplemental engage in outside employment. This Discussion regulations do not, however, specify paragraph is retained because it is an I. General financial interests the holding of which internal personnel rule, issued pursuant is prohibited. to authority independent of 5 CFR part The principal purpose of this rule is 2635. to repeal outdated provisions of the IV. Analysis of Subparts (3) Paragraphs (a), (c), (d), (e), and (f) Code of Ethical Conduct for Postal This amendment will affect subparts of 39 CFR 447.25. These paragraphs Employees (Code), 39 CFR part 447, that A through I of 39 CFR part 447 as concerned, respectively, discrimination, have been superseded by OGE follows: conduct prejudicial to the Postal regulations. Many provisions of the Service, use of intoxicating beverages, Subpart A—Basic Purpose and Code have been superseded by the new illegal use of drugs, and gambling. The Applicability Standards of Ethical Conduct for paragraphs are retained because they Employees of the Executive Branch, 5 Subpart A included explanations of cover types of conduct that are not CFR part 2635. In addition, provisions the applicability of 39 CFR part 447 and within the scope of 5 CFR part 2635, of the Code that concern public and general standards of ethical conduct and they are issued pursuant to confidential financial disclosure applicable to Postal Service employees. authority independent of that part. requirements have been superseded by All sections of subpart A have been the interim rule amending 5 CFR parts superseded by 5 CFR part 2635. The Subpart C—Ethical Conduct Advisory 2633 and 2634. Certain provisions of the subpart has been revised to explain that Services and Remedial Action Code are retained, either without change the rules retained in 39 CFR part 447 are Subpart C included procedures by or with conforming amendments, in addition to other rules of conduct, which Postal Service employees may Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations 47243 obtain advice concerning standards of Subpart E—Political Activities Following this amendment, 39 CFR ethical conduct, rules concerning Subpart E contained regulations part 447 will be reorganized as follows: remedial action based on violations of concerning the political activities of PART 447ÐRULES OF CONDUCT FOR ethical standards, and regulations Postal Service employees. The POSTAL EMPLOYEES concerning post-employment regulations are retained because they are Subpart AÐApplicability and Definitions restrictions imposed under 18 U.S.C. issued pursuant to authority 207. independent of 5 CFR part 2635. Section Sec. 447.53 is amended to correct a citation 447.11 Applicability. Sections concerning advisory services 447.12 Definitions. are retained in amended form. Under 5 to regulations issued by OPM. Subpart BÐEmployee Conduct CFR 2635.107, agencies are responsible Subpart F—Participation in Community for providing counseling to their Affairs 447.21 Prohibited conduct. employees with regard to the Subpart F contained regulations Subpart CÐEthical Conduct Advisory application of 5 CFR part 2635 and Services and Post-Employment Activities regulations supplemental thereto. The concerning the holding of state or local office by Postal Service employees. The 447.31 Advisory service. retained sections pertain solely to the 447.32 Post-employment activities. Postal Service’s internal implementation regulations are retained because they are of requirements imposed by OGE issued pursuant to authority Subpart DÐPolitical Activities regulations, and they are amended to independent of 5 CFR part 2635. Section 447.41 General. conform to the OGE regulations and 447.62 is amended to conform to 447.42 Additional prohibited political recent changes in the organizational changes in the organizational structure activities. structure of the Postal Service. of the Postal Service. 447.43 Investigation and enforcement. Sections concerning remedial action Subpart G—Bribery, Undue Influence, Subpart EÐParticipation in Community are superseded and repealed because 5 or Coercion Affairs CFR 2635.106 provides that violations Subpart G contained regulations 447.51 General. of 5 CFR part 2635 or regulations concerning internal procedures for 447.52 Holding of State or local office by supplemental thereto may be cause for reporting instances in which persons Postal Service employees. disciplinary or corrective action. attempt to bribe, unduly influence, or Subpart FÐBribery, Undue Influence, or Nevertheless, as specified in revised coerce Postal Service employees, and Coercion subpart A of 39 CFR part 447, Postal instances involving potential violations 447.61 General. Service employees who violate the rules of federal laws related to the in amended 39 CFR part 447 may be responsibilities of the Postal Service. List of Subjects in 39 CFR Part 447 subject to disciplinary action. The regulations are retained because Conflict of interests, Political The sections that pertained to post- they are issued pursuant to authority activities. independent of 5 CFR part 2635. employment restrictions, 39 CFR 447.33 For the reasons set forth above, 39 and 447.34, are amended to conform to Subpart H—Definitions CFR part 447 is amended as follows: the Ethics Reform Act of 1989. The The sections in subpart H defined Reform Act includes amendments to 18 PART 447ÐRULES OF CONDUCT FOR terms used in 39 CFR part 447. All U.S.C. 207, which became effective on POSTAL EMPLOYEES sections are superseded by 5 CFR part January 1, 1991. Sections 447.33 and 2635 and are repealed. The definitions 447.34 of 39 CFR part 447 were based 1. The authority citation for part 447 of ‘‘Postal Service’’ and ‘‘employee’’ are is revised to read as follows: on former 18 U.S.C. 207, and they moved to subpart A of 39 CFR part 447. Authority: 39 U.S.C. 401. applied only to persons who terminated ‘‘Employee’’ is defined to include a their employment with the Postal special employee as defined by 18 2. The heading of part 447 is revised Service prior to January 1, 1991. Section U.S.C. 202(a). This definition is as set forth above. 447.33, which described the restrictions consistent with the definition of 3. Subpart A, consisting of §§ 447.11 imposed under 18 U.S.C. 207 as in effect ‘‘employee’’ in 5 CFR 2635.102(h). and 447.12, is revised to read as follows: prior to January 1, 1991, is revised to refer to OGE regulations concerning the Subpart I—Statutory Provisions Subpart AÐApplicability and same subject, 5 CFR part 2637. Section The sections in subpart I, which listed Definitions 447.34, which implemented statutes applicable to Postal Service administrative enforcement procedures employees, are repealed. Many of the § 447.11 Applicability. authorized under 18 U.S.C. 207(j) as in listed statutes apply to all federal This part contains rules of conduct for effect prior to January 1, 1991, is employees and are listed in 5 CFR the employees of the Postal Service. repealed. A new section is added to 2635.902. Although statutes that apply Employees are required to comply with notify employees who leave the Postal specifically to Postal Service employees the regulations in this part, and Service after January 1, 1991, that they are not listed in 5 CFR part 2635, the violations of the regulations may be are subject to the restrictions imposed repeal of this subpart does not excuse cause for disciplinary action. The under 18 U.S.C. 207, as amended. employees from complying with any regulations in this part are in addition Subpart D—Reports of Employment and applicable statutes. The sections in this to other rules of conduct provided by Financial Interests subpart are repealed because they are at applicable statutes, regulations, or least in part superseded by 5 CFR part Postal Service handbooks and manuals. Subpart D included regulations 2635, the statutes are listed for For applicable rules of ethical conduct, concerning the filing and review of informational purposes only, and the employees are referred to the Standards confidential and public financial removal of ethical conduct regulations of Ethical Conduct for Employees of the disclosure reports. These regulations are from 39 CFR part 447 renders that part Executive Branch, 5 CFR part 2635, and superseded by the new OGE regulations a less useful location for such Postal Service regulations supplemental in 5 CFR part 2634. information. thereto, 5 CFR part 7001. 47244 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations § 447.12 Definitions. 12. The heading of subpart C is (c) The Ethical Conduct Officer and, The following definitions apply for revised to read as follows: with his or her approval, Associate purposes of this part. Ethical Conduct Officers, may delegate (a) Postal Service. The United States Subpart CÐEthical Conduct Advisory to additional persons or classes of Postal Service as established by 39 Services and Post-Employment persons the authority to make U.S.C. 201. Activities determinations, to give approval, or to (b) Employee. An individual take other action in accordance with the appointed to a position, temporary or 13. Section 447.31 is revised to read as follows: Standards of Ethical Conduct, as is permanent, within the Postal Service, or contemplated by 5 CFR 2635.102(b), hired as an executive under an § 447.31 Advisory service. defining ‘‘agency designee.’’ employment contract, including a (a) The Ethical Conduct Officer is (d) An employee may obtain advice substitute or a special employee as responsible for the administration of the and guidance on questions of conflicts defined by 18 U.S.C. 202(a). The term ethics program of the Postal Service. In of interest from the Ethical Conduct ‘‘employee’’ does not include the the exercise of that responsibility, the Officer or the Associate Ethical Conduct Governors of the Postal Service. Ethical Conduct Officer shall coordinate Officer having appropriate jurisdiction. 4. The heading of subpart B is revised the advisory service provided by this In order to avoid undue interference to read as follows: section, assure that authoritative with established grievance and disciplinary procedures, advisory Subpart BÐEmployee Conduct interpretations of the Standards of Ethical Conduct for Employees of the service under this subpart will not § 447.21 [Removed] Executive Branch (Standards) and normally be available in an instance in 5. Section 447.21 is removed. Supplemental Postal Service which a grievance is pending or Regulations (Supplemental Regulations) disciplinary action has been initiated. § 447.22 [Removed] are available to the Associate Ethical (e) An employee may request any 6. Section 447.22 is removed. Conduct Officers, and render final ruling provided for by the Standards 7. Section 447.23 is redesignated as rulings on behalf of the Postal Service and Supplemental Regulations by § 447.21 and is amended by removing in appeals by employees from rulings submitting a request in writing to the the introductory text and paragraphs (a) under the Standards and Supplemental Senior Counsel, Ethics, or, in the field, through (i). Paragraphs (j) and (k) are Regulations made by an agency to the Chief Field Counsel or Deputy redesignated as §§ 447.21(a) and designee. The Ethical Conduct Officer Chief Field Counsel, General Law. 447.21(b). Newly redesignated § 447.21 shall provide advice and guidance for (f) An employee may appeal to the is amended by revising the heading and the Postmaster General and all Associate Ethical Conduct Officer from a ruling paragraph (a) to read as follows: Ethical Conduct Officers concerning made by an agency designee concerning § 447.21 Prohibited conduct. questions arising under the Standards matters covered by the Standards and and Supplemental Regulations. The Supplemental Regulations within 30 (a) An employee must not engage, days from the date of the ruling. The either on a paid or unpaid basis, in Ethical Conduct Officer may delegate to an Assistant Ethical Conduct Officer appeal must be in writing and must teaching, lecturing, or writing for the contain a full statement of the relevant purpose of the special preparation of a authority to perform any duty or facts. It should be addressed to the person or class of persons for an function vested in him or her by this Ethical Conduct Officer, U.S. Postal examination of the Office of Personnel Section. The General Counsel is the Service, Washington, DC 20260, and a Management or Board of Examiners for Ethical Conduct Officer of the Postal copy thereof should be sent to the the Foreign Service, or for appointment Service and the Designated Agency official whose ruling is being appealed. in the U.S. Postal Service, when these Ethics Official for purposes of the Ethics activities are dependent on information in Government Act, as amended, and § 447.32 [Removed] obtained as a result of his or her implementing regulations of the Office 14. Section 447.32 is removed. employment with the Postal Service, of Government Ethics, including 5 CFR 15. Section 447.33 is redesignated as except when that information has been part 2638. § 447.32 and revised to read as follows: made available to the general public, or (b) The Deputy Postmaster General is will be made available on request, or the Associate Ethical Conduct Officer § 447.32 Post-employment activities. when the Postmaster General gives for the Office of the Postmaster General (a) Restrictions on the post- written authorization that the use of and the Office of the Deputy Postmaster employment activities of persons who nonpublic information is in the public General. The Chief Operating Officer, have been employed by the Postal interest. Senior Vice Presidents, Vice Presidents, Service are imposed by 18 U.S.C. 207. * * * * * and such other persons as the Ethical The Ethics Reform Act of 1989 includes Conduct Officer may designate are amendments to 18 U.S.C. 207, which § 447.24 [Removed] Associate Ethical Conduct Officers for became effective January 1, 1991. 8. Section 447.24 is removed. their respective organizational elements. Employees who terminated their Each Associate Ethical Conduct Officer § 447.25 [Amended] employment prior to January 1, 1991, shall designate a suitable employee to are subject to the restrictions imposed 9. Section 447.25 is amended by coordinate the ethics program within under 18 U.S.C. 207 in effect prior to removing paragraph (b). Paragraph (a) is his or her organization and to act as that date, while all other employees are redesignated as § 447.21(c). Paragraphs liaison with the Ethical Conduct Officer. subject to the restrictions imposed (c) through (f) are redesignated as Each Associate may designate other under 18 U.S.C. 207 as amended. §§ 447.21(d) through 447.21(g). suitable employees to assist or act for (b) The Office of Government Ethics § 447.26 [Removed] him or her and shall ensure that there has issued regulations, contained in 5 10. Section 447.26 is removed. is an adequate number of Qualified CFR part 2637, that implement 18 Ethics Trainers to comply with the U.S.C. 207 as in effect prior to January § 447.27 [Removed] requirements of the annual ethics 1, 1991. Employees who terminated 11. Section 447.27 is removed. training program. their employment with the Postal Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations 47245 Service prior to January 1, 1991, may § 447.43 Investigation and enforcement. will not disrupt the operation of the refer to 5 CFR part 2637 for guidance The Office of the Special Counsel and facility where he or she is employed. concerning applicable post-employment the Merit Systems Protection Board Note: Requests shall be submitted through restrictions, and further guidance may investigate and adjudicate allegations of the postmaster or other installation head to be obtained in accordance with § 447.31 political activity in violation of the the Vice President, Area Operations. If the of this part. regulations of the Office of Personnel employee is elected to and takes such a full- (c) Employees who terminate their Management by Postal Service time office, he or she may either be separated postal employment on or after January employees. For jurisdiction in such a from the Postal Service or granted leave 1, 1991, are subject to 18 U.S.C. 207 as case, see 5 CFR 734.102 and part 1201. without pay. amended. Guidance concerning post- 22. Redesignate subpart F as subpart * * * * * employment restrictions applicable to E as follows: such employees may be obtained in Subpart FÐBribery, Undue Influence, accordance with § 447.31 of this part. Subpart EÐParticipation in or Coercion Community Affairs § 447.34 [Removed] § 447.71 (Subpart G) [Redesignated as 16. Section 447.34 is removed. § 447.61 [Redesignated as § 447.51] § 447.61 (Subpart F)] 23. Section 447.61 is redesignated as § 447.41 [Removed] 25. Redesignate subpart G, consisting § 447.51. of § 447.71, as subpart F, consisting of 17. Section 447.41 is removed. 24. Section 447.62 is redesignated as redesignated § 447.61. § 447.42 [Removed] § 447.52, and paragraph (d)(2) is revised § 447.81 [Removed] 18. Section 447.42 is removed. to read as follows: 19. Redesignate subpart E as subpart § 447.52 Holding of State or local office by 26. Subpart H, consisting of § 447.81, D as follows: Postal Service employees. is removed. Subpart DÐPolitical Activities * * * * * § 447.91 [Removed] (d) * * * §§ 447.51 and 447.52 [Redesignated as (2) The Vice President, Area 27. Subpart I, consisting of § 447.91, §§ 447.41 and 447.42] Operations, determines that the is removed. 20. Sections 447.51 and 447.52 are employee’s postal responsibilities are Stanley F. Mires, redesignated as §§ 447.41 and 447.42. being conducted in a satisfactory Chief Counsel, Legislative. 21. Section 447.53 is redesignated as manner and that the absence of the [FR Doc. 95–22380 Filed 9–8–95; 8:45 am] § 447.43 and revised to read as follows: employee during the campaign period BILLING CODE 7710±12±P federal register September 11,1995 Monday Paint Hazards;Notice Guidance onIdentificationofLead-Based Protection Agency Environmental Part V 47247 47248 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices ENVIRONMENTAL PROTECTION contaminated dust and lead- EPA 747-R-95-001 (March 1995). Copies AGENCY contaminated soil’’ for purposes of Title of this document can be obtained from IV of TSCA and the entire Title X of the the National Lead Information Center [OPPTS±62150; FRL±4969±6] HCDA. The Agency is continuing to Clearinghouse at 1-800-424-LEAD. develop this rule and expects to Guidance on Identification of Lead- IV. Text of the Guidance Based Paint Hazards promulgate final section 403 rules by October of 1997. Agency Guidance on Residential Lead- AGENCY: Environmental Protection Recognizing that the section 403 Based Paint, Lead-Contaminated Dust, Agency (EPA). rulemaking process is technically and Lead-Contaminated Soil ACTION: Notice. complicated and would be protracted, the Agency issued information on lead- July 14, 1994. SUMMARY: Section 403 of Title IV of the based paint hazards on July 14, 1994, in Recently EPA has received an Toxic Substances Control Act (TSCA), response to an increasing number of increasing number of requests for advice requires EPA to promulgate regulations requests for guidance from State and on residential lead-based paint hazards, that ‘‘identify. . .lead-based paint EPA Regional offices, as well as public including hazards from lead- hazards, lead-contaminated dust and health and housing officials. The contaminated dust and soil in and lead-contaminated soil.’’ While EPA is information (the ‘‘Guidance’’) was around homes. These requests have in the process of developing section 403 issued in the form of a memorandum come from State and EPA Regional rules, it has issued information designed from Lynn R. Goldman, Assistant officials, as well as from public health to serve as guidance until the Administrator for Prevention, Pesticides and housing personnel, concerned with promulgation of those rules. This and Toxic Substances, to EPA Regional childhood lead poisoning. While the guidance was originally issued in a July Toxics Program Division Directors. The Agency is in the process of developing 14, 1994 memorandum from Lynn R. Guidance was made available to the a rule to identify these hazards under Goldman, Assistant Administrator for public through various means, section 403 of the Toxic Substances Prevention, Pesticides and Toxic including the National Lead Information Control Act (TSCA), 15 U.S.C. 2683, we Substances, entitled ‘‘Guidance on Center Clearinghouse and EPA’s RCRA/ believe it is appropriate to respond to Residential Lead-Based Paint, Lead- Superfund Hotline. In response to these requests by issuing guidance at Contaminated Dust, and Lead- concerns that additional steps should be this time based upon our best currently Contaminated Soil.’’ Subsequently, taken to ensure that the Guidance is available information. copies of the guidance have been readily available to the general public, EPA believes that it would not be available from the Agency upon request. the Agency is publishing the full text of prudent to issue national regulatory In order to further disseminate the the Guidance in today’s notice. standards under section 403 at this time since a number of relevant research guidance, the Agency is publishing the II. Appropriate Use of the Guidance full text of that document in this notice. activities are currently underway and are scheduled to be completed in the FOR FURTHER INFORMATION CONTACT: For The Agency notes that these near future. It is expected that this technical information, contact David recommendations were designed to research will allow the Agency to Topping, Chemical Management serve solely as guidance for purposes of develop standards that would more Division (7404), Office of Pollution Title IV of TSCA and, as such, do not accurately direct resources toward Prevention and Toxics, Environmental have the effect of regulation. residences that would benefit most from Protection Agency, 401 M St., SW., Additionally, the Guidance reflects risk abatement and control activities. In the Washington, DC 20460, Telephone: management decisions based upon interim, the recommendations in this (202) 260–7737, e-mail: consideration of the information document represent the Agency’s best [email protected]. available to the Agency at the time that it was issued. As more complete judgement given its current state of SUPPLEMENTARY INFORMATION: information becomes available to the knowledge and experience and are Agency, it will be considered in the intended to serve as guidance until the I. Background section 403 rulemaking. Other caveats promulgation of the TSCA section 403 The Housing and Community related to the Agency’s intentions and rule. EPA emphasizes that these Development Act of 1992 (HCDA), Pub. the appropriate use of the Guidance are recommendations are intended solely as L. 102–550, contains 16 titles amending contained in the sections entitled ‘‘Use guidance and, as such, are not intended, and extending a number of laws relating of This Guidance’’ and ‘‘Relationship of nor can they be relied upon, to create to housing and community Soil Levels in This Guidance to the any obligation or right that may be development. Title X of the HCDA titled OSWER Interim Soil Lead Directive’’ in created in the future by rules issued ‘‘The Residential Lead-Based Paint the Guidance text. For example, these under TSCA section 403. Persons to Hazard Reduction Act of 1992’’ contains sections explain that the Guidance does whom this guidance is directed may five subtitles extending and establishing not apply to RCRA Corrective Action decide to follow it or to act at variance programs for reducing exposure to lead, and Superfund sites. with it and may use the guidance in principally in paint. Subtitle B of Title conjunction with analysis of specific III. Updated Citations X amends the Toxic Substances Control site circumstances. The Agency also Act (TSCA), 15 U.S.C. 2601, et. seq., by The Guidance contains a now reserves the right to change this adding Title IV, which requires EPA to outdated reference to draft EPA guidance at any time without public take certain actions to address lead- sampling procedures, referenced as notice. based paint concerns, including ‘‘Residential Sampling for Lead: establishing requirements for training Protocols for Sampling Lead in Dust and Use of This Guidance and accreditation of contractors Soil (EPA, 1994).’’ Since the release of It is the Agency’s intent that this conducting lead paint-related work. the Guidance, these procedures have guidance be used to prioritize primary Section 403 of TSCA requires EPA to become available in the final version, as prevention activities that address promulgate regulations that ‘‘identify . . Residential Sampling for Lead: hazards from lead in and around . lead-based paint hazards, lead- Protocols for Dust and Soil Sampling, residences. EPA expects that these Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices 47249 hazards will be among those that will be outside the scope of TSCA section 403 etc.), it is important that the sources of identified when regulations are issued authority, their potential contribution to lead be considered in proper order under TSCA section 403. The levels and a child’s total lead exposure should also when conducting response activities. conditions described in this guidance be considered when deciding upon For example, if soil is being should be used by decisionmakers (risk community-wide responses to contaminated by deteriorating exterior assessors, risk managers, etc.) to identify environmental lead. lead-based paint, it is preferable to lead-based paint hazards, sources of In addition, the Agency recognizes address the paint first, immediately lead exposure, and the need for control that a number of factors contribute to followed by the soil. If the soil were actions in residential environments risks from lead, including the nature of addressed first, it may become where children may be present. They the lead sources, the amount of recontaminated during work on the should not be regarded as definitive exposure to each source, and others. In paint. In general, exterior paint should statements of the lead hazard associated this guidance, the Agency is using the be addressed prior to soil, while soil with specific environmental lead levels of lead (and, for soil, the expected and interior paint should be addressed measurements, but the Agency believes extent of children’s contact) as a prior to interior dust. This best avoids that the criteria provided herein can surrogate for risk. potential recontamination problems inform and guide decisions on the At low to moderate levels of lead in among the three. Exceptions should be identification of lead-based paint soil and dust, and where paint made when there will be delays in hazards and appropriate responses. deterioration is not extensive nor addressing a source or when levels in Also, any lead-based paint-related substrate failures or moisture problems one medium (such as interior dust) are activities (including lead detection, present, EPA believes that interim clearly hazardous and immediate abatement, clearance, and disposal) controls can be an effective way to actions are needed to protect health. If, should comply with all Federal, State, temporarily reduce exposures.1 Interim in the previous example, the exterior and local regulations. control of lead in dust, soil, or painted paint could not be addressed Additionally, it should not be inferred surfaces must be predicated upon immediately for some reason, it would that the recommendations in this demonstrated ability to maintain and not be appropriate to delay attention to guidance will, in and of themselves, monitor such management strategies, the soil, since the soil could continue to guarantee the elimination of risks to based upon condition of the act as a source of exposure. children from residential lead exposure. environment, expected use and contact, Rather, this guidance is an attempt to and reasonably anticipated changes in Lead-Based Paint identify the general types of condition and/or use. At higher lead Lead-based paint is of concern both as environmental conditions and response levels in soil and dust, and under a source of direct exposure through activities that, given the current state of deteriorated conditions of lead-based ingestion of paint chips, and as a our knowledge, are likely to reduce risks painted surfaces, more rigorous and contributor to lead in interior dust and over various broad ranges of long-term exposure reduction exterior soil. Lead was widely used as environmental lead levels that may be interventions should be taken. Under a major ingredient in most interior and found in the residential environment. certain conditions related to extremely exterior oil-based paints prior to 1950. Finally, this guidance is not to be high soil concentrations or structural Lead compounds continued to be used applied in addressing potential threats damage to painted surfaces, interim as corrosion inhibitors, pigments, and from lead at CERCLA and RCRA controls may not be appropriate for drying agents from the early 1950’s. In Corrective Action sites. Guidance particular areas or components and only 1972, the Consumer Products Safety developed by the Office of Solid Waste complete abatement of the component Commission limited lead content in and Emergency Response is the by an adequately trained professional new residential paint to 0.5% (5,000 appropriate tool for addressing these will ensure adequate protection. ppm) and, in 1978, to 0.06% (600 ppm). types of sites. EPA policymakers do not believe that The Department of Housing and they are in a position to identify these Urban Development (HUD) estimates General levels and conditions as regulatory that three-quarters of pre-1980 housing Although considerable progress has standards at this time. However, the contain some lead-based paint. The been made in the reduction of Agency has developed this guidance occurrence, extent and concentration of environmental lead (e.g., the phase-out based on consideration of estimated lead-based paint increase with the age of of leaded gasoline and lead-soldered health impacts from lead exposure, the the housing. Ninety percent of privately- food cans, more stringent drinking- need to prioritize residences that would owned housing units built before 1940 water standards, etc.), residual lead benefit from abatement, and comparison contain some lead-based paint; 80% of contamination remains ubiquitous in of risk reduction benefits and cost 1940-1959 units; and 62% of 1960-1979 both residential and commercial areas. allocation projected for various control units.2 In this guidance, the Agency’s approach measures. Coatings of residential paint are is to focus on the sources of lead that defined by statute to be lead-based if the are related to the nation’s housing stock. Sequence of Source Control Activities lead content exceeds either 1.0 mg/cm2 While there are numerous pathways for Because of the interrelationship or 0.5% by weight. Lead-based paint lead exposure, eliminating or reducing between lead-based paint, lead- should be either abated or addressed the role of lead-based paint and lead- contaminated dust, and lead- through interim controls if it is found in contaminated soil as direct exposure contaminated soil (e.g., lead in paint can any of the following circumstances: (1) sources (and as contributors to indoor contribute lead to dust and soil, lead in it is deteriorated (in any location); (2) it lead dust) will significantly reduce total soil can contribute lead to interior dust, is present (in any condition) on impact lead exposures from residential sources. or friction surfaces; or (3) it is present Soil and dust at other locations (e.g., 1 ‘‘Interim controls’’ means a set of measures day care centers, public playgrounds, designed to reduce temporarily human exposure or 2 Comprehensible and Workable Plan for the likely exposure to lead-based paint hazards, such as Abatement of Lead-Based Paint in Privately-Owned and other non-residential areas) can also paint repair, specialized cleaning, temporary Housing: A Report to Congress, U.S. Department of be important contributors to a child’s containment and ongoing monitoring of lead-based Housing and Urban Development, Washington, DC, lead exposure. While these areas are paint hazards or potential hazards. December 7, 1990. 47250 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices (in any condition) on surfaces that are addressed in the existing HUD levels are used to confirm the success of accessible for mouthing or chewing by guidelines. abatement and/or interim control activities. children. ‘‘Deteriorated paint’’ means Lead-Contaminated Dust any interior or exterior paint that is Until the standards can be developed peeling, chipping, chalking, or cracking, In many cases, lead-contaminated under section 403, the above-listed or is located on an interior or exterior interior dust can be the most direct clearance levels should be used in surface or fixture that is damaged or source of a child’s lead exposure, acting identifying lead-based paint hazards deteriorated. An ‘‘impact surface’’ is an as a pathway for lead from lead-based and sources of lead exposure, and interior or exterior surface that is subject paint, exterior soil, dust carried home determining the need for control to damage from repeated impacts (e.g., from occupational exposure, etc. This actions. The Agency reiterates that these guidance primarily confronts this source recommendations are based upon lead certain parts of door frames). A ‘‘friction by addressing the residence-related levels that have been demonstrated to be surface’’ is an interior or exterior surface sources of lead in dust--namely, lead- achievable through abatement and that is subject to abrasion or friction based paint and soil. The effect of the interim control activities and they are (e.g., certain window, floor, and stair recommendations for paint and soil is not based upon projected health effects surfaces). A surface is considered to be removal or control of these two sources, associated with specific dust lead levels. accessible for mouthing or chewing by followed by cleanup of the previously As a result of continued Agency children if it protrudes from the contaminated dust. In the context of evaluation of the relationship between surrounding area to the extent that a their lead abatement programs, HUD has interior dust lead levels and health child can chew the surface, and is established ‘‘clearance levels,’’ which effects, these hazard levels may be within three feet of the floor or ground are part of the evaluation of the revised in future guidance.6 Also, when (e.g., window sills, railings, and the thoroughness of abatement and assessing multiple sources of lead, dust edges of stair treads). subsequent cleanup activities. Clearance lead concentration may be a more (Recommendations for sampling of levels are ‘‘technology based’’--that is, appropriate measurement. The utility of painted surfaces are attached.) they indicate what can be achieved after concentration measurements for When it is determined that paint proper abatement or interim control identifying section 403 hazards from abatement and/or interim control actions. Clearance levels are appropriate dust will be further considered in the activities will be performed on housing since the marginal cost of attaining them development of the section 403 components, they should be performed is typically quite low once an rulemaking. Other potential sources of lead that according to practices that will be intervention is underway, and EPA and HUD experience indicates that they can may be present in house dust in described in the 1995 HUD Guidelines addition to lead-based paint and lead- and the regulations to be promulgated be achieved through proper abatement and interim control activities. The contaminated soil include neighborhood under section 402 of TSCA, 15 USC sources, such as demolition of a nearby 2682 (as appropriate for the unit in Agency therefore recommends that the following clearance levels be met after building, sandblasting of a bridge, or question), including clearance testing.3,4 abatement or interim control activities other activities involving structures that The section 402 standards are expected have been performed: may contain lead-based paint. Also, lead to be proposed in several months. may be brought into the home on (Guidance on sampling and analysis of clothing of residents employed in lead- dust for clearance testing is attached.) related occupations, or as the result of Until either the HUD Guidelines are Location Lead loading some hobbies. Additionally, published in final form or the section deteriorated paint which contains some 402 standards are issued, abatement Uncarpeted floors5 100 µg/ft2 (0.93 mg/ lead, but at levels lower than 1.0 mg/ activities should be performed m2) cm2 or 0.5% by weight, could be a µ 2 according to the current HUD guidelines Interior window sills 500 g/ft (4.65 mg/ source. Depending upon the extent to m2) which these sources contribute lead to and interim control activities should be µ 2 Window wells 800 g/ft (7.45 mg/ interior dust, regular cleaning of the conducted according to state and local m2) requirements, since they are not residence may not provide sufficient 5It is anticipated that the 1995 revision to reduction in the level of lead exposure the HUD guidelines will lower the current 3 from dust, and the sources should be ‘‘Abatement’’ means any set of measures µ 2 clearance standard of 200 g/ft for identified and controlled. It is often designed to permanently eliminate lead-based paint uncarpeted floors to 100 µg/ft2. hazards, including the removal of lead-based paint possible to identify these situations and lead-contaminated dust, the permanent Section 403 directs the Agency to through sampling and analysis of the containment or encapsulation of lead-based paint, issue rules that identify lead-based paint the replacement of lead-painted surfaces or fixtures, interior dust. and the removal or permanent covering of lead- hazards, which include lead- Since lead levels measured by wipe contaminated soil. contaminated dust that would result in samples (‘‘dust lead loading’’) are 4 HUD is developing detailed technical guidelines adverse health effects. The levels that dependent upon both the amount of pursuant to section 1017 of Title X of the Housing will be developed in the section 403 collectable dust on a surface and the and Community Development Act of 1992 to rulemaking will indicate to risk describe best practices for all activities related to concentration of lead in that dust, high the evaluation and control of lead-based paint assessors that a lead-based paint hazard values for either of these two factors hazards. While applicable specifically to federally- (for dust) exists. Obviously, the levels assisted housing, the described practices provide will be different in purpose than 6 Principal among the studies expected to provide useful technical guidance for all types of housing clearance levels--the former indicating further information on the relationship between with similar conditions. These Guidelines are now dust lead and children’s blood lead levels is the undergoing clearance and approval within HUD that a hazard is present and the latter recent Rochester Lead-in-Dust study. This HUD- and are available in draft form for review. These indicating that source control and funded study was conducted by the University of Guidelines will supersede HUD’s 1990 ‘‘Interim cleanup have been appropriately Rochester from May to December of 1993 and Guidelines for Hazard Identification and Abatement performed. Accordingly, hazard levels included approximately 200 children whose in Public and Indian Housing,’’ which focused primary source of lead exposure was from house primarily on testing and abatement (and do not are to be used during risk assessment dust. Peer review of this study began in June of address risk assessment or interim controls). and re-evaluation, whereas clearance 1994. Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices 47251 could produce high wipe sample lead interior dust be minimized. Biokinetic Model for Lead in Children results. That is, a large amount of low- Recommended activities to reduce (available from National Technical lead-concentration dust and a small interior dust lead levels and associated Information Service, U.S. Dept. of amount of high-lead-concentration dust exposures include: mopping floors, Commerce, Attn: Sales, Springfield, VA could result in similar wipe sample window ledges, and accessible surfaces 22169 (703/487-4650), as document results. Therefore, while low dust lead with a warm detergent solution; number PB 93-963510). loading values may indicate that sources washing pacifiers and bottles if they fall Soil lead concentrations in the United that contribute to household dust have on the floor; washing toys and stuffed States vary widely, from less than one been sufficiently controlled, high values animals regularly; and ensuring that to tens of thousands of parts per million could result from any of the following children wash their hands before meals, (ppm). This range of concentrations and situations: (1) there are some naps, and bedtime. These activities, as attendant potential exposure levels insufficiently controlled sources that well as the importance of nutrition and indicates that it is appropriate to continue to contribute significant other factors relevant to children’s risk develop a scaled strategy of risk amounts of lead to the dust; (2) from lead exposure, should always be reduction activities, depending upon relatively large amounts of low-lead stressed as part of public education and the concentrations at particular dust are present; or (3) some awareness programs, regardless of the locations and other site-specific factors. combination of these occurs. measured lead concentration in any one The Agency’s recommendations for Dust lead concentration medium. response activities at varying soil lead measurements can provide insight as to concentrations are as follows. which of these conditions is resulting in Lead-Contaminated Soil The Agency is recommending that high wipe sample values, as well as Lead-contaminated exterior bare soil (depending upon use patterns, assist risk assessors in identifying is of concern both as a direct source of populations at risk, and other factors), possible sources. For example, if exposure through inadvertent ingestion when lead concentrations are observed interior paint has been ruled out as a due to children’s normal hand-to-mouth that exceed 400 ppm in bare soil, further source, and dust concentrations activity, and as a contributor to indoor evaluation should be undertaken and approach those of exterior soil, it may dust lead levels (e.g., when tracked into physical exposure-reduction activities, well be the result of soil being tracked a residence from outside). commensurate with the expected degree into the house from outside. Also, if Common sources of lead in residential of risk, are appropriate.8 The Agency paint is in sound condition and soil soil include deteriorating exterior lead- concentrations are low but the interior based paint and historical airborne 8 The selection of 400 ppm in this guidance is dust concentrations are high, it is deposition onto the soil surface as the based upon two decisions. The first is that the level result of point source emissions or should help in reducing the threat that possible that other sources, such as dust environmental lead poses to the public. In this carried home from lead-related work, leaded gasoline. These sources have guidance, EPA estimates that beginning exposure are present. Through a systematic added substantially to the naturally reduction activity at 400 ppm will help ensure that process of elimination, many of the occurring lead in soils, which generally a typical child or group of children exposed to lead range from 5 - 50 parts per million.7 would have an estimated risk of no more than 5% sources of lead in house dust can often of exceeding a blood lead level of 10 µg/dl. This be determined. While a detailed Also, industrial sources such as benchmark may change in the future section 403 discussion on how to perform these smelters, recycling facilities, and mining rulemaking. types of assessments is outside the activities can result in lead The second decision is to use the best available contamination at residential areas. This tool for assessing the relationship between scope of this guidance, these issues will children’s blood lead levels and environmental lead be addressed by certification procedures adds difficulty in relating lead levels in levels. Current research indicates that young and training requirements for parties soil to potential health effects because children are particularly sensitive to the effects of involved in lead-based-paint activities lead from different sources may pose lead and require specific attention in the different levels of potential hazard. One development of lead standards. A level that is (which includes abatement, inspection protective for young children is expected to be and risk assessment) currently being apparent difference is the extent to protective for older population subgroups. In the developed under section 402 of TSCA. which ingested lead originating from same environmental setting, pregnant women To ensure that excessive exposures different sources is taken up into the would be expected to have blood lead levels lower are not being caused by the amount of body--that is, the bioavailability of the than would young children, and this may further lead. Decisionmakers should consider limit fetal exposures. dust in the house, the Agency The Agency has examined both epidemiological recommends that efforts always be made this and any other available information studies and modeling approaches for this purpose. to minimize dust in residences, even when implementing the Both of these will be further evaluated as part of after paint and dust sources have been recommendations contained in this the effort to develop section 403 rulemaking. guidance, particularly where non-paint However, given the need to issue guidance at this addressed through any needed interim time, the Agency is choosing to base the guidance control and/or abatement activities. A sources of lead are involved. That is, if on the Integrated Exposure Uptake Biokinetic key component of these efforts is the the soil is contaminated by lead from (IEUBK) model, which EPA designed to evaluate need to maintain a residence in a other sources, rather than lead-based exposures to children in a residential setting. cleanable state (i.e., in such a condition paint, decisionmakers should In general, the model generates a probability distribution of blood lead levels for a typical child, that it can be effectively cleaned by the investigate the types of lead compounds or group of children, exposed to a particular soil occupant using reasonable cleaning present and their unique characteristics. lead concentration and concurrent lead levels from procedures). For example, water- Agency guidance on consideration of other sources. damaged or worn wood flooring may bioavailability of lead in risk assessment The spread of the distribution reflects the have a rough surface with crevices from can be found in the Guidance Manual observed variability of blood lead levels in several communities. This variability arises from several which dust cannot be readily removed for the Integrated Exposure Uptake sources, including behavioral and cultural factors. through routine wet mopping. Such The identification of lead levels from other surfaces should either be replaced or 7 U.S. Environmental Protection Agency (1989) sources (due to air, water, diet, etc.) is an essential repaired so that they are cleanable. Review of the National Ambient Air Quality part of characterizing the appropriate blood lead Standards for Lead: Exposure Analysis distribution for a specific neighborhood or site. For Likewise, it is important that the Methodology and Validation. U.S. EPA Office of Air the purpose of deriving the 400 ppm value used in residence be effectively and regularly Quality Planning and Standards, RTP, NC. EPA- this guidance, the background lead exposure inputs cleaned and that exposures to any 450/2-89/011. Continued 47252 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices believes that the 400 ppm level serves accessible areas. As an example of Increasingly aggressive exposure- as a reasonable current benchmark for changing the use pattern, thorny shrubs reduction activities are warranted at the purposes of this guidance. can be planted to keep children from higher soil lead levels, with very high Therefore, the Agency recommends that playing around houses that have levels indicating that soil abatement further evaluation and appropriate elevated soil lead concentrations may be necessary. For purposes of exposure-reduction activities be immediately next to the house. Also, prioritizing abatements, the Agency undertaken when soil lead play equipment can be moved from bare recommends soil abatement when lead concentrations exceed 400 ppm at areas soil contaminated areas to encourage levels are found at 5,000 ppm or more expected or intended to be used by children to play elsewhere or, for more in residential bare soil. Appropriate children.9 (Recommendations for soil highly contaminated areas, access can activities at this level of lead sampling and analysis are attached.) be restricted by fencing. As an example concentration may include removal and Further evaluation activities may of the use of barriers to reduce exposure, replacement of the soil, the use of more include blood lead screening of children grass or other groundcover can be permanent covers (e.g., paving), or other and others in the community. established and maintained or the area activities. Of course, state and local When soil lead levels exceed 400 ppm can be covered with mulch or gravel. agencies should consider any other and children are likely to be present, While the effectiveness of many of these factors that affect the actual risks and exposure-reduction responses should interim control actions cannot yet be benefits of abatement when determining focus on interim controls designed to whether abatements may be necessary at change use patterns and create barriers quantified, the Agency believes that they can reduce exposure. However, lower levels, including, for example, between children and contaminated prevalence of elevated blood lead levels soil. This involves taking steps to keep whenever interim controls are used, their condition should be monitored to in children. children away from certain areas and to The Agency is suggesting 5,000 ppm reduce exposure to bare soil in ensure continued effectiveness. For example, the condition of plants, for this higher level because of the need groundcover, etc., that serve as use- to prioritize the types of activities that to the IEUBK model were determined using can often be resource intensive. Factors national averages, where suitable, or typical values. modifying and barrier-type elements considered in the choice of this level Thus, the estimated level of 400 ppm is associated should be visually inspected to ensure with an expected ‘‘typical’’ response to these include the risk reduction that may be that they have become well established exposures, and should not be taken to indicate that achieved by different measures and the and remain effective at preventing a certain level of risk (e.g., exactly 5% of children resources needed to reduce those risks. exceeding 10 µg/dl blood lead) will be observed in exposure in accordance with the Consequently, this level is designed to a specific community (e.g., in a blood lead survey). upcoming HUD Guidelines. Because a child’s exposure to lead involves a indicate where there is a relatively complex array of variables, because there is Within the range of 400 - 5,000 ppm, higher certainty that abatement or other population sampling variability, and because there the degree of risk reduction activity is variability in environmental lead measurements extreme activities would be appropriate and background levels of lead in food and drinking should be commensurate with the from a risk reduction and resource water, results from the model may differ from expected risk posed by the bare soil, prioritization perspective. Based upon results of blood lead screening of children in a considering both the severity of estimates of residential soil lead community. Extensive field evaluation of the model is in progress and the model will be evaluated exposure (as reflected by the soil lead distributions (from HUD, 1990), 5,000 further once these efforts are completed. EPA may concentration) and the likelihood of ppm would target the soil at an base the future section 403 rulemaking on the children’s exposure. At concentrations estimated 1⁄2% of U.S. homes. model once these evaluations have been completed, in the lower segment, emphasis should Because of the likelihood that lead- or on another methodology. 9 400 ppm is also used as the residential soil lead be placed on reducing exposures contaminated soil will have previously screening level for corrective Action under the through interim controls at those areas contributed lead to interior dust, Resource Conservation and Recovery Act (RCRA) expected or intended to be used by specialized cleaning is recommended and cleanups under the Comprehensive children. If the area is not frequented by for the interior of residences to meet Environmental Response, Compensation and Liability Act (CERCLA) in the Office of Solid Waste children, these exposure reduction dust clearance levels after soil and Emergency Response (OSWER) Interim Soil activities may be less rigorous. Where abatement or interim control activities Directive. OSWER’s screening level is not a bare-soil lead levels are found to be have been conducted. ‘‘cleanup standard,’’ nor automatically as ‘‘cleanup 2,000 ppm or more, interim controls The Agency’s recommendations for goal.’’ Rather, it is a level of contamination above which there is enough concern to warrant site- should be implemented even if the area residential lead-contaminated soil are specific study of risks. is not frequented by children. summarized in Table I. Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices 47253 TABLE 1.ÐEPA RECOMMENDATIONS FOR RESPONSE ACTIVITIES FOR RESIDENTIAL LEAD-CONTAMINATED BARE SOIL Bare Soil Lead Concentration Area of Concern (ppm) Recommended Response Activities Areas expected to be used by children, including: residential backyards, 400±5,000 Interim controls to change use patterns and establish daycare and school yards, barriers between children and contaminated soil, in- playgrounds, cluding: public parks, and planting ground cover or shrubbery to reduce exposure other areas where children gather. to bare soil, moving play equipment away from contaminated bare soil, restricting access through posting, fencing, or other ac- tions, and control further contamination of area. Monitor condition of interim controls. Public notice of contaminated common areas by local agency. >5000 Abatement of soil, including: removal and replacement of contaminated soil, and permanent barriers. Public notice of contaminated common areas by local agency. Areas where contact by children is less likely or 2000±5000 Interim controls to change use patterns and establish infrequent barriers between children and contaminated soil, in- cluding: planting ground cover or shrubbery to reduce exposure to bare soil, moving play equipment away from contaminated bare soil, restricting access through posting, fencing, or other ac- tions, and control further contamination of area. Monitor condition of interim controls. Public notice of contaminated common areas by local agency. >5000 Abatement of soil, including: removal and replacement of contaminated soil, and permanent barriers. Public notice of contaminated common areas by local agency. Relationship of Soil Levels in This support statutorily driven requirements including the risk reduction to be Guidance to the OSWER Interim Soil of CERCLA or RCRA. Instead, the achieved by different measures and the Lead Directive guidance is designed to allow screening resources needed to reduce those risks. A variety of Agency programs address of the worst sources of lead- Given the wide applicability of this lead under a number of statutes. Lead in contaminated soil related to the housing guidance, EPA has developed generic soil is addressed under TSCA Title IV stock among the potentially huge standards to deal with the most risky (including TSCA sections 402 and 403), number of sites affected. The top one sites--in particular, those where the the RCRA Corrective Action program, percent of housing sites consists of Agency feels most confident that actual and CERCLA (Superfund), each of about 1,000,000 locations. adverse effects could occur. which differs somewhat in purpose and Because there is such a large number The Agency’s recommendations for in the types of sites to which they apply. of housing sites, the purpose of this evaluating RCRA Corrective Action and Title IV section 403 regulations, which guidance is to recommend a set of CERCLA sites are contained in the have yet to be issued, will identify lead nationwide levels that will screen those OSWER Interim Soil Lead Directive. hazards in paint and residential dust sites at which, EPA expects, The OSWER directive deals with a and soil. RCRA Corrective Action decisionmakers will want to consider much smaller number of sites, at which applies to RCRA hazardous waste sites. various risk reduction activities. The extensive site characterization will have CERCLA applies to sites that have been higher the level and the more likely been performed before cleanup contaminated by releases of CERCLA exposure will occur, the more aggressive decisions are made. RCRA and CERCLA hazardous substances (which include the risk reduction activities undertaken programs, thus, will often have site- lead). should be. The ultimate decision, specific exposure values, which may be While this guidance applies to however, will be made locally by in a relatively narrow range. As a result, housing, which is a significant part of various federal, state and local officials, values chosen for action under the the coverage of TSCA Title IV, it is not or by building owners, operators or RCRA or CERCLA programs may be issued under the legal standards of any occupants. These decisionmakers will different from those selected under this of these statutes, nor is it to be used to need to consider a variety of issues, guidance. Also, once the section 403 47254 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices regulations are promulgated, OSWER paint and soil and the child’s characterize lead levels. But analytical intends to issue a final (to replace the subsequent ingestion of the cost, in the range of $15 per sample, is interim) directive. contaminated house dust. One way to not trivial. Therefore, to keep costs The Section 403 Rulemaking control high house dust lead levels and affordable, the sampling strategy must At present, the Agency’s section 403 dust-lead exposure is to control the limit the number of soil samples rulemaking activities are focused on a sources of lead that contaminate house analyzed. variety of technical issues related to dust, namely lead-contaminated bare When collecting only a limited more accurate assessment of the risks soil and deteriorated lead-based paint. number of samples from a yard, the associated with residential lead-based major source of uncertainty in the Soil Sampling Overview paint, lead-contaminated dust, and lead- results is from collecting samples from contaminated soil. These activities Soil is a major reservoir of lead in our very small areas relative to the total area include continued analysis of models environment. It has been contaminated of interest. Imagine that a single soil and slope studies, including evaluation with lead from many years of airborne sample is collected from an unusually of the range of environmental particulate fallout from automobile high, but small, lead-contaminated area, conditions over which they are exhaust, from industrial sources, and or from a small section of the yard that adequate. Complicating factors include from the extensive use of lead-based recently had lead-free potting soil likely differences in the bioavailability paint on residential housing and other spilled on it. Most of these variations of lead from different sources and the structures. Children who play in bare are out of the control of or unknown to variability in dust lead levels on interior soil may be directly exposed to lead. the person collecting samples. One surfaces. Because the Agency’s work on Soil tracked into the home (e.g., on simple approach to reduce this problem these issues involves ongoing as well as shoes or by wind) contaminates house is to sample from larger areas. previously published research, dust and, thus, may expose children The easiest and most cost-effective additional time will be required before through the dust medium. The purpose way to sample from larger areas is to levels for lead-based paint hazards can of this section is to assist the reader to collect field composite samples. A field be determined with more specificity and develop and implement a soil sampling composite sample consists of individual proposed in the section 403 rulemaking. strategy to determine whether the soil sub-samples collected from two or more As a result of these additional outside of a dwelling poses a significant locations and combined into one sample investigations, the section 403 health hazard to children. for analysis (the composite sample). rulemaking may differ from this Because only areas of bare soil are When only a few samples can be guidance in a number of areas. These considered likely lead hazards, the feasibly analyzed at a residence due to may include the role of dust focus of this guidance is to assess lead time and money constraints, composite concentration (in addition to, or in place levels in areas of bare soil.10 While only sampling offers a more cost-effective of, dust lead loading), the quantitative bare soil needs to be sampled, a approach and provides more accurate or relative degree of blood lead level property owner may wish to have information than collecting a few single reduction that may be targeted, methods additional sites sampled if the ground location samples. to relate environmental lead covering on those sites may be disturbed At least two composite samples per measurements to expected blood lead by such activities as gardening or dwelling or building should be collected levels, and holistic standards rather excavation. where bare soil is present. General than specific levels for each exposure A soil sampling strategy should be sampling locations are as follows: source. designed to: • one from bare soil in the child’s • Identify the location of soil-lead principal play area(s) and Attachments hazards outside of the dwelling. • one from bare soil areas in the front Guidance for Measuring Lead in Soil • Provide recommendations to the or back yard (if present) and/or from the and Paint property owners or other interested foundation drip line. Sampling and Analysis of Dust for parties on the best ways to control Vegetable gardens, pet sleeping areas, Clearance Testing identified hazards. and bare pathways are also potential Guidance for Measuring Lead in Soil • Do the assessment at an affordable sampling sites, depending on the and Paint price to enable most property owners in situation. the United States to have such an Once sampling areas are identified, July 1994 assessment conducted. sub-sampling locations within these Preface Due to the diversity of housing stock areas need to be determined. No more Lead-contaminated house dust is in the U.S., residential soil-lead than 10 sub-samples should be collected considered the most significant source assessments must be done case-by-case. into one composite sample. Without of lead poisoning for the greatest The federal government can provide much gain in representativeness, number of children. All house dust only general guidelines on where to combining more than 10 sub-samples in contains some lead; the amount collect samples. Actual sampling composite samples may add extra costs depends on lead contamination from locations are based on information to laboratory lead analysis. other sources such as deteriorated lead- obtained during a preliminary Determining Collection Locations for based paint and lead-contaminated soil. assessment of the property and on the Each Composite Millions of children live in dwellings professional judgment of the person with high dust-lead levels and routinely collecting the samples. Option A put dust-laden fingers, toys, and other If sample analysis costs were trivial, Sub-sampling locations in bare soil objects into their mouths. Deteriorated then numerous soil samples could be play areas are selected by first sketching lead-based paint and soil also may collected at each residence to fully the area and then drawing a circle just individually contribute significantly to a encompassing the accessible bare area. 10 Title X defines ‘‘Lead contaminated soil’’ as child’s lead exposure if ingested. bare soil on residential property that contains lead A second circle is drawn inside the first However, a more common scenario is at or in excess of the levels determined by the EPA with one-half the radius and three the contamination of house dust by to be hazardous to human health. equally-spaced sampling locations Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices 47255 selected at random on the inner circle. composited individual samples are decision logic for a sample of units is Soil sub-samples are then collected at taken instead of composites, within an more complicated than for single each location. This process may be area expected to have relatively residential units, and should be fully repeated for up to three bare soil play homogeneous lead levels, the arithmetic grasped before a sample is selected. average of the individual samples areas, if present. How to Sample To sample the building foundation or should be compared to the standard. dripline, take four individual sub- However, individual samples above the The recommended method for testing samples. Where possible, given standard might possibly indicate that in a residential unit at this time is the accessibility limitations and the there are inherently large differences in K shell reading from a portable XRF availability of bare soil, each sub-sample lead levels and that more sampling or instrument. Substrate corrections are to should be located at random in a bare some remediation should be considered. be made where necessary. Standard soil area at the dripline on a different reference material paint films developed Sampling and Testing for Lead in Paint by NIST for usage with XRFs are to be side of the house. Composite the four Where to Sample individual foundation/dripline sub- used to demonstrate that XRF samples into one sample for lead For a residential unit, all interior instruments are in control. XRF results analysis. At other sampling locations in rooms, the exterior sides of the unit, and are in units of milligrams per square the yard, samples should be collected the outside property around the unit are centimeter. following the procedures for play areas. to be inspected. The residence should An average of three readings is be divided into room equivalents. Room recommended. Each reading should be Option B equivalents are standard interior rooms, approximately 15 seconds with a new Each composite sample should stairways and hallways which are not source. Appropriate adjustments in consist of bare area soil sub-samples usually regarded as rooms, portions of reading time should be made for source collected from 3 to 10 distinct locations very large rooms, each of the sides of the age. roughly equidistant from each other house, and the outside property. Within Where portable XRF is not feasible along an axis. For samples collected the room equivalents, painted due to a surface being narrow or curved, along the foundation dripline, sub- components are to be identified and where greater accuracy is desired, or samples should be collected at least 2 to grouped by component type, substrate, where comparison to the percent by 6 feet away from each other. At other and visible color. For example, if there weight standard is desired, paint sampling locations, samples should be are four walls in a room, all made of samples can be collected and sent to a collected at roughly equidistant points plaster, and all painted with white laboratory for analysis. The paint along each axis of an ‘‘x’’ shaped grid. paint, these four walls are all grouped samples should be collected from a one together. One wall of the four is to be square inch area. Care should be taken Sampling Equipment and Methods randomly selected to represent the four to collect all the paint in the area, and Samples may be collected using a walls. In similar fashion, the inspection to minimize the inclusion of substrate coring tool to acquire the top 1/2 inch continues in each room equivalent with material. Lead in paint samples (or 1 centimeter) of the soil surface. Soil the identification of unique collected in this way can be reported in coring devices may not be useful in combinations of component, substrate, both milligrams per square centimeter sandy, dry, or friable soil. In these cases, and visible color. A random and percent by weight. If a surface is so a stainless steel scoop or the lip of the representative area of each unique deteriorated that XRF is not feasible and sample container itself may be used. combination is to be sampled and tested a paint sample cannot be collected from If paint chips are in the core sample in each room equivalent. a square inch, then a strip of peeling taken, they should be included as part For each of these designated paint is to be collected. Lead from such of the sample. Paint chips should not be components, an area on the component a sample can only be reported in excluded from the soil sample, since is to be chosen which represents the percent by weight units. they are part of the soil matrix. paint on that component. During the However, there should be no attempt to inspection, components which are How to Analyze Paint Samples oversample paint chips. Following the accessible surfaces, friction surfaces, Paint chip samples should be detailed sampling procedures outlined impact surfaces, or have deteriorated analyzed by a laboratory recognized by in ‘‘Residential Sampling for Lead: paint are to be identified. EPA’s National Lead Laboratory Protocols for Sampling Lead in Dust and Accreditation Program. Paint samples How Many Samples Soil (EPA, 1994),’’ is essential to should be no more than 500 milligrams correctly apply the guidance provided It is expected that between 50 to 200 in weight. If the paint samples received here. components will be identified for by the laboratory are larger than 500 testing at a residential unit. milligrams, the laboratory should Interpreting Results In multifamily housing with more homogenize and subsample the paint Bare soil, if highly contaminated with than 20 units, a random sample of units samples to select a subsample of lead, is thought to be a significant for inspection is allowed. Units and approximately 500 milligrams for the hazard to children who play on it. It buildings that have similar construction, analysis. Results reported by the may also be a significant source of floor plans, and painting history should laboratory must make the appropriate tracked-in or wind-blown lead that be grouped for sampling purposes. adjustment for the subsampling. subsequently contaminates house dust. Samples may be selected for each group. The level of hazard is determined by In multifamily housing with 20 or fewer Conclusions comparing the sampling results to the units, each unit is to be sampled. In For single houses and units, section 403 soil lead guidance. both cases, individual units are to be conclusions are reached as follows. XRF If duplicate composite samples are sampled following the guidance on results are to be corrected for substrate collected from the same bare soil area(s), where to sample described for effects where necessary. Corrected XRF the arithmetic average of the two lead residential units. The number of units in results are divided into three categories: levels should be compared to the the sample should be determined from positive, inconclusive, and negative. Section 403 guidance. If non- Table I, which is attached. However, the Reading averages of 1.6 mg/cm2 or more 47256 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices are classified as positive; reading components of that type. Results from Dust Clearance Testing averages of 0.4 mg/cm2 or less are the sample can be used to determine July 1994 classified as negative. All other reading which component types need abatement averages are classified as inconclusive. or control, which do not, and which Background K-shell XRF results in the positive need further testing in the unsampled Section 403 of the Residential Lead– category indicate lead is present at or units. Based Paint hazard Reduction Act of 2 above 1.0 mg/cm . K-shell XRF results 1992 requires EPA to promulgate in the negative category indicate lead is TABLE 1.ÐNUMBER OF UNITS TO BE regulations which identify lead–based 2 not present at or above 1.0 mg/cm . The TESTED IN MULTIFAMILY DEVELOP- paint hazards, lead–contaminated dust, probability of false positives is currently MENTS and lead–contaminated soil. The estimated to be at least less than 10%, purpose of this document is to and less than 5% in most cases. The No. of units in building summarize clearance testing procedures probability of false negatives is similarly No. of units to be or group of similar tested to identify lead dust hazards that may estimated to be at least less than 10%, buildings remain after lead abatements or and less than 5% in most cases. application of interim controls. Inconclusive results should be 21±26 20 confirmed by laboratory analysis. 27 21 Who Should Sample Inconclusive XRF results on accessible, 28 22 Clearance testing for dust should be impact, friction or deteriorated surfaces 29±30 23 conducted after lead abatements or after should be regarded as positive for lead 31 24 application of interim controls. unless a subsequent laboratory test Clearance testing should be conducted proves otherwise. 32 25 by a party independent of the person or When paint chip laboratory results are 33±34 26 organization that completed the reported in milligrams per square 35 27 abatement or interim controls. centimeter, a result greater than or equal 36 28 to 1.0 is positive for lead. When the When to Sample 37 29 results are in percent by weight, a result Sampling of dust should take place at greater than or equal to 0.5% is positive 38±39 30 least one hour after completion of all for lead. If laboratory results are in both 40±50 31 abatement and interim control work, units, and at least one result is above the 51 32 including clean–up. All interior rooms 2 1.0 mg/cm or 0.5% standard, then the 52±53 33 or areas and exterior areas should be sample is positive for lead. 54 34 visually clean before collecting dust Locations tested by XRF or paint chip samples. If this is not the case, clean the sampling may represent other locations. 55±56 35 rooms and areas before starting dust Refer back to the original inspection to 57±58 36 collection for clearance testing. determine the housing components 59 37 Where to Sample which the samples represent. Findings 60±73 38 of positive, negative, or inconclusive Identify the interior rooms or areas 74±75 39 apply to all the components represented and exterior areas of the residence by a sample. 76±77 40 where abatements or interim controls For multi-family housing of 20 or 78±79 41 were carried out. If there was an interior more units where a sample of units has 80±95 42 containment area, most of the clearance been selected, group the sample results 96±97 43 sampling should be conducted within by component type, such as ‘‘kitchen 98±99 44 the containment area. If there was no walls’’ or ‘‘doors.’’ Each component type interior containment area, all interior group should consist of at least 40 100±117 45 rooms or areas should be sampled. samples to the extent this is practical. 118±119 46 Designate rooms or areas in the interior Classify XRF results as positive, 120±138 47 for sampling. An interior area is a inconclusive, or negative following the 139±157 48 portion of a the residence that is rules above. For any component type 158±177 49 equivalent to a room, even though it is with 20% or more positive results, lead not ordinarily regarded as such. 178±197 50 is present at or above the 1.0 mg/sq on Hallways and stairways are examples of one or more of the components of that 198±218 51 areas in a house. In addition, very large type. If all sample results are negative or 219±258 52 rooms should be divided into areas. all sample results are less than 1.0 mg/ 259±299 53 If on–site paint removal took place in cm2, lead is not present at or 1.0 mg/cm2 300±379 54 the interior, collect one floor sample, on any components of that type. All 380±499 55 one interior window sill sample, and other cases are inconclusive and require one exterior window sill sample from laboratory testing. 500±776 56 each of the interior rooms or areas To do the laboratory testing, take a 777±1004 57 designated for sampling. If no on–site paint sample for all XRF sample results 1005±1022 58 paint removal took place in the interior, that were greater than or equal to 1.0 1023±1039 59 select one floor sample and one window mg/cm2. If any of these results are sample, either an interior or exterior sill, positive, reach the conclusion that lead For buildings or groups of similar in each room or area designated for is present at or above 1.0 mg/cm2 on at buildings with 1,040 units or more, test 5.8 sampling. least one component of the type in percent of the number of units, rounded to If there were any exterior abatements question. If no results are positive, reach the nearest unit. EXAMPLE: If there are 2,170 or interim controls, select one exterior the conclusion that lead is not present units, 5.8 percent is 125.86 units, so 126 window sill and one other horizontal at or above 1.0 mg/cm2 for any units should be tested. surface in a living area or near an Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Notices 47257 entryway for testing, preferably from the How to Sample National Lead Laboratory Accreditation sides or exterior areas of the house Draw or obtain a floor plan of the Program (NLLAP). where abatements or controls were house or unit. Rooms, areas, and Conclusions applied. A porch railing or the top step locations of windows should be clearly of a stairway are examples of horizontal marked on the floor plan. If there were At this time, the standards for surfaces on the exterior. If there was an exterior abatements, identify the clearance are 100 µg/ft2 for floors, 500 interior containment area, collect one window exterior sills and horizontal µg/ft2 for interior window sills, and 800 floor sample outside the containment surfaces closest to the exterior areas that µg/ft2 for exterior window sills and area but within 10 feet of the airlock. were worked on. Using information exterior horizontal surfaces. These How Many Samples about the abatement or interim control numbers are for wipe samples. If a applications, designate interior rooms collection method other than the wipe The total number of samples will and areas and exterior areas for method is used, the user is responsible depend on the number of interior sampling. for providing comparable standards for rooms, the presence of an interior Using the floor plan, go through the clearance. containment area, whether there was residence and make selections of where Samples which are less than the any exterior work, the number of to sample. For floors, divide each room appropriate standard are said to have windows present, and the presence of or area into three segments, randomly passed clearance, and all rooms or areas horizontal surfaces on the exterior. select one of the segments, and then, For example, consider a single family represented by those samples have within the segment, randomly select passed clearance. house with 8 interior rooms and areas. either a position near a wall or a In this case suppose abatement had Samples above or equal to the position near the center. If there is one appropriate standard have failed taken place in 4 of the interior rooms, window in a room or area, that window and on the front and back of the house. clearance, and all rooms or areas should be sampled. If there is more than represented by those samples are said to There was no interior containment area, one sample, randomly select an interior and on–site removal of paint took place have failed. For samples that have window sill and/or an exterior window failed, the components represented by in the interior. All rooms had windows. sill. Note that if there are two or more There would be 26 dust samples for this those samples (floors, interior window windows in a room, the interior and sills, exterior window sills, exterior house, 3 from each of the 8 interior exterior sills may come from different rooms or areas, and 2 from the exterior. horizontal surfaces, or interior areas windows. outside a containment area) must be re– As another example, consider another The basic method for collecting dust cleaned and re–tested. The process house with 8 interior rooms or areas. clearance samples is the wipe method. continues until clearance is obtained for Suppose abatement had taken place in Other dust collection methods may be all components. In addition, if a sample the interior, in 5 rooms, with a used provided the user establishes outside a containment area fails containment separating these 5 rooms comparability to the wipe method. from the rest of the house. Suppose no To collect floor samples, use a clearance, collect additional floor on–site removal of paint had taken template or tape to mark off one square samples outside the containment area, place. There would be 11 interior dust foot within the floor location selected. at a further distance from the airlock, samples, 2 from each of the 5 rooms Use a wipe method to collect dust during the re–testing. where abatements were done, plus one within the template or taped area. Clean Re–evaluation Schedule floor sample within 10 feet of the the template between samples if using a containment area. If there had been any non–disposable template. Take other When lead–based paint is removed exterior work, 2 dust samples would appropriate steps to avoid during abatement, successful clearance have been collected from the exterior. contamination of samples. testing after application is all that is In multi–family housing of more than For sampling interior and exterior recommended. When lead–based paint 20 units, random sampling of units for window sills and exterior horizontal remains at the residence, re–evaluation clearance testing is allowed. Units and surfaces, use tape to mark the specific testing is recommended in addition to buildings that have similar construction section to be sampled. Be sure what is clearance testing. For enclosures, re– and were cleaned in the same manner delineated by the tape can be measured. evaluation testing is recommended 10 should be grouped for sampling After collection of dust, fold the wipe years after treatment. For encapsulation, purposes. Samples may be selected for and place it in a clean glass or plastic re–evaluation testing is recommended 1 each group. The number of units in the container. Label the container so that year after application, and then every 3 sample should be derived from Table I, the sample can be associated with the years afterwards. For interim controls, which is attached. In this case, guidance location from which it was collected. re–evaluation testing is recommended on where to sample for the selected Measure all sampling areas not every 12 months after application. If a units is the same as for an individual delineated by the template, and in all mixture of methods is used in a room or house. However, if any component in cases indicate the sampling area on each area, the most stringent schedule for re– the sample of units fails clearance, that label for each container. evaluation testing is recommended. component, in all the unsampled units, How to Analyze Dust Samples Dated: August 30, 1995. must be re–cleaned, as well as the Lynn R. Goldman, specific components that failed Dust samples are to be analyzed for Assistant Administrator for Prevention, clearance in sampled units. The ‘‘total lead,’’ not ‘‘bioavailable lead.’’ Pesticides and Toxic Substances. significance of this aspect of clearance Samples should be analyzed at a failure should be grasped before laboratory recognized as proficient for [FR Doc. 95–22497 Filed 9–8–95; 8:45 am] selecting a sample of units. lead in dust analysis by the EPA BILLING CODE 6560±50±F federal register September 11,1995 Monday Elimination ofObsoleteParts;FinalRule 24 CFRPart1etal. Office oftheSecretary Development Housing andUrban Department of Part VI 47259 47260 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations DEPARTMENT OF HOUSING AND increase flexibility and reduce burden. 1995: 205, 209, 224, 225, 226, 227, 228, URBAN DEVELOPMENT As a part of HUD’s overall effort to 240, 277, 278. reduce regulatory burden and This rule amends 24 CFR part 200 to Office of the Secretary streamline the content of title 24 of the add a new subpart W, which lists the Code of Federal Regulations, this rule parts associated with expiring programs 24 CFR Subtitle A, and Parts 1, 3, 8, 11, removes those parts (and subdivisions and states that any existing loan 15, 16, 24, 39, 40, 49, 86, 90, 103, 106, of parts) which represent regulations assistance, ongoing participation, or 120, 130, 200, 205, 209, 210, 211, 224, and other materials which are insured loans under these parts will 225, 226, 227, 228, 229, 238, 240, 250, unnecessary or obsolete, as further continue to be governed by the 270, 271, 277, 278, 500, 511, 575, 577, categorized and listed below. Guidance regulations in effect as they existed 578, 579, 580, 595, 596, 598, 599, 600, presently provided in appendices and immediately before October 11, 1995. 811, 900, 907, 965, 967, 1730, 1800, non-regulatory guidance presently 2. The programs associated with the 1895, 2700 codified will be available through other following parts will be directed by non-rulemaking means. [Docket No. FR±3922±F±01] individual contracts or grant To the extent that regulations are RIN 2501±AC00 needed to implement new legislation, agreements, which may be unilaterally they will be issued separately from this amended to incorporate the regulatory Elimination of Obsolete Parts document. Any determination to issue provisions being deleted by this rule: 511 (subpart C, E, and G only), 577, 578, AGENCY: new regulations will be carefully Office of the Secretary. 579, 900, 907. ACTION: Final rule. considered to ensure that it is consistent with the President’s regulatory reform Parts unnecessary because the SUMMARY: This final rule removes from efforts and the principles in Executive functions have been transferred to title 24 of the Code of Federal Order 12866. another agency: 130. Regulations the Department’s The Department has also reviewed its Justification for Final Rule regulations and codified guidance other existing regulations, and those which are unnecessary or obsolete. regulations will be amended as In accordance with 24 CFR part 10, it Following a review of existing HUD appropriate to eliminate or revise is the practice of the Department to offer regulations in accordance with the outdated provisions, reduce burden, and interested parties the opportunity to President’s regulatory reinvention increase flexibility. The Department is comment on proposed regulations. initiative, the Department has seeking appropriate statutory changes if However, these regulations merely determined that the regulatory parts and legislative authority is required in order remove unnecessary or obsolete other codified materials identified in to achieve regulatory reform. regulatory provisions. Removal of these this rule are unnecessary to be retained Parts (and subdivisions of parts) regulations does not establish or affect in the Code of Federal Regulations obsolete because the programs have substantive policy. Therefore, the because the parts address obsolete been repealed, are no longer funded, or Department has determined that public programs that have been repealed, are by new legislation have been comment is unnecessary and contrary to no longer funded, or by new legislation consolidated into other programs: 49, the public interest. 90, Appendix D to Subtitle A, 103 have been consolidated into other Other Matters programs; no regulatory requirements (Appendix only), 120, 200 (subparts L are included in the parts and therefore and N only), 210, 211, 229, 238, 250, Environmental Finding the provisions of these parts need not be 270, 271, 500, 575, 580, 595, 596, 598, 599, 600, 811 (subpart B only), 965 A Finding of No Significant Impact codified or can be provided through with respect to the environment has other non-rulemaking means; e.g., (subpart F only), 1730, 1800, 1895, 2700. been made in accordance with HUD notices or handbooks; the parts cover regulations at 24 CFR part 50, which expiring programs, that is, there are only Parts and other guidance unnecessary because no regulatory requirements are implement section 102(2)(C) of the a few outstanding mortgages or National Environmental Policy Act of contracts, which will either continue to included and the provisions need not be codified or can be provided through 1969. The Finding of No Significant be administered under the regulations Impact is available for public inspection that existed immediately before October other non-rulemaking means; e.g., notices or handbooks: 1 (Appendix A between 7:30 a.m. and 5:30 p.m. 11, 1995 or be directed under individual weekdays in the Office of the Rules contracts or grant agreements; or the only), 3, 8 (Appendices A and B only), 11, 15 (subpart D only), 16 (Appendix Docket Clerk, Office of the General parts relate to functions that have been Counsel, Department of Housing and transferred to another agency. A only), 24 (Appendices A, B, and C only), 39, 40 (Appendix A only), 86 Urban Development, Room 10276, 451 EFFECTIVE DATE: October 11, 1995. (Appendices A and B only), 106, 200 Seventh Street SW., Washington, DC FOR FURTHER INFORMATION CONTACT: (subpart B only), 967. 20410. Camille E. Acevedo, Assistant General Parts for expiring programs, under Regulatory Flexibility Act Counsel for Regulations, Department of which there are only a few outstanding Housing and Urban Development, Room mortgages or contracts: The Secretary, in accordance with the 10276, 451 Seventh Street SW., To the extent local programs are still Regulatory Flexibility Act (5 U.S.C. Washington, DC 20410. Telephone: ongoing under the following repealed 605(b)), has reviewed this rule before (202) 708–3055; TDD: (202) 708–3259. parts or subparts, their repeal does not publication and by approving it certifies SUPPLEMENTARY INFORMATION: President affect the requirements which apply to that this rule does not have a significant Clinton’s memorandum of March 4, those programs under the applicable economic impact on a substantial 1995, titled ‘‘Regulatory Reinvention contracts or grant agreements. number of small entities because this Initiative’’ directed heads of Federal 1. The programs associated with the rule pertains to the administrative departments and agencies to review all following parts will continue to be matter of removing obsolete or existing regulations to eliminate those administered under the regulations that unnecessary parts from the Code of that are outdated and modify others to existed immediately before October 11, Federal Regulations. Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations 47261 Executive Order 12612, Federalism 24 CFR Part 39 24 CFR Part 205 The General Counsel, as the Energy conservation, Housing, Loan Community facilities, Mortgage Designated Official under section 6(a) of programs—housing and community insurance, Reporting and recordkeeping Executive Order 12612, Federalism, has development. requirements. determined that this rule does not have 24 CFR Part 209 ‘‘federalism implications’’ because it 24 CFR Part 40 does not have substantial direct effects Individuals with disabilities, Public Mortgage insurance. on the States (including their political housing, Reporting and recordkeeping 24 CFR Part 210 subdivisions), or on the distribution of requirements. power and responsibilities among the Mortgage insurance, Reporting and 24 CFR Part 49 various levels of government. recordkeeping requirements. Aliens, Grant programs—housing and Executive Order 12606, the Family 24 CFR Part 211 community development, Loan Mortgage insurance, Reporting and The General Counsel, as the programs—housing and community recordkeeping requirements. Designated Official under Executive development, Mortgage insurance. Order 12606, the Family, has 24 CFR Part 224 24 CFR Part 86 determined that this rule does not have Military personnel, Mortgage potential significant impact on family Administrative practice and insurance, Reporting and recordkeeping formation, maintenance, and general procedure, Lobbying (Government requirements. well-being. agencies), Reporting and recordkeeping requirements. 24 CFR Part 225 Semiannual Agenda 24 CFR Part 90 Military personnel, Mortgage This rule was not listed in the insurance. Department’s Semiannual Agenda of Community facilities, Grant Regulations published on May 8, 1995 programs—housing and community 24 CFR Part 226 (60 FR 23368), pursuant to Executive development, Grant programs—social Government employees, Mortgage Order 12866 and the Regulatory programs, Homeless, Reporting and insurance. Flexibility Act. recordkeeping requirements. 24 CFR Part 227 List of Subjects 24 CFR Part 103 Federally affected areas, Military 24 CFR Part 1 Administrative practice and personnel, Mortgage insurance, Administrative practice and procedure, Aged, Fair housing, Reporting and recordkeeping procedure, Civil rights, Reporting and Individuals with disabilities, requirements. recordkeeping requirements. Intergovernmental relations, 24 CFR Part 228 Investigations, Mortgages, Penalties, 24 CFR Part 3 Reporting and recordkeeping Federally affected areas, Mortgage insurance, National defense. Authority delegations (Government requirements. agencies). 24 CFR Part 106 24 CFR Part 229 24 CFR Part 8 Administrative practice and Federally affected areas, Mortgage procedure, Aged, Fair housing, insurance, National defense, Reporting Administrative practice and and recordkeeping requirements. procedure, Civil rights, Equal Individuals with disabilities, Mortgages. employment opportunity, Grant 24 CFR Part 120 24 CFR Part 238 programs—housing and community Insurance, Investments, Low and Fair housing, Grant programs— development, Individuals with moderate income housing, Reporting housing and community development. disabilities, Loan programs—housing and recordkeeping requirements. and community development, Reporting 24 CFR Part 130 and recordkeeping requirements. 24 CFR Part 240 Administrative practice and Mortgage insurance. 24 CFR Part 11 procedure, Equal employment Seals and insignia. opportunity, Government contracts, 24 CFR Part 250 Housing, Reporting and recordkeeping 24 CFR Part 15 Intergovernmental relations, Low and requirements. moderate income housing, Mortgage Classified information, Courts, 24 CFR Part 200 insurance. Freedom of information, Government employees, Reporting and Administrative practice and 24 CFR Part 270 recordkeeping requirements. procedure, Claims, Equal employment Appalachia, Grant programs—housing opportunity, Fair housing, Home and community development, Loan 24 CFR Part 16 improvement, Housing standards, programs—housing and community Privacy. Incorporation by reference, Lead development, Low and moderate poisoning, Loan programs—housing and income housing. 24 CFR Part 24 community development, Minimum Administrative practice and property standards, Mortgage insurance, 24 CFR Part 271 procedure, Drug abuse, Government Organization and functions Grant programs—housing and contracts, Government procurement, (Government agencies), Penalties, community development, Loan Grant programs, Loan programs, Reporting and recordkeeping programs—housing and community Reporting and recordkeeping requirements, Social security, development, Low and moderate requirements. Unemployment compensation, Wages. income housing, Technical assistance. 47262 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations 24 CFR Part 277 24 CFR Part 595 24 CFR Part 1895 Aged, Individuals with disabilities, Community development, Grant Energy conservation, Organization Loan programs—housing and programs—housing and community and functions (Government agencies), community development, Low and development, Urban renewal. Seals and insignia, Solar energy. moderate income housing. 24 CFR Part 596 24 CFR Part 2700 24 CFR Part 278 Community development, Indians, Loan programs—housing and Intergovernmental relations. community development, Mortgage Aged, Grant programs—housing and insurance, Mortgages. community development, Individuals 24 CFR Part 598 Accordingly, pursuant to the with disabilities, Low and moderate Secretary’s authority under 42 U.S.C. income housing, Nutrition. Community facilities, Loan programs—housing and community 3535(d), subtitle A and chapters I, II, V, 24 CFR Part 500 development, Reporting and VI, VIII, IX, X, XI, and XV of title 24 of recordkeeping requirements. the Code of Federal Regulations are Grant programs—housing and amended as follows: community development, Loan 24 CFR Part 599 Subtitle A—[Amended] programs—housing and community Grant programs—housing and development, Urban renewal. community development, Grant 1. Subtitle A is amended by removing: 24 CFR Part 511 programs—natural resources, Public a. Appendix A from part 1; lands. b. Part 3; Administrative practice and c. Appendices A and B from part 8; procedure, Grant programs—housing 24 CFR Part 600 d. Part 11; and community development, Lead American Samoa, Community e. Subpart D from part 15; poisoning, Low and moderate income facilities, Energy conservation, f. Appendix A from part 16; housing, Reporting and recordkeeping Environmental protection, Grant g. Appendices A, B, and C from part requirements, Technical assistance. programs—housing and community 24; h. Part 39; 24 CFR Part 575 development, Guam, Housing, Indians, Intergovernmental relations, Northern i. Appendix A from part 40; Civil rights, Community facilities, Mariana Islands, Pacific Islands Trust j. Part 49; Grant programs—housing and Territory, Reporting and recordkeeping k. Appendices A and B from part 86; community development, Grant requirements, Virgin Islands. l. Part 90; and m. Appendix D to subtitle A. programs—social programs, Homeless, 24 CFR Part 811 Reporting and recordkeeping Chapter I—[Amended] Public housing, Securities, Taxes. requirements. 2. Chapter I is amended by removing: 24 CFR Part 577 24 CFR Part 900 a. The appendix from part 103; and b. Parts 106, 120, and 130. Community facilities, Employment, Grant programs—housing and Grant programs—housing and community development, Rent Chapter II—[Amended] community development, Grant subsidies. 3. Chapter II is amended by amending programs—social programs, Individuals 24 CFR Part 907 part 200 by removing subparts B, L, and with disabilities, Homeless, Indians, N, and by adding a new subpart W, Mental health programs, Nonprofit Low and moderate income housing, consisting of § 200.1301, to read as organizations, Reporting and Public housing, Reporting and follows: recordkeeping requirements, Technical recordkeeping requirements. assistance. 24 CFR Part 965 PART 200ÐINTRODUCTION 24 CFR Part 578 Energy conservation, Government * * * * * procurement, Grant programs—housing Community facilities, Grant and community development, Lead Subpart WÐAdministrative Matters programs—housing and community poisoning, Loan programs—housing and development, Grant programs—social § 200.1301 Expiring ProgramsÐSavings community development, Public programs, Individuals with disabilities, Clause. housing, Reporting and recordkeeping Homeless, Mental health programs, No new loan assistance, additional requirements, Utilities. Nonprofit organizations, Reporting and participation, or new loans are being recordkeeping requirements, Technical 24 CFR Part 967 insured under the programs listed assistance. below. Any existing loan assistance, Grant programs—housing and ongoing participation, or insured loans 24 CFR Part 579 community development, Public under these programs will continue to housing. Community facilities, Grant be governed by the regulations in effect programs—housing and community 24 CFR Part 1730 as they existed immediately before October 11, 1995: development, Grant programs—social Consumer protection, Land sales. programs, Homeless, Reporting and Part 205 Mortgage Insurance for Land recordkeeping requirements. 24 CFR Part 1800 Development [Title X] Part 209 Individual Homes; War Housing 24 CFR Part 580 Energy conservation, Grant Mortgage Insurance [Sec. 603] programs—energy, Loan programs— Part 224 Armed Services Housing—Military Grant programs—housing and energy, Penalties, Reporting and Personnel [Sec. 803] community development, Urban recordkeeping requirements, Solar Part 225 Military Housing Insurance [Sec. renewal. energy. 803] Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Rules and Regulations 47263 Part 226 Armed Services Housing—Civilian Chapter V—[Amended] b. Subpart F from part 965; and Employees [Sec. 809] 5. Chapter V is amended by removing: c. Part 967. Part 227 Armed Services Housing— a. Part 500; Chapter X—[Amended] Impacted Areas [Sec. 810] b. Subparts C, E, and G from part 511; Part 228 Individual Residences; National and 9. Chapter X is amended by removing Defense Housing Mortgage Insurance [Sec. c. Parts 575, 577, 578, 579, 580, 595, part 1730. 903] 596, 598, and 599. Part 240 Mortgage Insurance on Loans for Chapter XI—[Amended] Fee Title Purchase Chapter VI—[Amended] 10. Chapter XI is amended by Part 277 Loans for Housing for the Elderly 6. Chapter VI is amended by removing removing parts 1800 and 1895. or Handicapped part 600. Part 278 Mandatory Meals Program in Chapter XV—[Amended] Multifamily Rental or Cooperative Projects Chapter VIII—[Amended] 11. Chapter XV is amended by for the Elderly or Handicapped 7. Chapter VIII is amended by removing part 2700. Chapter II—[Amended] removing subpart B from part 811. Dated: August 30, 1995. 4. Chapter II is further amended by Chapter IX—[Amended] Henry G. Cisneros, removing parts 205, 209, 210, 211, 224, 8. Chapter IX is amended by Secretary. 225, 226, 227, 228, 229, 238, 240, 250, removing: [FR Doc. 95–22384 Filed 9–8–95; 8:45 am] 270, 271, 277, and 278. a. Parts 900 and 907; BILLING CODE 4210±32±P i Reader Aids Federal Register Vol. 60, No. 175 Monday, September 11, 1995 CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING SEPTEMBER 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 Public inspection announcement line 523±5215 the revision date of each title. 13 CFR Laws 5 CFR Public Laws Update Services (numbers, dates, etc.) 523±6641 Proposed Rules: Ch. LX...... 47240 108...... 46789 For additional information 523±5227 300...... 47039 Presidential Documents 304...... 45647 14 CFR 353...... 45670 Executive orders and proclamations 523±5227 39 ...... 46216, 46758, 46760, 532...... 46213 The United States Government Manual 523±5227 46761, 46763, 46765 550...... 47039 97...... 46218 Other Services 591...... 46749 399...... 46018 752...... 47039 Electronic and on-line services (voice) 523±4534 Proposed Rules: 771...... 47039 Privacy Act Compilation 523±3187 39 ...... 45683, 46541, 46542, 831...... 47039 TDD for the hearing impaired 523±5229 46544, 46790, 46792 842...... 47039 71...... 46547 870...... 45670 ELECTRONIC BULLETIN BOARD 890...... 45670 15 CFR 1320...... 45776, 46148 Free Electronic Bulletin Board service for Public Law numbers, 275...... 45659 Proposed Rules: Federal Register finding aids, and list of documents on public 300...... 46780 inspection. 202±275±0920 16 CFR 2640...... 47208 600...... 45659 FAX-ON-DEMAND 7 CFR You may access our Fax-On-Demand service. You only need a fax 17 CFR machine and there is no charge for the service except for long 51...... 46976 201...... 46498 distance telephone charges the user may incur. The list of 271...... 45990 270...... 47041 documents on public inspection and the daily Federal Register’s 272...... 45990 274...... 47041 table of contents are available using this service. The document 273...... 45990 numbers are 7050-Public Inspection list and 7051-Table of 945...... 46017 19 CFR Contents list. The public inspection list will be updated 998...... 46750 10...... 46188, 46334 immediately for documents filed on an emergency basis. 1137...... 46214 12...... 46188, 46334 1942...... 46215 NOTE: YOU WILL ONLY GET A LISTING OF DOCUMENTS ON 24...... 46334 1951...... 46753 FILE AND NOT THE ACTUAL DOCUMENT. Documents on 102...... 46188 public inspection may be viewed and copied in our office located Proposed Rules: 123...... 46334 at 800 North Capitol Street, N.W., Suite 700. The Fax-On-Demand 319...... 47101 134...... 46334 telephone number is: 301±713±6905 1260...... 46781 162...... 46334 174...... 46334 8 CFR 177...... 46334 FEDERAL REGISTER PAGES AND DATES, SEPTEMBER 329...... 45658 178...... 46188 181...... 46334 45647±46016...... 1 9 CFR 191...... 46334 46017±46212...... 5 206...... 46500 46213±46496...... 6 Proposed Rules: 46497±46748...... 7 1...... 46783 20 CFR 3...... 46783 46749±47038...... 8 Proposed Rules: 47039±47264...... 11 10 CFR 220...... 47122 404...... 47126 73...... 46497 416...... 47126 Proposed Rules: 30...... 46784 21 CFR 40...... 46784 176...... 47205 70...... 46784 510...... 47052 520...... 47052 12 CFR 558...... 47052 3...... 46170 Proposed Rules: 208...... 46170 312...... 46794 225...... 46170 314...... 46794 325...... 46170 862...... 45685 Proposed Rules: 864...... 46718 23...... 46246 866...... 45685 613...... 47103 868...... 45685, 46718 614...... 47103 870...... 45685, 46718 618...... 47103 872...... 45685, 46718 619...... 47103 874...... 45685 626...... 47103 876...... 45685, 46718 ii Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Reader Aids 878...... 45685 1895...... 47260 21...... 46533 36...... 46803 880...... 45685, 46718 2700...... 47260 Proposed Rules: 73...... 46562, 46563 882...... 45685, 46718 17...... 47133 76...... 46805 884...... 45685, 46718 25 CFR 90...... 46564, 46566 886...... 45685 Proposed Rules: 39 CFR 888...... 45685, 46718 Ch. I ...... 47131 447...... 47241 48 CFR 890...... 45685, 46718 63...... 45982 892...... 45685 40 CFR 1803...... 47099 895...... 46251 26 CFR 1815...... 47099 9...... 45948 1852...... 47099 898...... 46251 1 ...... 45661, 46500, 47053 52 ...... 46020, 46021, 46024, 4...... 46500 2401...... 46152 24 CFR 46025, 46029, 46220, 46222, 2402...... 46152 602...... 46500 46535, 46768, 47074, 47076, 1...... 47260 Proposed Rules: 2404...... 46152 47081, 47084, 47085, 47088, 2405...... 46152 3...... 47260 1...... 46548 47089 8...... 47260 2406...... 46152 27 CFR 60...... 47095 2413...... 46152 11...... 47260 61...... 46206 15...... 47260 9...... 47053 2415...... 46152 63...... 45948 2416...... 46152 16...... 47260 70...... 45671, 46771 24...... 47260 28 CFR 2419...... 46152 280...... 46691 2426...... 46152 39...... 47260 0...... 46018 281 ...... 46691, 47089, 47097 40...... 47260 541...... 46484 2428...... 46152 Proposed Rules: 49...... 47260 548...... 46484 2429...... 46152 15...... 47135 86...... 47260 2432...... 46152 32...... 47135 90...... 47260 29 CFR 2437...... 46152 52 ...... 46070, 46071, 46252, 103...... 47260 552...... 46766 2452...... 46152 46802, 47137, 47138, 47139 106...... 47260 801...... 46530 2453...... 46152 55...... 47140 120...... 47260 1601...... 46219 Proposed Rules: 130...... 47260 1910...... 47022 70...... 45685, 46072 52...... 46259 81...... 47142 200...... 47260 Proposed Rules: 225...... 46805 372...... 46076 205...... 47260 4...... 46553 209...... 47260 5...... 46553 41 CFR 49 CFR 210...... 47260 552...... 46797 393...... 46236 211...... 47260 1952...... 47131 Proposed Rules: 224...... 47260 50±201...... 46553 571...... 46064 225...... 47260 30 CFR 50±206...... 46553 50 CFR 226...... 47260 Proposed Rules: 42 CFR 227...... 47260 Ch. II ...... 46556 20...... 46012 412...... 45778 228...... 47260 301...... 46774 31 CFR 413...... 45778 229...... 47260 630...... 46775 417...... 45673, 46228 238...... 47260 560...... 47061 642...... 47100 424...... 45778 240...... 47260 Proposed Rules: 649...... 45682 485...... 45778 250...... 47260 103...... 46556 663...... 46538 489...... 45778 270...... 47260 672...... 46067 32 CFR 271...... 47260 44 CFR Proposed Rules: 277...... 47260 92...... 46019 10...... 46087 64...... 46030, 46037 278...... 47260 13...... 46087 33 CFR 65 ...... 46038, 46040, 46042, 500...... 47260 17 ...... 46087, 46568, 46569, 46043 511...... 47260 100...... 45668 46571 67...... 46044 575...... 47260 110...... 45776 625...... 46105 577...... 47260 165...... 45669, 45670 Proposed Rules: 649...... 45690 578...... 47260 Proposed Rules: 67...... 46079, 46085 650...... 45690 117...... 46069 579...... 47260 45 CFR 651...... 45691 580...... 47260 34 CFR 670...... 46806 595...... 47260 670...... 46234 672...... 46572, 46936 596...... 47260 74...... 46492 1355...... 46887 675 ...... 46572, 46811, 46936 75...... 46492 598...... 47260 46 CFR 677...... 47142 599...... 47260 76...... 46492 600...... 47260 81...... 46492 552...... 46047 811...... 47260 Proposed Rules: Proposed Rules: 882...... 45661 75...... 46004 40...... 46087 LIST OF PUBLIC LAWS 887...... 45661 154...... 46087 900...... 47260 36 CFR 47 CFR Note: No public bills which 907...... 47260 7...... 46562 have become law were 64...... 46537 965...... 47260 223...... 46890 received by the Office of the 69...... 46537 967...... 47260 Proposed Rules: Federal Register for inclusion 73...... 46063 982...... 45661 1206...... 46798 in today's List of Public 90...... 46537 983...... 45661 Laws. 1730...... 47260 38 CFR Proposed Rules: 1800...... 47260 3...... 46531 25...... 46252 Last List September 8, 1995 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Reader Aids iii CFR CHECKLIST Title Stock Number Price Revision Date 14 Parts: 1–59 ...... (869–026–00042–5) ...... 33.00 Jan. 1, 1995 This checklist, prepared by the Office of the Federal Register, is 60–139 ...... (869–026–00043–3) ...... 27.00 Jan. 1, 1995 published weekly. It is arranged in the order of CFR titles, stock 140–199 ...... (869–026–00044–1) ...... 13.00 Jan. 1, 1995 numbers, prices, and revision dates. 200–1199 ...... (869–026–00045–0) ...... 23.00 Jan. 1, 1995 An asterisk (*) precedes each entry that has been issued since last 1200–End ...... (869–026–00046–8) ...... 16.00 Jan. 1, 1995 week and which is now available for sale at the Government Printing 15 Parts: Office. 0–299 ...... (869–026–00047–6) ...... 15.00 Jan. 1, 1995 A checklist of current CFR volumes comprising a complete CFR set, 300–799 ...... (869–026–00048–4) ...... 26.00 Jan. 1, 1995 also appears in the latest issue of the LSA (List of CFR Sections 800–End ...... (869–026–00049–2) ...... 21.00 Jan. 1, 1995 Affected), which is revised monthly. 16 Parts: The annual rate for subscription to all revised volumes is $883.00 0–149 ...... (869–026–00050–6) ...... 7.00 Jan. 1, 1995 domestic, $220.75 additional for foreign mailing. 150–999 ...... (869–026–00051–4) ...... 19.00 Jan. 1, 1995 Mail orders to the Superintendent of Documents, Attn: New Orders, 1000–End ...... (869–026–00052–2) ...... 25.00 Jan. 1, 1995 P.O. Box 371954, Pittsburgh, PA 15250±7954. All orders must be accompanied by remittance (check, money order, GPO Deposit 17 Parts: Account, VISA, or Master Card). Charge orders may be telephoned 1–199 ...... (869–026–00054–9) ...... 20.00 Apr. 1, 1995 ...... to the GPO Order Desk, Monday through Friday, at (202) 512±1800 200–239 (869–026–00055–7) 24.00 Apr. 1, 1995 ...... from 8:00 a.m. to 4:00 p.m. eastern time, or FAX your charge orders 240–End (869–026–00056–5) 30.00 Apr. 1, 1995 to (202) 512-2233. 18 Parts: Title Stock Number Price Revision Date 1–149 ...... (869–026–00057–3) ...... 16.00 Apr. 1, 1995 150–279 ...... (869–026–00058–1) ...... 13.00 Apr. 1, 1995 1, 2 (2 Reserved) ...... (869–026–00001–8) ...... $5.00 Jan. 1, 1995 280–399 ...... (869–026–00059–0) ...... 13.00 Apr. 1, 1995 3 (1994 Compilation 400–End ...... (869–026–00060–3) ...... 11.00 Apr. 1, 1995 and Parts 100 and 19 Parts: 1 101) ...... (869–026–00002–6) ...... 40.00 Jan. 1, 1995 1–140 ...... (869–026–00061–1) ...... 25.00 April 1, 1995 4 ...... (869–026–00003–4) ...... 5.50 Jan. 1, 1995 141–199 ...... (869–026–00062–0) ...... 21.00 9Apr. 1, 1995 200–End ...... (869–026–00063–8) ...... 12.00 Apr. 1, 1995 5 Parts: 1–699 ...... (869–026–00004–2) ...... 23.00 Jan. 1, 1995 20 Parts: 700–1199 ...... (869–026–00005–1) ...... 20.00 Jan. 1, 1995 1–399 ...... (869–026–00064–6) ...... 20.00 Apr. 1, 1995 1200–End, 6 (6 400–499 ...... (869–026–00065–4) ...... 34.00 Apr. 1, 1995 Reserved) ...... (869–026–00006–9) ...... 23.00 Jan. 1, 1995 500–End ...... (869–026–00066–2) ...... 34.00 Apr. 1, 1995 7 Parts: 21 Parts: 0–26 ...... (869–026–00007–7) ...... 21.00 Jan. 1, 1995 1–99 ...... (869–026–00067–1) ...... 16.00 Apr. 1, 1995 27–45 ...... (869–026–00008–5) ...... 14.00 Jan. 1, 1995 100–169 ...... (869–026–00068–9) ...... 21.00 Apr. 1, 1995 46–51 ...... (869–026–00009–3) ...... 21.00 Jan. 1, 1995 170–199 ...... (869–026–00068–7) ...... 22.00 Apr. 1, 1995 52 ...... (869–026–00010–7) ...... 30.00 Jan. 1, 1995 200–299 ...... (869–026–00070–1) ...... 7.00 Apr. 1, 1995 53–209 ...... (869–026–00011–5) ...... 25.00 Jan. 1, 1995 300–499 ...... (869–026–00071–9) ...... 39.00 Apr. 1, 1995 210–299 ...... (869–026–00012–3) ...... 34.00 Jan. 1, 1995 500–599 ...... (869–026–00072–7) ...... 22.00 Apr. 1, 1995 300–399 ...... (869–026–00013–1) ...... 16.00 Jan. 1, 1995 600–799 ...... (869–026–00073–5) ...... 9.50 Apr. 1, 1995 400–699 ...... (869–026–00014–0) ...... 21.00 Jan. 1, 1995 800–1299 ...... (869–026–00074–3) ...... 23.00 Apr. 1, 1995 700–899 ...... (869–026–00015–8) ...... 23.00 Jan. 1, 1995 1300–End ...... (869–026–00075–1) ...... 13.00 Apr. 1, 1995 900–999 ...... (869–026–00016–6) ...... 32.00 Jan. 1, 1995 1000–1059 ...... (869–026–00017–4) ...... 23.00 Jan. 1, 1995 22 Parts: 1060–1119 ...... (869–026–00018–2) ...... 15.00 Jan. 1, 1995 1–299 ...... (869–026–00076–0) ...... 33.00 Apr. 1, 1995 1120–1199 ...... (869–026–00019–1) ...... 12.00 Jan. 1, 1995 300–End ...... (869–026–00077–8) ...... 24.00 Apr. 1, 1995 1200–1499 ...... (869–026–00020–4) ...... 32.00 Jan. 1, 1995 23 ...... (869–026–00078–6) ...... 22.00 Apr. 1, 1995 1500–1899 ...... (869–026–00021–2) ...... 35.00 Jan. 1, 1995 24 Parts: 1900–1939 ...... (869–026–00022–1) ...... 16.00 Jan. 1, 1995 ...... 1940–1949 ...... (869–026–00023–9) ...... 30.00 Jan. 1, 1995 0–199 (869–026–00079–4) 40.00 Apr. 1, 1995 1950–1999 ...... (869–026–00024–7) ...... 40.00 Jan. 1, 1995 200–219 ...... (869–026–00080–8) ...... 19.00 Apr. 1, 1995 2000–End ...... (869–026–00025–5) ...... 14.00 Jan. 1, 1995 220–499 ...... (869–026–00081–6) ...... 23.00 Apr. 1, 1995 500–699 ...... (869–026–00082–4) ...... 20.00 Apr. 1, 1995 8 ...... (869–026–00026–3) ...... 23.00 Jan. 1, 1995 700–899 ...... (869–026–00083–2) ...... 24.00 Apr. 1, 1995 9 Parts: 900–1699 ...... (869–026–00084–1) ...... 24.00 Apr. 1, 1995 1–199 ...... (869–026–00027–1) ...... 30.00 Jan. 1, 1995 1700–End ...... (869–026–00085–9) ...... 17.00 Apr. 1, 1995 200–End ...... (869–026–00028–0) ...... 23.00 Jan. 1, 1995 25 ...... (869–026–00086–7) ...... 32.00 Apr. 1, 1995 10 Parts: 26 Parts: 0–50 ...... (869–026–00029–8) ...... 30.00 Jan. 1, 1995 §§ 1.0-1–1.60 ...... (869–026–00087–5) ...... 21.00 Apr. 1, 1995 51–199 ...... (869–026–00030–1) ...... 23.00 Jan. 1, 1995 §§ 1.61–1.169 ...... (869–026–00088–3) ...... 34.00 Apr. 1, 1995 200–399 ...... (869–026–00031–0) ...... 15.00 6Jan. 1, 1993 §§ 1.170–1.300 ...... (869–026–00089–1) ...... 24.00 Apr. 1, 1995 400–499 ...... (869–026–00032–8) ...... 21.00 Jan. 1, 1995 §§ 1.301–1.400 ...... (869–026–00090–5) ...... 17.00 Apr. 1, 1995 500–End ...... (869–026–00033–6) ...... 39.00 Jan. 1, 1995 §§ 1.401–1.440 ...... (869–026–00091–3) ...... 30.00 Apr. 1, 1995 11 ...... (869–026–00034–4) ...... 14.00 Jan. 1, 1995 §§ 1.441-1.500 ...... (869-026-00092-1) ...... 22.00 Apr. 1, 1995 §§ 1.501–1.640 ...... (869–026–00093–0) ...... 21.00 Apr. 1, 1995 12 Parts: §§ 1.641–1.850 ...... (869–026–00094–8) ...... 25.00 Apr. 1, 1995 1–199 ...... (869–026–00035–2) ...... 12.00 Jan. 1, 1995 §§ 1.851–1.907 ...... (869–026–00095–6) ...... 26.00 Apr. 1, 1995 200–219 ...... (869–026–00036–1) ...... 16.00 Jan. 1, 1995 §§ 1.908–1.1000 ...... (869–026–00096–4) ...... 27.00 Apr. 1, 1995 220–299 ...... (869–026–00037–9) ...... 28.00 Jan. 1, 1995 §§ 1.1001–1.1400 ...... (869–026–00097–2) ...... 25.00 Apr. 1, 1995 300–499 ...... (869–026–00038–7) ...... 23.00 Jan. 1, 1995 §§ 1.1401–End ...... (869–026–00098–1) ...... 33.00 Apr. 1, 1995 500–599 ...... (869–026–00039–5) ...... 19.00 Jan. 1, 1995 2–29 ...... (869–026–00099–9) ...... 25.00 Apr. 1, 1995 ...... 600–End (869–026–00040–9) 35.00 Jan. 1, 1995 30–39 ...... (869–026–00100–6) ...... 18.00 Apr. 1, 1995 13 ...... (869–026–00041–7) ...... 32.00 Jan. 1, 1995 40–49 ...... (869–026–000101–4) .... 14.00 Apr. 1, 1995 iv Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Reader Aids Title Stock Number Price Revision Date Title Stock Number Price Revision Date 50–299 ...... (869–026–00102–2) ...... 14.00 Apr. 1, 1995 400–424 ...... (869–022–00152–3) ...... 27.00 July 1, 1994 300–499 ...... (869–026–00103–1) ...... 24.00 Apr. 1, 1995 425–699 ...... (869–022–00153–1) ...... 30.00 July 1, 1994 500–599 ...... (869–026–00104–9) ...... 6.00 4 Apr. 1, 1990 700–789 ...... (869–022–00154–0) ...... 28.00 July 1, 1994 600–End ...... (869–026–00105–7) ...... 8.00 Apr. 1, 1995 *790–End ...... (869–026–00158–8) ...... 15.00 July 1, 1995 27 Parts: 41 Chapters: 1–199 ...... (869–026–00106–5) ...... 37.00 Apr. 1, 1995 1, 1–1 to 1–10 ...... 13.00 3 July 1, 1984 200–End ...... (869–026–00107–3) ...... 13.00 8Apr. 1, 1994 1, 1–11 to Appendix, 2 (2 Reserved) ...... 13.00 3 July 1, 1984 3–6 ...... 14.00 3 July 1, 1984 28 Parts: ...... 7 ...... 6.00 3 July 1, 1984 1-42 ...... (869–026–00108–1) ...... 27.00 July 1, 1995 8 ...... 4.50 3 July 1, 1984 43-end ...... (869-026-00109-0) ...... 22.00 July 1, 1995 9 ...... 13.00 3 July 1, 1984 29 Parts: 10–17 ...... 9.50 3 July 1, 1984 0–99 ...... (869–022–00107–8) ...... 21.00 July 1, 1994 18, Vol. I, Parts 1–5 ...... 13.00 3 July 1, 1984 100–499 ...... (869–022–00108–6) ...... 9.50 July 1, 1994 18, Vol. II, Parts 6–19 ...... 13.00 3 July 1, 1984 500–899 ...... (869–022–00109–4) ...... 35.00 July 1, 1994 18, Vol. III, Parts 20–52 ...... 13.00 3 July 1, 1984 900–1899 ...... (869–026–00113–8) ...... 17.00 July 1, 1995 19–100 ...... 13.00 3 July 1, 1984 1900–1910 (§§ 1901.1 to 1–100 ...... (869–022–00156–6) ...... 9.50 July 1, 1994 1910.999) ...... (869–022–00111–6) ...... 33.00 July 1, 1994 101 ...... (869–022–00157–4) ...... 29.00 July 1, 1994 1910 (§§ 1910.1000 to 102–200 ...... (869–022–00158–2) ...... 15.00 July 1, 1994 end) ...... (869–022–00112–4) ...... 21.00 July 1, 1994 201–End ...... (869–022–00159–1) ...... 13.00 July 1, 1994 1911–1925 ...... (869–022–00113–2) ...... 26.00 July 1, 1994 42 Parts: 1926 ...... (869–022–00114–1) ...... 33.00 July 1, 1994 1–399 ...... (869–022–00160–4) ...... 24.00 Oct. 1, 1994 1927–End ...... (869–022–00115–9) ...... 36.00 July 1, 1994 400–429 ...... (869–022–00161–2) ...... 26.00 Oct. 1, 1994 30 Parts: 430–End ...... (869–022–00162–1) ...... 36.00 Oct. 1, 1994 1–199 ...... (869–022–00116–7) ...... 27.00 July 1, 1994 43 Parts: 200–699 ...... (869–022–00117–5) ...... 19.00 July 1, 1994 1–999 ...... (869–022–00163–9) ...... 23.00 Oct. 1, 1994 700–End ...... (869–022–00118–3) ...... 27.00 July 1, 1994 1000–3999 ...... (869–022–00164–7) ...... 31.00 Oct. 1, 1994 31 Parts: 4000–End ...... (869–022–00165–5) ...... 14.00 Oct. 1, 1994 *0–199 ...... (869–026–00122–7) ...... 15.00 July 1, 1995 44 ...... (869–022–00166–3) ...... 27.00 Oct. 1, 1994 200–End ...... (869–022–00120–5) ...... 30.00 July 1, 1994 45 Parts: 32 Parts: 2 1–199 ...... (869–022–00167–1) ...... 22.00 Oct. 1, 1994 1–39, Vol. I ...... 15.00 July 1, 1984 200–499 ...... (869–022–00168–0) ...... 15.00 Oct. 1, 1994 1–39, Vol. II ...... 19.00 2 July 1, 1984 2 500–1199 ...... (869–022–00169–8) ...... 32.00 Oct. 1, 1994 1–39, Vol. III ...... 18.00 July 1, 1984 1200–End ...... (869–022–00170–1) ...... 26.00 Oct. 1, 1994 1–190 ...... (869–022–00121–3) ...... 31.00 July 1, 1994 191–399 ...... (869–022–00122–1) ...... 36.00 July 1, 1994 46 Parts: 400–629 ...... (869–022–00123–0) ...... 26.00 July 1, 1994 1–40 ...... (869–022–00171–0) ...... 20.00 Oct. 1, 1994 630–699 ...... (869–026–00127–8) ...... 14.00 5 July 1, 1991 41–69 ...... (869–022–00172–8) ...... 16.00 Oct. 1, 1994 700–799 ...... (869–022–00125–6) ...... 21.00 July 1, 1994 70–89 ...... (869–022–00173–6) ...... 8.50 Oct. 1, 1994 800–End ...... (869–022–00126–4) ...... 22.00 July 1, 1994 90–139 ...... (869–022–00174–4) ...... 15.00 Oct. 1, 1994 140–155 ...... (869–022–00175–2) ...... 12.00 Oct. 1, 1994 33 Parts: 156–165 ...... (869–022–00176–1) ...... 17.00 7Oct. 1, 1993 1–124 ...... (869–022–00127–2) ...... 20.00 July 1, 1994 166–199 ...... (869–022–00177–9) ...... 17.00 Oct. 1, 1994 125–199 ...... (869–022–00128–1) ...... 26.00 July 1, 1994 200–499 ...... (869–022–00178–7) ...... 21.00 Oct. 1, 1994 200–End ...... (869–022–00129–9) ...... 24.00 July 1, 1994 500–End ...... (869–022–00179–5) ...... 15.00 Oct. 1, 1994 34 Parts: 47 Parts: 1–299 ...... (869–022–00130–2) ...... 28.00 July 1, 1994 0–19 ...... (869–022–00180–9) ...... 25.00 Oct. 1, 1994 300–399 ...... (869–022–00131–1) ...... 21.00 July 1, 1994 20–39 ...... (869–022–00181–7) ...... 20.00 Oct. 1, 1994 400–End ...... (869–022–00132–9) ...... 40.00 July 1, 1994 40–69 ...... (869–022–00182–5) ...... 14.00 Oct. 1, 1994 35 ...... (869–026–00136–7) ...... 12.00 July 1, 1995 70–79 ...... (869–022–00183–3) ...... 24.00 Oct. 1, 1994 80–End ...... (869–022–00184–1) ...... 26.00 Oct. 1, 1994 36 Parts: 1–199 ...... (869–026–00137–5) ...... 15.00 July 1, 1995 48 Chapters: 200–End ...... (869–022–00135–3) ...... 37.00 July 1, 1994 1 (Parts 1–51) ...... (869–022–00185–0) ...... 36.00 Oct. 1, 1994 1 (Parts 52–99) ...... (869–022–00186–8) ...... 23.00 Oct. 1, 1994 37 ...... (869–022–00136–1) ...... 20.00 July 1, 1994 2 (Parts 201–251) ...... (869–022–00187–6) ...... 16.00 Oct. 1, 1994 38 Parts: 2 (Parts 252–299) ...... (869–022–00188–4) ...... 13.00 Oct. 1, 1994 *0–17 ...... (869–026–00140–5) ...... 30.00 July 1, 1995 3–6 ...... (869–022–00189–2) ...... 23.00 Oct. 1, 1994 *18–End ...... (869–026–00141–3) ...... 30.00 July 1, 1995 7–14 ...... (869–022–00190–6) ...... 30.00 Oct. 1, 1994 39 ...... (869–022–00139–6) ...... 16.00 July 1, 1994 15–28 ...... (869–022–00191–4) ...... 32.00 Oct. 1, 1994 29–End ...... (869–022–00192–2) ...... 17.00 Oct. 1, 1994 40 Parts: 1–51 ...... (869–022–00140–0) ...... 39.00 July 1, 1994 49 Parts: 52 ...... (869–022–00141–8) ...... 39.00 July 1, 1994 1–99 ...... (869–022–00193–1) ...... 24.00 Oct. 1, 1994 53–59 ...... (869–022–00142–6) ...... 11.00 July 1, 1994 100–177 ...... (869–022–00194–9) ...... 30.00 Oct. 1, 1994 60 ...... (869-022-00143-4) ...... 36.00 July 1, 1994 178–199 ...... (869–022–00195–7) ...... 21.00 Oct. 1, 1994 61–80 ...... (869–022–00144–2) ...... 41.00 July 1, 1994 200–399 ...... (869–022–00196–5) ...... 30.00 Oct. 1, 1994 81–85 ...... (869–022–00145–1) ...... 23.00 July 1, 1994 400–999 ...... (869–022–00197–3) ...... 35.00 Oct. 1, 1994 86–99 ...... (869–022–00146–9) ...... 41.00 July 1, 1994 1000–1199 ...... (869–022–00198–1) ...... 19.00 Oct. 1, 1994 100–149 ...... (869–022–00147–7) ...... 39.00 July 1, 1994 1200–End ...... (869–022–00199–0) ...... 15.00 Oct. 1, 1994 150–189 ...... (869–022–00148–5) ...... 24.00 July 1, 1994 50 Parts: 190–259 ...... (869–022–00149–3) ...... 18.00 July 1, 1994 1–199 ...... (869–022–00200–7) ...... 25.00 Oct. 1, 1994 260–299 ...... (869–022–00150–7) ...... 36.00 July 1, 1994 200–599 ...... (869–022–00201–5) ...... 22.00 Oct. 1, 1994 300–399 ...... (869–022–00151–5) ...... 18.00 July 1, 1994 600–End ...... (869–022–00202–3) ...... 27.00 Oct. 1, 1994 Federal Register / Vol. 60, No. 175 / Monday, September 11, 1995 / Reader Aids v Title Stock Number Price Revision Date Subscription (mailed as issued) ...... 264.00 1995 CFR Index and Findings Individual copies ...... 1.00 1995 Aids ...... (869–026–00053–1) ...... 36.00 Jan. 1, 1995 1 Because Title 3 is an annual compilation, this volume and all previous volumes should be retained as a permanent reference source. Complete 1995 CFR set ...... 883.00 1995 2 The July 1, 1985 edition of 32 CFR Parts 1–189 contains a note only for Parts 1–39 inclusive. For the full text of the Defense Acquisition Regulations Microfiche CFR Edition: in Parts 1–39, consult the three CFR volumes issued as of July 1, 1984, containing those parts. Complete set (one-time mailing) ...... 188.00 1992 3 The July 1, 1985 edition of 41 CFR Chapters 1–100 contains a note only Complete set (one-time mailing) ...... 223.00 1993 for Chapters 1 to 49 inclusive. For the full text of procurement regulations in Chapters 1 to 49, consult the eleven CFR volumes issued as of July 1, Complete set (one-time mailing) ...... 244.00 1994 1984 containing those chapters. 4 No amendments to this volume were promulgated during the period Apr. 1, 1990 to Mar. 31, 1995. The CFR volume issued April 1, 1990, should be retained. 5 No amendments to this volume were promulgated during the period July 1, 1991 to June 30, 1995. The CFR volume issued July 1, 1991, should be retained. 6 No amendments to this volume were promulgated during the period January 1, 1993 to December 31, 1994. The CFR volume issued January 1, 1993, should be retained. 7 No amendments to this volume were promulgated during the period October 1, 1993, to September 30, 1994. The CFR volume issued October 1, 1993, should be retained. 8 No amendments to this volume were promulgated during the period April 1, 1994 to March 31, 1995. The CFR volume issued April 1, 1994, should be retained. 9 Note: Title 19, CFR Parts 141-199, revised 4-1-95 volume is being republished to restore inadvertently omitted text.