Pages 25419±25796 Vol. 64 5±12±99 eDt 6MY9 90 a 1 99Jt134 O000Fm001Ft41 ft41 :F\M1MW.X fm1PsN:12MYWS pfrm01 E:\FR\FM\12MYWS.XXX Sfmt4710 Fmt4710 Frm00001 PO00000 Jkt183247 19:02May11, 1999 VerDate 06-MAY-99 No. 91 federal register May 12,1999 Wednesday announcement ontheinsidecoverofthisissue. For informationonbriefingsinWashington,DC,see Briefings onhowtousetheFederalRegister 1 II Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999
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Contents Federal Register Vol. 64, No. 91
Wednesday, May 12, 1999
Advisory Council on Historic Preservation Defense Department See Historic Preservation, Advisory Council See Navy Department NOTICES Agency for International Development Agency information collection activities: NOTICES Submission for OMB review; comment request, 25480 Meetings: Meetings: Malaria Vaccine Development Program Federal Advisory Wage Committee, 25480 Committee, 25473 Energy Department Agricultural Marketing Service See Federal Energy Regulatory Commission RULES NOTICES Raisins produced from grapes grown in— Meetings: California, 25419–25422 Secretary of Energy Advisory Board, 25481–25482 PROPOSED RULES Tobacco inspection: Environmental Protection Agency Flu-cured tobacco; regulations, 25462–25464 RULES Pesticides; tolerances in food, animal feeds, and raw Agriculture Department agricultural commodities: See Agricultural Marketing Service Azoxystrobin, 25448–25451 See Commodity Credit Corporation Dimethomorph, 25451–25456 See Federal Crop Insurance Corporation Halosulfuron, 25439–25448 See Rural Business-Cooperative Service NOTICES See Rural Utilities Service Agency information collection activities: Submission for OMB review; comment request, 25500– Centers for Disease Control and Prevention 25501 NOTICES Meetings: Grants and cooperative agreements; availability, etc.: Science Advisory Board Executive Committee, 25501 New vaccines; applied research, 25506–25508 Pesticide programs: Probilistic tools and methods for evaluating impact of Children and Families Administration pesticides on aquatic and terrestrial non-target NOTICES organisms; workshop, 25501–25502 Meetings: Reports and guidance documents; availability, etc.: Head Start Research and Evaluation Advisory Committee, Extrapolation of the Benzene Inhalation Unit Risk 25508–25509 Estimate to the Oral Route of Exposure, et al.; comment request, 25502 Coast Guard Superfund; response and remedial actions, proposed RULES settlements, etc.: Drawbridge operations: Murray Machinery, Inc. Superfund Site, WI, 25503 Massachusetts, 25438–25439 Tulalip Landfill Superfund Site, WA, 25503–25504 NOTICES Water pollution control: Meetings: Marine sanitation device standard; petitions— Atlantic Intracoastal Waterway, St. Augustine, FL; Bridge New Jersey, 25504–25505 of Lions, alternate bridge designs; public hearing, 25530 Executive Office of the President See Trade Representative, Office of United States Commerce Department See Foreign-Trade Zones Board Farm Credit Administration See National Institute of Standards and Technology RULES See National Oceanic and Atmospheric Administration Farm credit system: Organization and disclosure to shareholders— Commission of Fine Arts Bank director compensation limits, 25423 NOTICES Meetings, 25479–25480 Federal Aviation Administration RULES Commodity Credit Corporation Airworthiness directives: NOTICES Boeing, 25424–25428 Meetings; Sunshine Act, 25473 Uniform grain and rice storage agreement fees, 25473– Federal Crop Insurance Corporation 25474 PROPOSED RULES Administrative regulations: Comptroller of the Currency Federal Crop Insurance Act— PROPOSED RULES Premium reductions, rebate payments, dividends, and Community bank-focused regulation review, 25469–25472 patronage refunds, etc., 25464–25469
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Federal Election Commission Food and Drug Administration NOTICES RULES Meetings; Sunshine Act, 25505 Food additive: Adjuvants, production aids, and sanitizers— Federal Energy Regulatory Commission 5,7-bis(1,1-dimethylethyl)-3-hydroxy-2(3H)- NOTICES benzofuranone, 25428–25430 Electric rate and corporate regulation filings: Northeast Utilities Service Co. et al., 25494–25496 Foreign-Trade Zones Board Environmental statements; availability, etc.: NOTICES Briggs, George and Arminda, 25496 Applications, hearings, determinations, etc.: Duke Energy Corp., 25496–25497 Louisiana Millenium Pipeline Co., L.P., et al., 25497 Bollinger Shipyards Lockport, LLC; shipbuilding Hydroelectric applications, 25497–25500 facility expansion, 25476 Applications, hearings, determinations, etc.: Nebraska Alliant Energy Corporate Services, Inc., 25482 Kawasaki Motor Manufacturing Corp., U.S.A.; utility ANR Pipeline Co., 25482–25483 work truck manufacturing facility, 25476–25477 Colorado Interstate Gas Co., 25483 Kawasaki Motors Manufacturing Corp., U.S.A.; Columbia Gas Transmission Corp., 25483–25484 industrial robot manufacturing facility, 25477 Discovery Gas Transmission L.L.C., 25484 Texas Eastern Shore Natural Gas Co., 25484 Equistar Chemicals LP; oil refinery, 25477–25478 El Paso Natural Gas Co., 25484–25485 Great Lakes Gas Transmission L.P., 25485 Health and Human Services Department Indeck Pepperell Power Associates, 25485 See Centers for Disease Control and Prevention KN Interstate Gas Transmission Co., 25486 See Children and Families Administration KN Wattenberg Transmission L.L.C., 25486 See Food and Drug Administration Natural Gas Pipeline Co. of America, 25486–25487 See Health Care Financing Administration Northern Natural Gas Co., 25487–25488 See Health Resources and Services Administration Panhandle Eastern Pipe Line Co., 25488 See Inspector General Office, Health and Human Services Pine Needle LNG Co., LLC, 25488–25489 Department NOTICES Reliant Energy Gas Transmission Co., 25489 Grants and cooperative agreements; availability, etc.: Sea Robin Pipeline Co., 25489 Adolescent Family Life Demonstration Projects, 25775– Southwest Gas Storage Co., 25490 25779, 25781–25784 TCP Gathering Co., 25490 Tennessee Gas Pipeline Co., 25490, 25491 Health Care Financing Administration Texas Eastern Transmission Corp., 25491 See Inspector General Office, Health and Human Services TransColorado Gas Transmission Co., 25491–25492 Department Transcontinental Gas Pipeline Corp., 25492–25494 RULES Trunkline Gas Co., 25494 Medicare: Physician fee schedule (1999 CY); payment policies and Federal Highway Administration relative value units adjustments, 25456–25460 NOTICES Grants and cooperative agreements; availability, etc.: Health Resources and Services Administration Driver history initiative projects, 25530–25533 NOTICES Public lands highways; discretionary program funds, Agency information collection activities: 25533–25536 Proposed collection; comment request, 25509 Federal Maritime Commission Historic Preservation, Advisory Council NOTICES NOTICES Agreements filed, etc., 25505–25506 Environmental statements; availability, etc.: Freight forwarder licenses: Revised regulations; no significant impact on human Bittner Shipping, Inc., et al., 25506 environment, 25473 Investigations, hearings, petitions, etc.: China Ocean Shipping Co., 25506 Housing and Urban Development Department RULES Federal Railroad Administration Noncitizens; financial restrictions on assistance, 25725– RULES 25733 Railroad safety: PROPOSED RULES Passenger equipment safety standards, 25539–25705 Public and Indian Housing: Drug elimination programs; formula allocation funding Fine Arts Commission system, 25735–25744 See Commission of Fine Arts NOTICES Grants and cooperative agreements; availability, etc.: Fish and Wildlife Service Public and Indian housing— NOTICES Public housing drug elimination program, 25745–25753 Environmental statements; availability, etc.: Organization, functions, and authority delegations: Incidental take permits— Assistant Secretary for Community Planning and Orange County Central, OR; multiple species Development, 25512–25513 conservation plan, 25513–25514 Regulatory waiver requests; quarterly listing, 25785–25791
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Immigration and Naturalization Service PROPOSED RULES RULES Meetings: Documentary requirements: Nonimmigrants; waivers; New England Fishery Management Council, 25472 admission of certain inadmissible aliens; parole: NOTICES Haiti; adjustment for status of Haitian nationals, 25755– Fishery conservation and management: 25774 Alaska; fisheries of Exclusive Economic Zone— NOTICES Gulf of Alaska and Bering Sea groundfish, 25478– Agency information collection activities: 25479 Submission for OMB review; comment request, 25516– 25517 National Park Service RULES Inspector General Office, Health and Human Services National Natural Landmarks Program; revision, 25707– Department 25723 NOTICES Program exclusions; list, 25509–25512 Navy Department RULES Interior Department Navigation, COLREGS compliance exemptions: See Fish and Wildlife Service USS BARRY, 25433 See Land Management Bureau USS CURTIS WILBER, 25433–25434 See National Park Service USS JOHN S. MCCAIN, 25434–25435 USS OGDEN, 25436–25437 International Trade Commission USS O’KANE, 25435–25436 NOTICES USS PORTER, 25437–25438 Import investigations: NOTICES Extruded rubber thread from— Environmental statements; availability, etc.: Indonesia, 25515 Naval Station San Diego, CA; deep draft power intensive Roller chain from— ship berthing, logistics, and maintenance pier, Japan, 25515 25480–25481 Stainless steel plate from— Various countries, 25515–25516 Neighborhood Reinvestment Corporation NOTICES Justice Department Meetings; Sunshine Act, 25519 See Immigration and Naturalization Service See Prisons Bureau Nuclear Regulatory Commission NOTICES Labor Department Applications, hearings, determinations, etc.: See Mine Safety and Health Administration STP Nuclear Operating Co., 25519–25520 Texas Utilities Electric Co., 25520–25522 Land Management Bureau Texas Utilities Electric Co., et al., 25522–25525 NOTICES Closure of public lands: Office of United States Trade Representative Oregon, 25514 See Trade Representative, Office of United States Environmental statements; availability, etc.: Nevada; impacts of mining claims and millsite Prisons Bureau occupancies, 25514–25515 RULES Inmate control, custody, care, etc.: Mine Safety and Health Administration Visitor notification requirements, 25793–25795 NOTICES Safety standard petitions: Public Health Service Island Creek Coal Co. et al., 25517–25519 See Centers for Disease Control and Prevention See Food and Drug Administration National Aeronautics and Space Administration See Health Resources and Services Administration NOTICES Meetings: Rural Business-Cooperative Service Aero-space Technology Advisory Committee, 25519 NOTICES Agency information collection activities: National Institute of Standards and Technology Proposed collection; comment request, 25474–25475 NOTICES Meetings: Rural Utilities Service Malcolm Baldrige National Quality Awards— RULES Board of Overseers, 25478 Rural development: Panel of Judges, 25478 Distance learning and telemedicine loan and grant program; confirmation of effective date and National Oceanic and Atmospheric Administration correction, 25422–25423 RULES NOTICES Endangered and threatened species: Grants and cooperative agreements; availability, etc.: Sea turtle conservation; shrimp trawling requirements— Distance learning and telemedicine loan and grant Turtle excluder devices, 25460–25461 program, 25475–25476
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State Department Part III RULES Department of Interior, National Park Service, 25707–25723 Freedom of Information Act; implementation: National security information; classification, Part IV safeguarding, and declassification, 25430–25433 Department of Housing and Urban Development, 25725– Trade Representative, Office of United States 25733 NOTICES Meetings: Part V Trade Policy Staff Committee— Department of Housing and Urban Development, 25735– World Trade Organization; free trade area of the 25744 Americas; market access negotiations, etc.; public hearings and request for comments, 25525 Part VI Reports and guidance documents; availability, etc.: Department of Housing and Urban Development, 25745– Discrimination in foreign government procurement 25753 pursuant to Executive Order 13116, 25525–25529
Transportation Department Part VII See Coast Guard Department of Justice, 25755–25774 See Federal Aviation Administration See Federal Highway Administration Part VIII See Federal Railroad Administration NOTICES Department of Health and Human Services, 25775–25779 Meetings: Amtrak Reform Council, 25529–25530 Part IX Department of Health and Human Services, 25781–25784 Treasury Department See Comptroller of the Currency Part X Veterans Affairs Department Department of Housing and Urbam Development, 25785– NOTICES 25791 Meetings: Veterans’ Rehabilitation Advisory Committee, 25536– Part XI 25537 Department of Justice, Bureau of Prisons, 25793–25795
Separate Parts In This Issue Reader Aids Part II Consult the Reader Aids section at the end of this issue for Department of Transportation, Federal Railroad phone numbers, online resources, finding aids, reminders, Administration 25539–25705 and notice of recently enacted public laws.
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CFR PARTS AFFECTED IN THIS ISSUE
A cumulative list of the parts affected this month can be found in the Reader Aids section at the end of this issue.
7 CFR 989...... 25419 1703...... 25422 Proposed Rules: 29...... 25462 400...... 25464 8 CFR 3...... 25756 212...... 25756 240...... 25756 245...... 25756 274a...... 25756 299...... 25756 12 CFR 611...... 25423 620...... 25423 Proposed Rules: Ch.I ...... 25469 14 CFR 39 (2 documents) ...... 25424, 25426 21 CFR 178...... 25428 22 CFR 171...... 25430 24 CFR 5...... 25726 Proposed Rules: 761...... 25736 28 CFR 540...... 25794 32 CFR 706 (6 documents) ...... 25433, 25434, 25435, 25436, 25437 33 CFR 117...... 25438 36 CFR 62...... 25708 40 CFR 180 (3 documents) ...... 25439, 25448, 25451 42 CFR 405...... 25456 410...... 25456 413...... 25456 414...... 25456 415...... 25456 424...... 25456 485...... 25456 49 CFR 216...... 25540 223...... 25540 229...... 25540 231...... 25540 232...... 25540 238...... 25540 50 CFR 222...... 25460 223...... 25460 Proposed Rules: 648...... 25472
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Rules and Regulations Federal Register Vol. 64, No. 91
Wednesday, May 12, 1999
This section of the FEDERAL REGISTER and Vegetable Programs, AMS, USDA, any obligation imposed in connection contains regulatory documents having general 2202 Monterey Street, suite 102B, with the order is not in accordance with applicability and legal effect, most of which Fresno, California 93721; telephone: law and request a modification of the are keyed to and codified in the Code of (559) 487–5901, Fax: (559) 487–5906; or order or to be exempted therefrom. A Federal Regulations, which is published under George Kelhart, Technical Advisor, handler is afforded the opportunity for 50 titles pursuant to 44 U.S.C. 1510. Marketing Order Administration a hearing on the petition. After the The Code of Federal Regulations is sold by Branch, Fruit and Vegetable Programs, hearing, the Secretary would rule on the the Superintendent of Documents. Prices of AMS, USDA, room 2525–S, P.O. Box petition. The Act provides that the new books are listed in the first FEDERAL 96456, Washington, DC 20090–6456; district court of the United States in any REGISTER issue of each week. telephone: (202) 720–2491, or Fax: (202) district in which the handler is an 720–5698. Small businesses may request inhabitant, or has his or her principal information on complying with this place of business, has jurisdiction in DEPARTMENT OF AGRICULTURE regulation, or obtain a guide on equity to review the Secretary’s ruling complying with fruit, vegetable, and on the petition, provided an action is Agricultural Marketing Service specialty crop marketing agreements filed not later than 20 days after the date 7 CFR Part 989 and orders by contacting Jay Guerber, of the entry of the ruling. Marketing Order Administration This rule continues to increase the [Docket No. FV99±989±2 FIR] Branch, Fruit and Vegetable Programs, assessment rate established under the AMS, USDA, P.O. Box 96456, room order for the 1998–99 and subsequent Raisins Produced From Grapes Grown 2525–S, Washington, DC 20090–6456; crop years from $5.00 to $8.50 per ton in California; Increase in Assessment telephone (202) 720–2491, Fax: (202) of raisins acquired by handlers. Rate 720–5698, or E-mail: Authorization to assess raisin handlers AGENCY: Agricultural Marketing Service, [email protected]. You may view enables the Committee to incur USDA. the marketing agreement and order expenses that are reasonable and ACTION: Final rule. small business compliance guide at the necessary to administer the program. following web site: http:// The 1998–99 crop is smaller than SUMMARY: The Department of www.ams.usda.gov/fv/moab.html. initially estimated. Further, for this crop Agriculture (Department) is adopting, as SUPPLEMENTARY INFORMATION: This rule year, volume regulation has been a final rule, without change, the is issued under Marketing Agreement applied to only one minor varietal type provisions of an interim final rule and Order No. 989 (7 CFR part 989), of raisin. As a result, some expenses which increased the assessment rate both as amended, regulating the paid by assessments have increased. established under the Federal marketing handling of raisins produced from The $5.00 per ton rate of assessment order for California raisins (order) from grapes grown in California, hereinafter would not have generated enough $5.00 to $8.50 per ton for raisins referred to as the ‘‘order.’’ The order is revenue to cover expenses. This action acquired by handlers for the 1998–99 effective under the Agricultural was unanimously recommended by the and subsequent crop years. The order Marketing Agreement Act of 1937, as Committee at a meeting on January 15, regulates the handling of raisins amended (7 U.S.C. 601–674), hereinafter 1999. produced from grapes grown in referred to as the ‘‘Act.’’ Sections 989.79 and 989.80, California and is administered locally The Department is issuing this rule in respectively, of the Federal order for by the Raisin Administrative Committee conformance with Executive Order California raisins provide authority for (Committee). Authorization to assess 12866. the Committee, with the approval of the raisin handlers enables the Committee This rule has been reviewed under Department, to formulate an annual to incur expenses that are reasonable Executive Order 12988, Civil Justice budget of expenses and collect and necessary to administer the Reform. Under the marketing order now assessments from handlers to administer program. The crop year runs from in effect, California raisin handlers are the program. The members of the August 1 through July 31. The 1998–99 subject to assessments. It is intended Committee are producers and handlers crop is smaller than initially estimated. that the assessment rate as issued herein of California raisins. They are familiar Further, for this crop year, volume will apply to all assessable raisins with the Committee’s needs and with regulation has only been applied to one beginning August 1, 1998, the beginning the costs for goods and services in their minor varietal type of raisin. As a result, of the 1998–99 crop year, and continue local area and are thus in a position to some expenses paid by assessments in effect until amended, suspended, or formulate an appropriate budget and have increased. The $5.00 per ton terminated. This rule will not preempt assessment rate. The assessment rate is assessment rate would not have any State or local laws, regulations, or formulated and discussed in a public generated enough revenue to cover policies, unless they present an meeting. Thus, all directly affected expenses. The $8.50 per ton assessment irreconcilable conflict with this rule. persons have an opportunity to rate will remain in effect indefinitely The Act provides that administrative participate and provide input. unless modified, suspended, or proceedings must be exhausted before An assessment rate of $5.00 per ton terminated. parties may file suit in court. Under for raisins acquired by handlers had EFFECTIVE DATE: June 11, 1999. section 608c(15)(A) of the Act, any been in effect under the Federal order FOR FURTHER INFORMATION CONTACT: handler subject to an order may file since the 1996–97 crop year (61 FR Maureen T. Pello, Marketing Specialist, with the Secretary a petition stating that 52684; October 8, 1996). Regarding the California Marketing Field Office, Fruit the order, any provision of the order, or 1998–99 crop year, the Committee met
VerDate 06-MAY-99 18:41 May 11, 1999 Jkt 183247 PO 00000 Frm 00001 Fmt 4700 Sfmt 4700 E:\FR\FM\12MYR1.XXX pfrm07 PsN: 12MYR1 25420 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations on August 13, 1998, and recommended not warranted for Dipped Seedless, assessments now include $940,000 in administrative expenditures of Oleate and Related Seedless, and Other salaries; $408,000 for export program $1,655,000 for the year. Major Seedless raisins. administration; $200,000 for compliance administrative expenditures included The Committee met on January 15, activities; $150,000 for Committee $545,500 for export program 1999, to review crop conditions, its travel; and $140,000 for membership administration and related activities; financial situation, and various dues and surveys. $478,000 for salaries; and $100,000 for marketing order programs. The The Committee recommended compliance activities. These Committee reduced its production increasing its assessment rate from expenditures were approved by the estimate from 321,000 to 276,500 tons, $5.00 to $8.50 per ton of raisins Department on August 18, 1998. At that and reduced its estimate of assessable acquired by handlers. The $8.50 per ton time, the Committee estimated the crop tonnage from 333,000 to 315,000 tons. assessment rate when applied to at about 321,400 tons, and anticipated The Committee also determined that anticipated acquisitions of 315,000 tons that 333,000 tons of raisins would be volume regulation was not warranted will yield $2,677,500 in assessment acquired by handlers during the 1998– for Naturals and all other varietal types, income which will be adequate to cover 99 crop year (included about 59,800 but was warranted for Zantes, for the anticipated administrative expenses. tons of 1997 reserve raisins sold to 1998–99 crop year. This is the first time Authority for the Committee to handlers for free use). The $5.00 per ton in 16 years that volume regulation for recommend an increase in the assessment rate was expected to Naturals was not implemented. assessment rate during a crop year to generate $1,665,000 in revenue which With a smaller 1998 crop, reduced obtain sufficient funds to meet expenses would have allowed the Committee to estimate of assessable tonnage, and is provided in § 989.80(c) of the order. meet its administrative expenses. volume regulation only warranted for Any unexpended assessment funds from Section 989.79 of the order also Zantes, the Committee recommended the crop year are required to be credited provides authority for the Committee to revising its administrative and reserve or refunded to the handlers from whom formulate an annual budget of expenses pool budgets. The 1998 reserve pool collected, as provided in § 989.81(a) of likely to be incurred during the crop budget was reduced from $2,941,500 to the order. year in connection with reserve raisins $25,000 which should cover operating The assessment rate established in held for the account of the Committee. expenses for Zante reserve raisins. In this rule will continue in effect A certain percentage of each year’s addition, $975,000 initially budgeted for indefinitely unless modified, raisin crop may be held in a reserve 1998 reserve pool operating expenses suspended, or terminated by the pool during years when volume were applied to the existing 1997 Secretary upon recommendation and regulation is implemented to help Natural and Zante reserve pool budgets. information submitted by the stabilize raisin supplies and prices. The Included in the $975,000 is $683,000 Committee or other available remaining ‘‘free’’ percentage may be which is being utilized for export information. Although this assessment sold by handlers to any market. Reserve program administration. rate is effective for an indefinite period, raisins are disposed of through various The Committee also reviewed and the Committee will continue to meet programs authorized under the order. identified those expenses that were prior to or during each crop year to Reserve pool expenses are deducted considered reasonable and appropriate recommend a budget of expenses and from proceeds obtained from the sale of to continue the raisin marketing order consider recommendations for reserve raisins. Net proceeds are program, without a significant reserve modification of the assessment rate. The returned to the pool’s equity holders, pool. The expenses that were associated dates and times of Committee meetings primarily producers. with the initial reserve pool budget were are available from the Committee or the At its August 1998 meeting, the modified and adjusted as appropriate Department. Committee meetings are Committee recommended a 1998–99 and included in the administrative open to the public and interested reserve pool budget of $2,941,500. Major budget. For example, salaries, payroll persons may express their views at these pool expenses included $1,050,000 for taxes, retirement contributions, meetings. The Department will evaluate insurance and repair of bins for storing insurance, rent for office space, Committee recommendations and other reserve raisins; $545,500 for export telephone, and other administrative available information to determine program administration and related items are usually split between the whether modification of the assessment activities; $462,000 for salaries; and Committee’s administrative and reserve rate is needed. Further rulemaking will $235,000 for compliance activities. budgets. Although the 1998 crop is be undertaken as necessary. The Adverse crop conditions during the reduced, the Committee needs to Committee’s 1998–99 revised budget spring of 1998 created by the weather maintain its staff to administer the order and those for subsequent crop years will phenomenon known as El Nino, and ongoing export programs. be reviewed and, as appropriate, combined with scattered rain and a Many operating expenses were approved by the Department. labor shortage during harvest adjusted from the Committee’s initial Pursuant to requirements set forth in contributed to a smaller 1998–99 raisin administrative and reserve budgets, the Regulatory Flexibility Act (RFA), the crop than initially anticipated. Also, such as for overall compliance Agricultural Marketing Service (AMS) reserve pools were initially established ($335,000 to $200,000), overall auditing has considered the economic impact of in October 1998 for five of the nine fees ($35,000 to $10,000), overall this action on small entities. varietal types of raisins covered under printing ($20,000 to $17,000), and Accordingly, AMS has prepared this the order—Natural (sun-dried) Seedless overall Committee meetings ($24,000 to final regulatory flexibility analysis. (Naturals), Zante Currants (Zantes), $20,000). Ultimately, the Committee The purpose of the RFA is to fit Dipped Seedless, Oleate and Related recommended increasing its regulatory actions to the scale of Seedless, and Other Seedless—when the administrative expenses from business subject to such actions in order Committee computed and announced $1,665,000 to $2,677,500, which that small businesses will not be unduly preliminary free and reserve marketing included an additional $1,012,500 in or disproportionately burdened. percentages pursuant to § 989.54. In operating expenses initially associated Marketing orders issued pursuant to the November 1998, the Committee with the 1998 reserve budget. Major Act, and rules issued thereunder, are determined that volume regulation was expenses to be funded through handler unique in that they are brought about
VerDate 06-MAY-99 18:41 May 11, 1999 Jkt 183247 PO 00000 Frm 00002 Fmt 4700 Sfmt 4700 E:\FR\FM\12MYR1.XXX pfrm07 PsN: 12MYR1 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25421 through group action of essentially pool. Those expenses that were The Committee considered some small entities acting on their own associated with the initial reserve pool alternatives to the recommended action. behalf. Thus, both statutes have small budget were modified and adjusted as The Committee’s Audit Subcommittee entity orientation and compatibility. appropriate and included in the formed a working group which held a There are approximately 20 handlers administrative budget. For example, meeting on December 16, 1998, to of California raisins who are subject to salaries, payroll taxes, retirement discuss revisions to the budget. The regulation under the order and contributions, insurance, rent for office Audit Subcommittee held a follow-up approximately 4,500 raisin producers in space, telephone, and other meeting on January 6, 1999. Alternatives the regulated area. Small agricultural administrative items are usually split discussed at these meetings were based service firms have been defined by the between the Committee’s administrative on the assumption that no volume Small Business Administration (13 CFR and reserve budgets. Although the 1998 regulation would be in effect for any 121.601) as those having annual receipts crop is reduced, the Committee needs to varietal type of California raisins for the of less than $5,000,000, and small maintain its staff to administer the order remainder of the crop year. Accordingly, agricultural producers are defined as and ongoing export programs. Many one option considered was to have the those having annual receipts of less than operating expenses were adjusted from 1998 administrative budget absorb all of $500,000. No more than 7 handlers, and the Committee’s initial administrative the operating costs that are typically a majority of producers, of California and reserve budgets. These included split between the administrative and raisins may be classified as small adjustments for overall compliance reserve pool budgets, and increase the entities. Thirteen of the 20 handlers ($335,000 to $200,000), overall auditing assessment rate to $11.50 per ton of subject to regulation have annual sales fees ($35,000 to $10,000), overall raisins acquired to cover these costs. estimated to be at least $5,000,000, and printing ($20,000 to $17,000), and However, the majority of subcommittee the remaining 7 handlers have sales less overall Committee meetings ($24,000 to members determined that the increase than $5,000,000, excluding receipts $20,000). Ultimately, the Committee in expenses would be funded more from any other sources. recommended increasing its appropriately with 1998–99 handler This rule continues to increase the administrative expenses from assessments and proceeds from the assessment rate established under the $1,665,000 to $2,677,500, which anticipated 1998 reserve pool for Federal order for the 1998–99 and included an additional $1,012,500 in Zantes, and the existing 1997 reserve subsequent crop years, as specified in operating expenses initially associated pools for Naturals and Zantes, § 989.347, from $5.00 to $8.50 per ton of with the 1998 reserve budget. respectively. raisins acquired by handlers. The order The $8.50 per ton assessment rate, The working group and subcommittee regulates the handling of raisins when applied to anticipated members also considered various produced from grapes grown in acquisitions of 315,000 tons, will yield scenarios regarding the itemized California and is administered locally $2,677,500 in revenue and allow the expenses, estimate of assessable by the Committee. Authorization to Committee to meet expenses, which tonnage, and necessary assessment assess raisin handlers enables the include $940,000 for salaries; $408,000 income. Ultimately, the Committee Committee to incur expenses that are for export program administration; determined that volume regulation was reasonable and necessary to administer $200,000 for compliance activities; only warranted for Zantes, that the program. The 1998–99 crop is $150,000 for Committee travel; and administrative expenses should be smaller than initially estimated due to $140,000 for membership dues and increased to $2,677,500, that the adverse weather conditions and a labor surveys. Authority for the Committee to estimate of assessable tonnage should be shortage during harvest. Further, for this incur expenses, generate revenue by reduced from 333,000 to 315,000 tons, crop year, volume regulation has been assessing raisin handlers, and increase and that the assessment rate should be applied to only one minor varietal type the assessment rate during a crop year increased to $8.50 per ton of raisins of raisin. As a result, some expenses is provided in §§ 989.79 and 989.80 of acquired by handlers. paid by assessments have increased. the order, respectively. This rule imposes no additional The $5.00 per ton rate of assessment Regarding the impact of this rule on reporting or recordkeeping requirements would not have generated enough handlers and producers, while on either small or large raisin handlers. revenue to cover expenses. assessments impose some additional As with all Federal marketing order With a smaller crop, reduced estimate costs on handlers, the costs are minimal programs, reports and forms are of assessable tonnage, and volume and uniform on all handlers. Some of periodically reviewed to reduce regulation only warranted for Zantes, the additional costs may be passed on information requirements and the Committee recommended revising to producers. However, these costs are duplication by industry and public its administrative and reserve pool offset by the benefits derived by the sector agencies. Finally, the Department budgets. The 1998 reserve pool budget operation of the marketing order. With has not identified any relevant Federal was reduced from $2,941,500 to $25,000 the 1998–99 producer price for Naturals, rules that duplicate, overlap or conflict which should cover operating expenses the major raisin varietal type covered with this rule. for Zante Currant reserve raisins. In under the order, averaging $1,290 per In addition, the Committee’s working addition, $975,000 initially budgeted for ton of raisins acquired, estimated group meeting on December 16, 1998, 1998 reserve pool operating expenses assessment revenue for the 1998–99 subcommittee meeting on January 6, were applied to the existing 1997 crop year as a percentage of total 1999, and the Committee meeting on Natural and Zante reserve pool budgets. producer revenue is expected to be less January 15, 1999, where this action was Included in the $975,000 is $683,000 than 1 percent. The increased deliberated were public meetings which is being utilized for export assessment rate allows the Committee to widely publicized throughout the raisin program administration. meet its expenses and continue program industry. All interested persons were The Committee also reviewed and operations. Any unexpended invited to attend the meetings and identified those expenses that were assessment funds from the crop year are participate in the industry’s considered reasonable and appropriate required to be credited or refunded to deliberations. to continue the raisin marketing order the handlers from whom collected, as An interim final rule concerning this program, without a significant reserve provided in § 989.81(a) of the order. action was published in the Federal
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Register on February 24, 1999 (64 FR corrections and correcting amendments, § 1703.123 [Corrected] 9053). Copies of the rule were mailed to are effective on May 10, 1999. 5. On page 14361, in the second all Committee members and alternates, FOR FURTHER INFORMATION CONTACT: column, in § 1703.123, paragraph the Raisin Bargaining Association, Roberta D. Purcell, Assistant (a)(13), line 2, ‘‘§ 1703.105’’ is corrected handlers, and dehydrators. In addition, Administrator, Telecommunications to read ‘‘§ 1703.121’’. the rule was made available through the Program, Rural Utilities Service, STOP 6. On page 14361, in the second Internet by the Office of the Federal 1590, 1400 Independence Avenue, SW., column, in § 1703.123, paragraph Register. That rule provided for a 60-day Washington, DC 20250–1590, (a)(14), line 2, ‘‘§ 1703.105’’ is corrected comment period which ended April 26, Telephone (202) 720–9554, Facsimile to read ‘‘§ 1703.121’’. 1999. No comments were received. (202) 720–0810. § 1703.126 [Corrected] After consideration of all relevant SUPPLEMENTARY INFORMATION: material presented, including the 7. On page 14363, in the first column, Committee’s recommendation, and Confirmation of Effective Date in § 1703.126, paragraph (a), line 7, other information, it is found that this This is to confirm the effective date of ‘‘paragraph (a)(2)’’ is corrected to read rule, as hereinafter set forth, will tend the direct final rule, 7 CFR Part 1703, ‘‘paragraph (b)(2)(iv)’’. to effectuate the declared policy of the Distance Learning and Telemedicine § 1703.127 [Corrected] Act. Loan and Grant Program, published March 25, 1999, at 64 FR 14401, and is 8. On page 14365, in the first column, List of Subjects in 7 CFR Part 989 to advise that RUS did not receive any in § 1703.127, paragraph (c)(1), line 4, Grapes, Marketing agreements, written adverse comments and no ‘‘§ 1703.115(e)(1)’’ is corrected to read Raisins, Reporting and recordkeeping written notice of intent to submit ‘‘§ 1703.125(e)(1)’’. requirements. adverse comments on this rule. 9. On page 14365, in the second column, in § 1703.127, paragraph (c)(3), PART 989ÐRAISINS PRODUCED Need for Correction beginning in line 4, the words ‘‘in FROM GRAPES GROWN IN As published, the direct final rule accordance of § 1703.125(e).’’ are CALIFORNIA contains errors and information that corrected to read ‘‘in accordance with may be misleading and is in need of § 1703.125(e).’’. Accordingly, the interim final rule modification. amending 7 CFR part 989 which was § 1703.134 [Corrected] published at 64 FR 9053 on February 24, List of Subjects in 7 CFR Part 1703 10. On page 14368, in the second 1999, is adopted as a final rule without Community development, Grants column, in § 1703.134, paragraph (l), change. programs-education, Grant programs- beginning in line 2, the words ‘‘any Dated: May 5, 1999. health care, Grant programs-housing additional RUS may’’ are corrected to and community development, Loan Robert C. Keeney, read ‘‘any additional information RUS programs-education, Loan programs- may’’. Deputy Administrator, Fruit and Vegetable health care. Loan programs-housing and Programs. community development, Reporting and § 1703.144 [Corrected] [FR Doc. 99–11977 Filed 5–11–99; 8:45 am] recordkeeping requirements, Rural 11. On page 14371, in the first BILLING CODE 3410±02±P areas. column, in § 1703.144, paragraph (c)(4), I. Accordingly, FR Doc. 99–6995, RUS beginning in line 2, the words ‘‘for both direct final rule, published on March 25, the combination loan and grant and’’ are DEPARTMENT OF AGRICULTURE 1999, at 64 FR 14355, is corrected as corrected to read ‘‘for the loan and’’. Rural Utilities Service follows: 12. On page 14371, in the second § 1703.103 [Corrected] column, in § 1703.144, paragraph (d)(2), 7 CFR Part 1703 line 9, remove the word ‘‘for’’. 1. On page 14359, in the first column, 13. On page 14371, in the second Distance Learning and Telemedicine in § 1703.103, paragraph (a)(3), column, in § 1703.144, paragraph (d)(3), Loan and Grant Program; Confirmation beginning in line 10, the words the second sentence is corrected to read ‘‘distance learning or telemedicine of Effective Date, Corrections, and ‘‘Those assets for which a loan is being grant’’ are corrected to read ‘‘financial Correcting Amendments requested should be clearly indicated.’’ assistance’’. 14. On page 14371, in the third AGENCY: Rural Utilities Service, USDA. § 1703.105 [Corrected] column, in § 1703.144, paragraph (f)(2), ACTION: Direct final rule; Confirmation 2. On page 14359, in the second beginning in line 16, the words ‘‘fund of effective date, corrections, and column, in § 1703.105, paragraph (c), using a combination loan and grant.’’ correcting amendments. line 12, the word ‘‘eminent’’ is corrected are corrected to read ‘‘fund using a loan.’’. SUMMARY: The Rural Utilities Service to read ‘‘imminent’’. 3. On page 14359, in the third 15. On page 14371, in the third (RUS) hereby gives notice that no column, in § 1703.105, paragraph (e)(6), column, in § 1703.144, paragraph (f)(4), adverse comments were received beginning with line 2, the words ‘‘DLT line 4, ‘‘§ 1703.131(h).’’ is corrected to regarding the direct final rule on the borrower’’ are corrected to read ‘‘DLT read ‘‘§ 1703.141(h).’’. Distance Learning and Telemedicine recipient’’ and in line 5 the word Loan and Grant Program, published in § 1703.145 [Corrected] ‘‘borrower’’ is corrected to read the Federal Register, March 25, 1999, at ‘‘recipient’’. 16. On page 14372, in the second 64 FR 14401 and confirms the effective column, in § 1703.145, paragraph (b), date of the direct final rule. In addition, § 1703.108 [Corrected] beginning in line 12, the words ‘‘total this document is making corrections 4. On page 14360, in the second loan and grant funding available for the and correcting amendments to this rule. column, in § 1703.108, paragraph (a), fiscal year.’’ are corrected to read ‘‘total DATES: The direct final rule, which line 4, the word ‘‘preceding’’ is loan funding available for the fiscal published at 64 FR 14401, and the corrected to read ‘‘following’’. year.’’.
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II. Title 7 CFR part 1703 is corrected (6) E.O.s 12549 and 12689, Debarment (5) Drug-Free Workplace Act of 1998 by making the following correcting and Suspension; (41 U.S.C. 701); amendments: (7) Byrd Anti-Lobbying Amendment (6) E.O.s 12549 and 12689, Debarment (31 U.S.C. 1352). and Suspension; PART 1703ÐRURAL DEVELOPMENT * * * * * (7) Byrd Anti-Lobbying Amendment 17. The authority citation for part 21. § 1703.140 is amended by revising (31 U.S.C. 1352). 1703 continues to read as follows: the first sentence of the introductory * * * * * paragraph to read as follows: Authority: 7 U.S.C. 901 et seq. and 950aaa Dated: May 6, 1999. et seq. § 1703.140 Completed application. Wally Beyer, 18. § 1703.123 is amended by revising A loan may be used by eligible Administrator, Rural Utilities Service. paragraph (a)(5) to read as follows: organizations as defined in § 1703.103 [FR Doc. 99–11855 Filed 5–11–99; 8:45 am] for distance learning and telemedicine BILLING CODE 3410±15±P § 1703.123 Nonapproval purposes for projects to finance 100 percent of the grants. cost of approved purposes contained in (a) * * * § 1703.141 provided that no financial FARM CREDIT ADMINISTRATION (5) To purchase equipment that will assistance may exceed the maximum be owned by the local exchange carrier amount for the year in which the loan 12 CFR Parts 611 and 620 or another telecommunications service is made. * * * provider unless that service provider is * * * * * RIN 3052±AB79 the applicant. 22. § 1703.141 is amended by revising Organization; Disclosure to * * * * * the first sentence of paragraph (i) to read Shareholders; FCS Board 19. § 1703.125 is amended by adding as follows: Compensation Limits; Effective Date paragraph (b)(9) and by revising § 1703.141 Approved purposes for loans. paragraphs (i)(1) through (i)(7) and by AGENCY: Farm Credit Administration. * * * * * removing paragraphs (i)(8) through ACTION: Notice of effective date. (i)(11) to read as follows: (i) Any project costs, except for salaries and administrative expenses, SUMMARY: The Farm Credit § 1703.125 Completed application. not included in paragraphs (a) through Administration (FCA) published a final * * * * * (h) of this section, incurred during the rule under parts 611 and 620 on April (b) * * * first two years of operation after the 6, 1999 (64 FR 16617). The final rule (9) A listing of the location of each financial assistance has been approved. amends the regulations Farm Credit end user site (city, town, village, *** System (FCS) bank director borough, or rural areas) plus the State. * * * * * compensation. The amendment removes * * * * * 23. § 1703.142 is amended by revising the requirement for FCS banks to obtain (i) * * * paragraphs (a) and (b)(4), and by our prior approval before paying their (1) E.O. 11246, Equal Employment addding paragraph (b)(5) to read as directors more than the generally Opportunity, as amended by E.O. 11375 follows: applicable limit. In accordance with 12 and as supplemented by regulations § 1703.142 Nonapproved purposes for U.S.C. 2252, the effective date of the contained in 41 CFR part 60; loan. final rule is 30 days from the date of (2) Architectural barriers; (a) Loans made under this subpart publication in the Federal Register (3) Flood hazard area precautions; will not be provided to pay the costs of during which either or both Houses of (4) Assistance and Real Property recurring or operating expenses Congress are in session. Based on the Acquisition Policies Act of 1970; incurred after two years from approval records of the sessions of Congress, the (5) Drug-Free Workplace Act of 1998 of the project except for leases (see effective date of the regulations is May (41 U.S.C. 701); § 1703.141). 11, 1999. (6) E.O.s 12549 and 12689, Debarment (b) * * * EFFECTIVE DATE: The regulation and Suspension; (4) To pay for salaries, wages, or amending 12 CFR parts 611 and 620 (7) Byrd Anti-Lobbying Amendment administrative expenses; or published on April 6, 1999 (64 FR (31 U.S.C. 1352). (5) For any purpose that the 16617) is effective May 11, 1999. * * * * * Administrator has not specifically FOR FURTHER INFORMATION CONTACT: 20. § 1703.134 is amended by revising approved. paragraphs (g)(1) through (g)(7) by Alan Markowitz, Senior Policy Analyst, * * * * * Office of Policy and Analysis, Farm removing paragraphs (g)(8) through 24. § 1703.144 is amended by revising Credit Administration, McLean, VA (g)(11) to read as follows: paragraphs (g)(1) through (g)(7) and by 22102–5090, (703) 883–4479; removing paragraphs (g)(8) through § 1703.134 Completed application. or (g)(10) to read as follows: * * * * * Rebecca S. Orlich, Senior Attorney, (g) * * * § 1703.144 Completed application. Office of General Counsel, Farm (1) E.O. 11246, Equal Employment * * * * * Credit Administration, McLean, VA Opportunity, as amended by E.O. 11375 (g) * * * 22102–5090, (703) 883–4020, TDD and as supplemented by regulations (1) E.O. 11246, Equal Employment (703) 883–4444. contained in 41 CFR part 60; Opportunity, as amended by E.O. 11375 (12 U.S.C. 2252(a)(9) and (10)) (2) Architectural barriers; and as supplemented by regulations Dated: May 6, 1999. (3) Flood hazard area precautions; contained in 41 CFR part 60; (4) Assistance and Real Property (2) Architectural barriers; Vivian L. Portis, Acquisition Policies Act of 1970; (3) Flood hazard area precautions; Secretary, Farm Credit Administration Board. (5) Drug-Free Workplace Act of 1998 (4) Assistance and Real Property [FR Doc. 99–11896 Filed 5–11–99; 8:45 am] (41 U.S.C. 701); Acquisition Policies Act of 1970; BILLING CODE 6705±01±P
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DEPARTMENT OF TRANSPORTATION Renton, Washington; or at the Office of adequately prevent corrosion and the Federal Register, 800 North Capitol subsequent cracking of the clevis area. Federal Aviation Administration Street, NW., suite 700, Washington, DC. Therefore, the FAA finds that, to ensure FOR FURTHER INFORMATION CONTACT: Rick the continued safety of the fleet, it is 14 CFR Part 39 Kawaguchi, Aerospace Engineer, necessary to require that repetitive [Docket No. 99±NM±68±AD; Amendment Airframe Branch, ANM–120S, FAA, inspections to detect cracks and 39±11165; AD 99±10±12] Transport Airplane Directorate, Seattle corrosion in the actuator beam arm clevis must be performed on all affected RIN 2120±AA64 Aircraft Certification Office, 1601 Lind Avenue, SW., Renton, Washington airplanes, including those on which the Airworthiness Directives; Boeing 98055–4056; telephone (425) 227–1153; rework or replacement has been Model 737±100, ±200, ±300, ±400, and fax (425) 227–1181. accomplished. Paragraph B. of AD 91– 05–16, which provided for optional ±500 Series Airplanes SUPPLEMENTARY INFORMATION: On terminating action for the repetitive February 13, 1991, the FAA issued AD AGENCY: Federal Aviation inspections, has not been included in 91–05–16, amendment 39–6913 (56 FR Administration, DOT. this AD. 7561, February 25, 1991), applicable to In addition, AD 91–05–16 requires a ACTION: Final rule; request for certain Boeing Model 737–100, –200, comments. one-time inspection of the actuator –300, –400, and –500 series airplanes. beam attach bolts. However, there have SUMMARY: This amendment supersedes That AD requires repetitive visual and been no known reports of bolt fractures an existing airworthiness directive (AD), ultrasonic inspections of the main since the effective date of AD 91–05–16. applicable to certain Boeing Model 737– landing gear (MLG) actuator beam arms Therefore, the FAA has determined that 100, –200, –300, –400, and –500 series and actuator beam attach bolts for further inspection of those bolts is airplanes, that currently requires cracking, plating degradation, and unnecessary, and the corresponding repetitive inspections to detect cracking, corrosion; and rework or replacement, if requirement of AD 91–05–16 (paragraph plating degradation, and corrosion of necessary. The existing AD also A.2.) has not been included in this AD. the main landing gear (MLG) actuator provides for optional terminating action The inspection requirements of this AD beam arms and actuator beam attach for the repetitive inspections. That are limited to the actuator beam arm bolts; and rework or replacement, if action was prompted by reports of clevis. necessary. The existing AD also failure of the actuator beam arm and Furthermore, the FAA finds it provides for optional terminating action trunnion pin due to corrosion. The necessary to expand the applicability of for the repetitive inspections. This actions required by that AD are this AD to include additional airplanes. amendment removes the requirement to intended to prevent structural damage The applicability of AD 91–05–16 inspect the actuator beam attach bolts, and severing of control cables and currently excludes in-production Model expands the applicability of the existing hydraulic tubing in this area, which 737 series airplanes. However, the AD to include additional airplanes, and could result in reduced controllability design change for incorporation on in- removes the optional terminating action. of the airplane. production airplanes can produce the This amendment is prompted by reports Actions Since Issuance of Previous Rule same result as that of the preventive of cracked MLG actuator beam arms. modification (rework) specified by Since the issuance of that AD, the The actions specified in this AD are Boeing Alert Service Bulletin 737– FAA has received reports of cracking of intended to detect and correct corrosion 32A1224, Revision 1, dated April 12, an actuator beam arm on the MLG on and cracking of the MLG actuator beam 1990 which has been shown to be three Boeing Model 737–300 series arm, which could result in damage to ineffective in preventing the unsafe airplanes. Two operators reported the control cables for the aileron and condition. (That alert service bulletin is damage to the landing gear, wing spoiler and consequent reduced referenced as the appropriate source of structure, fluid lines, and aileron and controllability of the airplane. service information in AD 91–05–16 for spoiler control cables; the damage has accomplishment of the rework.) DATES: Effective May 27, 1999. been attributed to fractures of the MLG Therefore, the applicability of this AD The incorporation by reference of actuator beam arm. One of those includes all Model 737–100,–200, –300, certain publications listed in the operators subsequently conducted a –400, and –500 series airplanes. regulations is approved by the Director fleet-wide inspection and found a of the Federal Register as of May 27, cracked actuator beam arm on another Explanation of Relevant Service 1999. airplane. The beam arm fractures Information Comments for inclusion in the Rules originated from corrosion pits in the The FAA has reviewed and approved Docket must be received on or before actuator beam arm clevis. All three Boeing Service Bulletin 737–32A1224, July 12, 1999. fractured actuator beam arms had been Revision 2, dated April 25, 1991. The ADDRESSES: Submit comments in reworked in accordance with AD 91– content of Revision 2 is similar to that triplicate to the Federal Aviation 05–16. In one case, the fracture occurred of Revision 1, which was cited as the Administration (FAA), Transport 7 years (at approximately 13,500 flight appropriate source of service Airplane Directorate, ANM–114, cycles) after completion of the information for accomplishment of the Attention: Rules Docket No. 99–NM– terminating action in compliance with requirements of AD 91–05–16. Revision 68–AD, 1601 Lind Avenue, SW., that AD. 2 was issued to clarify the actions and Renton, Washington 98055–4056. to revise the effectivity for various FAA’s Conclusions The service information referenced in actions. this AD may be obtained from Boeing The FAA has determined that rework The FAA also has reviewed and Commercial Airplane Group, P.O. Box or replacement of the actuator beam approved Boeing Alert Service Bulletin 3707, Seattle, Washington 98124–2207. arm, which AD 91–05–16 provides as 737–32A1314, dated April 15, 1999, This information may be examined at either optional corrective action or which describes procedures for the FAA, Transport Airplane optional terminating action for the repetitive inspections of the clevis on Directorate, 1601 Lind Avenue, SW., repetitive inspections, does not certain actuator beam arm assemblies;
VerDate 06-MAY-99 18:41 May 11, 1999 Jkt 183247 PO 00000 Frm 00006 Fmt 4700 Sfmt 4700 E:\FR\FM\12MYR1.XXX pfrm07 PsN: 12MYR1 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25425 the inspections include a visual and 90 days, respectively. The unsafe Regulatory Impact inspection to detect corrosion and an condition identified by this AD is The regulations adopted herein will ultrasonic inspection to detect cracking. caused by corrosion, which is a function not have substantial direct effects on the The alert service bulletin also describes of time rather than accumulated flight States, on the relationship between the procedures for replacement of any beam cycles. national government and the States, or arm having a cracked or corroded clevis Interim Action on the distribution of power and with a new actuator beam arm. responsibilities among the various The note in Figure 1 of Boeing Alert This is considered to be interim levels of government. Therefore, in Service Bulletin 737–32A1314 action until final action is identified, at accordance with Executive Order 12612, references Temporary Revision (TR) 04– which time the FAA may consider it is determined that this final rule does 14 to the 737 Nondestructive Test (NDT) further rulemaking. not have sufficient federalism Manual. That note states that the TR implications to warrant the preparation would be issued prior to May 14, 1999; Determination of Rule’s Effective Date of a Federalism Assessment. in fact, the manufacturer released that Since a situation exists that requires The FAA has determined that this TR by telegraphic release on April 26, the immediate adoption of this regulation is an emergency regulation 1999. The TR contains new information regulation, it is found that notice and that must be issued immediately to that is needed to perform ultrasonic opportunity for prior public comment correct an unsafe condition in aircraft, inspections for airplanes having certain hereon are impracticable, and that good and that it is not a ‘‘significant actuator beam arm assemblies. cause exists for making this amendment regulatory action’’ under Executive Specifically, the TR provides effective in less than 30 days. Order 12866. It has been determined instructions for procuring or fabricating further that this action involves an NDT transducers that are needed to Comments Invited emergency regulation under DOT accomplish the inspections for those Regulatory Policies and Procedures (44 certain airplanes. Although this action is in the form of a final rule that involves requirements FR 11034, February 26, 1979). If it is Explanation of Requirements of Rule affecting flight safety and, thus, was not determined that this emergency Since an unsafe condition has been preceded by notice and an opportunity regulation otherwise would be identified that is likely to exist or for public comment, comments are significant under DOT Regulatory develop on other airplanes of this same invited on this rule. Interested persons Policies and Procedures, a final type design, this AD supersedes AD 91– are invited to comment on this rule by regulatory evaluation will be prepared 05–16 to continue to require repetitive submitting such written data, views, or and placed in the Rules Docket. A copy inspections to detect cracking of the arguments as they may desire. of it, if filed, may be obtained from the Rules Docket at the location provided actuator beam arm clevis of the MLG, Communications shall identify the under the caption ADDRESSES. and rework or replacement, if necessary. Rules Docket number and be submitted These actions are required to be in triplicate to the address specified List of Subjects in 14 CFR Part 39 accomplished in accordance with under the caption ADDRESSES. All Air transportation, Aircraft, Aviation Boeing Alert Service Bulletin 737– communications received on or before safety, Incorporation by reference, 32A1224, Revision 1, or Boeing Service the closing date for comments will be Safety. Bulletin 737–32A1224, Revision 2. considered, and this rule may be This AD adds repetitive detailed amended in light of the comments Adoption of the Amendment visual inspections to detect corrosion received. Factual information that Accordingly, pursuant to the and repetitive ultrasonic inspections to supports the commenter’s ideas and authority delegated to me by the detect cracking of the actuator beam arm suggestions is extremely helpful in Administrator, the Federal Aviation clevis; these actions terminate the evaluating the effectiveness of the AD Administration amends part 39 of the repetitive inspections described in action and determining whether Federal Aviation Regulations (14 CFR Boeing Alert Service bulletin 737– additional rulemaking action would be part 39) as follows: 32A1224, Revision 1, or Boeing Service needed. Bulletin 737–32A1224, Revision 2. Comments are specifically invited on PART 39ÐAIRWORTHINESS These inspections are required to be the overall regulatory, economic, DIRECTIVES accomplished in accordance with environmental, and energy aspects of Boeing Alert Service Bulletin 737– 1. The authority citation for part 39 the rule that might suggest a need to 32A1314. continues to read as follows: modify the rule. All comments For airplanes on which any corrosion Authority: 49 U.S.C. 106(g), 40113, 44701. or cracking is found during any of the submitted will be available, both before newly added inspections, this AD and after the closing date for comments, § 39.13 [Amended] requires replacement of the actuator in the Rules Docket for examination by 2. Section 39.13 is amended by beam arm with a new actuator beam arm interested persons. A report that removing amendment 39–6913 (56 FR in accordance with Boeing Alert Service summarizes each FAA-public contact 7561, February 25, 1991), and by adding Bulletin 737–32A1314. concerned with the substance of this AD a new airworthiness directive (AD), will be filed in the Rules Docket. amendment 39–11165, to read as Difference Between the Rule and the Commenters wishing the FAA to follows: Relevant Service Information acknowledge receipt of their comments 99–10–12 Boeing: Amendment 39–11165. Operators should note that Alert submitted in response to this rule must Docket 99–NM–68–AD. Supersedes AD Service Bulletin 737–32A1314 specifies submit a self-addressed, stamped 91–05–16, Amendment 39–6913. compliance in terms of either years or postcard on which the following Applicability: All Model 737–100, –200, flight cycles. However, the threshold statement is made: ‘‘Comments to –300, –400, and –500 series airplanes; and repetitive interval required by Docket Number 99–NM–68AD.’’ The certificated in any category. paragraph (b) of this AD are specified in postcard will be date stamped and Note 1: This AD applies to each airplane terms of calendar time only; i.e., 4 years returned to the commenter. identified in the preceding applicability
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Acting Manager, Transport Airplane Directorate, Aircraft Certification Service. alternative method of compliance in Note 2: The Note in Figure 1 of Boeing accordance with paragraph (d) of this AD. Alert Service Bulletin 737–32A1314 contains [FR Doc. 99–11784 Filed 5–11–99; 8:45 am] The request should include an assessment of a reference to Temporary Revision (TR) 04– BILLING CODE 4910±13±U the effect of the modification, alteration, or 14 to the 737 Nondestructive Test Manual repair on the unsafe condition addressed by (NDT). The TR was issued April 26, 1999, by this AD; and, if the unsafe condition has not telegraphic release. The TR provides DEPARTMENT OF TRANSPORTATION been eliminated, the request should include instructions for procuring or fabricating NDT specific proposed actions to address it. transducers needed to accomplish ultrasonic Federal Aviation Administration Compliance: Required as indicated, unless inspections on airplanes having certain accomplished previously. actuator beam arm assemblies. Incorporation 14 CFR Part 39 To detect and correct corrosion and of the TR into the general revisions of the cracking of the actuator beam arm of the NDT is acceptable, provided that the [Docket No. 99±NM±97±AD; Amendment main landing gear (MLG), which could result information contained in the general 39±11166; AD 99±10±13] in damage to the control cables of the aileron revisions is identical to that specified in the RIN 2120±AA64 and spoiler and consequent reduced TR. controllability of the airplane, accomplish Corrective Actions Airworthiness Directives; Boeing the following: (c) If any corrosion or cracking is detected Model 737±300, ±400, ±500, ±600, ±700, Restatement of the Requirements of AD 91– during any inspection required by paragraph and ±800 Series Airplanes Equipped 05–16, Amendment 39–6913 (b) of this AD, prior to further flight, replace with Vickers Combined Stabilizer Trim (a) For airplanes listed in Boeing Alert the actuator beam arm with a new actuator Motors Service Bulletin 737–32A1224, Revision 1, beam arm in accordance with Boeing Alert Service Bulletin 737–32A1314, dated April AGENCY: Federal Aviation dated April 12, 1990: Prior to the Administration, DOT. accumulation of 10,000 landings or 4 years 15, 1999. Repeat the inspections required by paragraph (b) of this AD within 4 years after of service, after new or overhauled MLG ACTION: Final rule; request for accomplishment of the replacement, and installation, whichever occurs first, or within comments. thereafter at intervals not to exceed 90 days. the next 600 landings after April 1, 1991 (the effective date of AD 91–05–16, amendment Alternative Methods of Compliance SUMMARY: This amendment adopts a new airworthiness directive (AD) that is 39–6913), whichever occurs later, perform (d) An alternative method of compliance or visual and ultrasonic inspections of the adjustment of the compliance time that applicable to certain Boeing Model 737 actuator beam arm clevis for evidence of provides an acceptable level of safety may be series airplanes. This action requires cracking, in accordance with Boeing Alert used if approved by the Manager, Seattle repetitive inspections and functional Service Bulletin 737–32A1224, Revision 1, Aircraft Certification Office (ACO). Operators tests of a trailing edge flap limit switch dated April 12, 1990, or Revision 2, dated shall submit their requests through an to verify proper operation, and April 25, 1991. appropriate FAA Principal Maintenance replacement of the existing limit switch (1) If cracks are found, prior to further Inspector, who may add comments and then flight, remove and rework, or replace, the with a new limit switch, if necessary. send it to the Manager, Seattle ACO. This AD also requires modification of actuator beam arm in accordance with the Note 3: Information concerning the service bulletin. the stabilizer control system, which existence of approved alternative methods of constitutes terminating action for the (2) If no cracks are found, repeat the compliance with this AD, if any, may be ultrasonic inspections in accordance with the obtained from the Seattle ACO. repetitive inspections and tests. This service bulletin, at intervals not to exceed amendment is prompted by reports of 600 landings, until the initial inspection Special Flight Permits uncommanded stabilizer trim motion required by paragraph (b) of this AD has been (e) Special flight permits may be issued in due to failure of the trailing edge flap accomplished. accordance with sections 21.197 and 21.199 limit switch. The actions specified in New Requirements of this AD of the Federal Aviation Regulations (14 CFR this AD are intended to prevent such 21.197 and 21.199) to operate the airplane to failure, which could result in (b) Inspect the actuator beam arm clevis, by a location where the requirements of this AD performing a detailed visual inspection to can be accomplished. uncommanded (nose down) stabilizer detect corrosion and an ultrasonic inspection trim motion and consequent reduced to detect cracking, at the latest of the times Incorporation by Reference controllability of the airplane. specified in paragraphs (b)(1), (b)(2), (b)(3), (f) The actions shall be done in accordance DATES: Effective May 27, 1999. and (b)(4) of this AD; in accordance with with Boeing Alert Service Bulletin 737– The incorporation by reference of Boeing Alert Service Bulletin 737–32A1314, 32A1224, Revision 1, dated April 12, 1990; certain publications listed in the dated April 15, 1999. Accomplishment of Boeing Service Bulletin 737–32A1224, regulations is approved by the Director these inspections constitutes terminating Revision 2, dated April 25, 1991; or Boeing action for the requirements of paragraph (a) Alert Service Bulletin 737–32A1314, dated of the Federal Register as of May 27, of this AD. Repeat the inspections specified April 15, 1999; as applicable. This 1999. by paragraph (b) of this AD thereafter at incorporation by reference was approved by Comments for inclusion in the Rules intervals not to exceed 90 days. the Director of the Federal Register in Docket must be received on or before (1) Inspect within 4 years since date of accordance with 5 U.S.C. 552(a) and 1 CFR July 12, 1999. manufacture or installation of new landing part 51. Copies may be obtained from Boeing ADDRESSES: Submit comments in gear. Commercial Airplane Group, P.O. Box 3707, triplicate to the Federal Aviation (2) Inspect within 4 years since the most Seattle, Washington 98124–2207. Copies may Administration (FAA), Transport recent landing gear overhaul. be inspected at the FAA, Transport Airplane (3) Inspect within 4 years since Directorate, 1601 Lind Avenue, SW., Renton, Airplane Directorate, ANM–114, accomplishment of the replacement of the Washington; or at the Office of the Federal Attention: Rules Docket No. 99–NM– actuator beam arm clevis performed in Register, 800 North Capitol Street, NW., suite 97–AD, 1601 Lind Avenue, SW., accordance with the alert service bulletin, or 700, Washington, DC. Renton, Washington 98055–4056.
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The service information referenced in reduced controllability of the airplane. Rules Docket number and be submitted this AD may be obtained from Boeing This AD requires accomplishment of the in triplicate to the address specified Commercial Airplane Group, P.O. Box actions specified in the alert service under the caption ADDRESSES. All 3707, Seattle, Washington 98124–2207. bulletins described previously. This AD communications received on or before This information may be examined at also requires that operators submit a the closing date for comments will be the FAA, Transport Airplane report of findings of malfunctioning to considered, and this rule may be Directorate, 1601 Lind Avenue, SW., the FAA. amended in light of the comments Renton, Washington; or at the Office of Additionally, this AD requires received. Factual information that the Federal Register, 800 North Capitol modification of the stabilizer control supports the commenter’s ideas and Street, NW., suite 700, Washington, DC. system, which constitutes terminating suggestions is extremely helpful in FOR FURTHER INFORMATION CONTACT: R.C. action for the repetitive inspections and evaluating the effectiveness of the AD Jones, Aerospace Engineer, Systems and tests required by this AD. action and determining whether additional rulemaking action would be Equipment Branch, ANM–130S, FAA, Interim Action Transport Airplane Directorate, Seattle needed. Aircraft Certification Office, 1601 Lind This is considered to be interim Comments are specifically invited on Avenue, SW., Renton, Washington action until final action is identified, at the overall regulatory, economic, 98055–4056; telephone (425) 227–1118; which time the FAA may consider environmental, and energy aspects of fax (425) 227–1181. further rulemaking. the rule that might suggest a need to modify the rule. All comments Differences Between This AD and Alert submitted will be available, both before Service Bulletins SUPPLEMENTARY INFORMATION: The FAA and after the closing date for comments, has received reports of several incidents Operators should note that, although in the Rules Docket for examination by of uncommanded nose down stabilizer the alert service bulletins do not specify interested persons. A report that trim motion on certain Boeing Model procedures for terminating action for the summarizes each FAA-public contact 737 series airplanes having Vickers type repetitive inspections and tests, this AD concerned with the substance of this AD combined manual-autopilot stabilizer mandates, within 3 months, will be filed in the Rules Docket. trim motors (STM). Investigation incorporation of an improved design of Commenters wishing the FAA to revealed the cause as a single point the stabilizer control system as acknowledge receipt of their comments failure in the stabilizer control system, terminating action for the repetitive submitted in response to this rule must in conjunction with a design deficiency inspections and tests. submit a self-addressed, stamped in the STM. Analysis of the S245 The FAA has determined that long- postcard on which the following trailing edge flap limit switch of the term continued operational safety will statement is made: ‘‘Comments to stabilizer control system revealed that be better assured by design changes to Docket Number 99–NM–97–AD.’’ The the switch had failed due to moisture remove the source of the problem, rather postcard will be date stamped and penetration into the switch contacts, than by repetitive inspections and tests. returned to the commenter. resulting in corrosion and an electrical Long-term inspections and tests may not Regulatory Impact short circuit. This short circuit caused be providing the degree of safety an erroneously energized STM and assurance necessary for the transport The regulations adopted herein will subsequent uncommanded stabilizer airplane fleet. This, coupled with a not have substantial direct effects on the trim motion in the airplane nose down better understanding of the human States, on the relationship between the direction. This condition, if not factors associated with numerous national government and the States, or corrected, could result in reduced continual inspections, has led the FAA on the distribution of power and controllability of the airplane. to consider placing less emphasis on responsibilities among the various inspections and more emphasis on levels of government. Therefore, in Explanation of Relevant Service accordance with Executive Order 12612, Information design improvements. Incorporation of an improved design of the stabilizer it is determined that this final rule does The FAA has reviewed and approved control system requirement is in not have sufficient federalism Boeing Alert Service Bulletins 737– consonance with these conditions. implications to warrant the preparation 27A1227 (for Model 737–300, –400, and of a Federalism Assessment. –500 series airplanes) and 737–27A1228 Determination of Rule’s Effective Date The FAA has determined that this (for Model 737–600, –700, and –800 Since a situation exists that requires regulation is an emergency regulation series airplanes), both dated April 8, the immediate adoption of this that must be issued immediately to 1999, which describe procedures for regulation, it is found that notice and correct an unsafe condition in aircraft, repetitive inspections and functional opportunity for prior public comment and that it is not a ‘‘significant tests of the S245 trailing edge flap limit hereon are impracticable, and that good regulatory action’’ under Executive switch to verify proper operation, and cause exists for making this amendment Order 12866. It has been determined replacement of any malfunctioning limit effective in less than 30 days. further that this action involves an switch with a new limit switch. emergency regulation under DOT Comments Invited Regulatory Policies and Procedures (44 Explanation of the Requirements of the Although this action is in the form of FR 11034, February 26, 1979). If it is Rule a final rule that involves requirements determined that this emergency Since an unsafe condition has been affecting flight safety and, thus, was not regulation otherwise would be identified that is likely to exist or preceded by notice and an opportunity significant under DOT Regulatory develop on other airplanes of the same for public comment, comments are Policies and Procedures, a final type design, this AD is being issued to invited on this rule. Interested persons regulatory evaluation will be prepared prevent failure of the S245 trailing edge are invited to comment on this rule by and placed in the Rules Docket. A copy flap limit switch, and subsequent submitting such written data, views, or of it, if filed, may be obtained from the uncommanded (nose down) stabilizer arguments as they may desire. Rules Docket at the location provided trim motion, which could result in Communications shall identify the under the caption ADDRESSES.
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List of Subjects in 14 CFR Part 39 Repeat the inspection and test thereafter at comments and then send it to the Manager, intervals not to exceed 300 flight hours, until Seattle ACO. Air transportation, Aircraft, Aviation accomplishment of paragraph (c) of this AD. safety, Incorporation by reference, Note 3: Information concerning the (2) For airplanes that have accumulated existence of approved alternative methods of Safety. 1,000 or more total flight hours as of the compliance with this AD, if any, may be Adoption of the Amendment effective date of this AD: Inspect and test obtained from the Seattle ACO. within 5 days after the effective date of this Accordingly, pursuant to the AD. Repeat the inspection and test thereafter Special Flight Permits authority delegated to me by the at intervals not to exceed 300 flight hours, (f) Special flight permits may be issued in Administrator, the Federal Aviation until accomplishment of paragraph (c) of this accordance with sections 21.197 and 21.199 Administration amends part 39 of the AD. of the Federal Aviation Regulations (14 CFR Federal Aviation Regulations (14 CFR Note 2: Any inspection and test of the S245 21.197 and 21.199) to operate the airplane to part 39) as follows: trailing edge flap limit switch accomplished a location where the requirements of this AD prior to the effective date of this AD in can be accomplished. accordance with the Accomplishment PART 39ÐAIRWORTHINESS Incorporation by Reference DIRECTIVES Instructions of either Boeing Alert Service Bulletin 737–27A1227 (for Model 737–300, (g) Except as provided by paragraph (c) of 1. The authority citation for part 39 –400, and –500 series airplanes) or 737– this AD, the actions shall be done in continues to read as follows: 27A1228 (for Model 737–600, –700, and –800 accordance with Boeing Alert Service series airplanes), both dated April 8, 1999, as Bulletin 737–27A1227, dated April 8, 1999; Authority: 49 U.S.C. 106(g), 40113, 44701. applicable, is considered acceptable for or Boeing Alert Service Bulletin 737– 27A1228, dated April 8, 1999; as applicable. § 39.13 [Amended] compliance with the initial inspection and test specified in paragraph (a) of this AD. This incorporation by reference was 2. Section 39.13 is amended by approved by the Director of the Federal adding the following new airworthiness Corrective Action Register in accordance with 5 U.S.C. 552(a) directive: (b) If any malfunction is detected during and 1 CFR part 51. Copies may be obtained any inspection and test required by from Boeing Commercial Airplane Group, 99–10–13 Boeing: Amendment 39–11166. paragraph (a) of this AD, prior to further P.O. Box 3707, Seattle, Washington 98124– Docket 99–NM–97–AD. flight, replace the existing limit switch with 2207. Copies may be inspected at the FAA, Applicability: Model 737–300, –400, –500, a new limit switch in accordance with the Transport Airplane Directorate, 1601 Lind –600, –700, and –800 series airplanes, Boeing Alert Service Bulletin 737–27A1227 Avenue, SW., Renton, Washington; or at the certificated in any category; equipped with (for Model 737–300, –400, and –500 series Office of the Federal Register, 800 North Vickers combined stabilizer trim motors. airplanes) or 737–27A1228 (for Model 737– Capitol Street, NW., suite 700, Washington, Note 1: This AD applies to each airplane 600, –700, and –800 series airplanes), both DC. identified in the preceding applicability dated April 8, 1999, as applicable. Repeat the (h) This amendment becomes effective on provision, regardless of whether it has been inspection and test thereafter at intervals not May 27, 1999. modified, altered, or repaired in the area to exceed 300 flight hours, until Issued in Renton, Washington, on May 4, subject to the requirements of this AD. For accomplishment of paragraph (c) of this AD. 1999. airplanes that have been modified, altered, or (c) Within 3 months after the effective date D.L. Riggin, repaired so that the performance of the of this AD: Incorporate an improved design requirements of this AD is affected, the of the stabilizer control system in accordance Acting Manager, Transport Airplane owner/operator must request approval for an with a method approved by the Manager, Directorate, Aircraft Certification Service. alternative method of compliance in Seattle Aircraft Certification Office (ACO), [FR Doc. 99–11783 Filed 5–11–99; 8:45 am] accordance with paragraph (e) of this AD. FAA, Transport Airplane Directorate. BILLING CODE 4910±13±P The request should include an assessment of Incorporation of an improved design, as the effect of the modification, alteration, or required by this paragraph, constitutes repair on the unsafe condition addressed by terminating action for the repetitive this AD; and, if the unsafe condition has not inspection and test requirements of this AD. DEPARTMENT OF HEALTH AND been eliminated, the request should include HUMAN SERVICES specific proposed actions to address it. Reporting Requirement Compliance: Required as indicated, unless (d) Within 10 days after accomplishing the Food and Drug Administration accomplished previously. inspection and test required by paragraph (a) To prevent failure of the trailing edge flap of this AD, submit a report of the inspection 21 CFR Part 178 limit switch, which could result in and test results (positive findings of uncommanded (nose down) stabilizer trim malfunctioning only) to the Manager, Seattle [Docket No. 98F±0797] motion and reduced controllability of the ACO, FAA, Transport Airplane Directorate, airplane, accomplish the following: 1601 Lind Avenue SW., Renton, Washington, Indirect Food Additives: Adjuvants, 98055–4056. The report must include the Inspections and Tests inspection results, the airplane serial Production Aids, and Sanitizers (a) Perform a special detailed inspection number, and the total number of landings AGENCY: Food and Drug Administration, and functional test to verify proper operation and flight hours on the airplane. Information HHS. of the S245 trailing edge flap limit switch, in collection requirements contained in this accordance with the applicable Boeing Alert regulation have been approved by the Office ACTION: Final rule. Service Bulletin 737–27A1227 (for Model of Management and Budget (OMB) under the 737–300, –400, and –500 series airplanes) or provisions of the Paperwork Reduction Act of SUMMARY: The Food and Drug 737–27A1228 (for Model 737–600, –700, and 1980 (44 U.S.C. 3501 et seq.) and have been Administration (FDA) is amending the –800 series airplanes), both dated April 8, assigned OMB Control Number 2120–0056. food additive regulations to expand the 1999; as applicable; at the time specified in Alternative Methods of Compliance safe use of 5,7-bis(1,1-dimethylethyl)-3- paragraph (a)(1) or (a)(2) of this AD, as hydroxy-2(3H)-benzofuranone, reaction applicable. (e) An alternative method of compliance or products with o-xylene as an (1) For airplanes that have accumulated adjustment of the compliance time that less than 1,000 total flight hours as of the provides an acceptable level of safety may be antioxidant and/or stabilizer for effective date of this AD: Inspect and test used if approved by the Manager, Seattle propylene polymers and copolymers prior to the accumulation of 1,000 total flight ACO. Operators shall submit their requests intended for use in contact with food. hours, or within 10 days after the effective through an appropriate FAA Principal This action is in response to a petition date of this AD, whichever occurs later. Maintenance Inspector, who may add filed by Ciba Specialty Chemicals Corp.
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DATES: The regulation is effective May In accordance with § 171.1(h) (21 CFR include a detailed description and 12, 1999. Submit written objections and 171.1(h)), the petition and the analysis of the specific factual requests for a hearing by June 11, 1999. documents that FDA considered and information intended to be presented in ADDRESSES: Submit written objections to relied upon in reaching its decision to support of the objection in the event the Dockets Management Branch (HFA– approve the petition are available for that a hearing is held. Failure to include 305), Food and Drug Administration, inspection at the Center for Food Safety such a description and analysis for any 5630 Fishers Lane, rm. 1061, Rockville, and Applied Nutrition by appointment particular objection shall constitute a MD 20852. with the information contact person waiver of the right to a hearing on the FOR FURTHER INFORMATION CONTACT: Vir listed above. As provided in § 171.1(h), objection. Three copies of all documents D. Anand, Center for Food Safety and the agency will delete from the shall be submitted and shall be Applied Nutrition (HFS–215), Food and documents any materials that are not identified with the docket number Drug Administration, 200 C St. SW., available for public disclosure before found in brackets in the heading of this Washington, DC 20204, 202–418–3081. making the documents available for document. Any objections received in inspection. response to the regulation may be seen SUPPLEMENTARY INFORMATION: In a notice The agency has previously considered in the Dockets Management Branch published in the Federal Register of the potential environmental effects of between 9 a.m. and 4 p.m., Monday September 24, 1998 (63 FR 51074), FDA this rule as announced in the notice of through Friday. announced that a food additive petition filing for the petition. No new (FAP 8B4625) had been filed by Ciba information or comments have been List of Subjects in 21 CFR Part 178 Specialty Chemicals Corp., 540 White received that would affect the agency’s Food additives, Food packaging. Plains Rd., Tarrytown, NY 10591–9005. previous determination that there is no Therefore, under the Federal Food, The petition proposed to amend the significant impact on the human Drug, and Cosmetic Act and under food additive regulations in § 178.2010 environment and that an environmental authority delegated to the Commissioner Antioxidants and/or stabilizers for impact statement is not required. of Food and Drugs and redelegated to polymers (21 CFR 178.2010) to provide This final rule contains no collections the Director, Center for Food Safety and for the expanded safe use of 5,7-bis(1,1- of information. Therefore, clearance by Applied Nutrition, 21 CFR part 178 is dimethylethyl)-3-hydroxy-2(3H)- the Office of Management and Budget amended as follows: benzofuranone, reaction products with under the Paperwork Reduction Act of o-xylene as an antioxidant and/or 1995 is not required. PART 178ÐINDIRECT FOOD stabilizer for olefin polymers intended Any person who will be adversely ADDITIVES: ADJUVANTS, for use in contact with food. Upon affected by this regulation may at any PRODUCTION AIDS, AND SANITIZERS further review, FDA has determined that time on or before June 11, 1999, file the petition proposed to expand the safe with the Dockets Management Branch 1. The authority citation for 21 CFR use of this additive for use in (address above) written objections part 178 continues to read as follows: polypropylene polymers and thereto. Each objection shall be Authority: 21 U.S.C. 321, 342, 348, 379e. copolymers only. separately numbered, and each 2. Section 178.2010 is amended in the FDA has evaluated the data in the numbered objection shall specify with table in paragraph (b), in the entry for petition and other relevant material. particularity the provisions of the 5,7-bis(1,1-dimethylethyl)-3-hydroxy- Based on this information, the agency regulation to which objection is made 2(3H)-benzofuranone, reaction products concludes that: (1) The proposed use of and the grounds for the objection. Each with o-xylene by revising entry ‘‘2’’ the additive as an antioxidant and/or numbered objection on which a hearing under the headings ‘‘Substances’’ and stabilizer in olefin polymers intended is requested shall specifically so state. ‘‘Limitations’’ to read as follows: for use in contact with food is safe, and Failure to request a hearing for any (2) the additive will have the intended particular objection shall constitute a § 178.2010 Antioxidants and/or stabilizers technical effect. Therefore, the waiver of the right to a hearing on that for polymers. regulations in § 178.2010 should be objection. Each numbered objection for * * * * * amended as set forth below. which a hearing is requested shall (b) * * *
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Substances Limitations
******* 5,7-Bis(1,1-dimethylethyl)-3-hydroxy-2(3H)-benzofuranone, reaction For use only: products with o-xylene (CAS Reg. No. 181314±48±7). *** 2. At levels not to exceed 0.02 percent by weight of: (a) Propylene polymers and copolymers complying with § 177.1520(c) of this chapter, items 1.1, 1.2, 3.1a, 3.2a, 3.2b, 3.4, or 3.5. The fin- ished polymer may only be used in contact with food of types identi- fied in § 176.170(c) of this chapter, Table 1, under Categories III, IV± A, V, VI±C, VII±A, and IX, and under conditions of use B through H described in Table 2 of § 176.170(c) of this chapter; or (b) Ethylene polymers and copolymers complying with § 177.1520(c) of this chapter, items 2.1, 2.2, 2.3, 3.1a, 3.1b, 3.2a, or 3.6 (where the density of each of these polymers is at least 0.94 gram per cubic centimeter), or 5. The finished polymers may only be used in contact with food of the types identified in § 176.170(c) of this chapter, Table 1, under Categories III, IV±A, V, VI±C, VII±A, and IX, and under con- ditions of use B through H described in Table 2 of § 176.170(c) of this chapter; provided that the finished food-contact articles have a volume of at least 18.9 liters (5 gallons).
*******
Dated: May 3, 1999. State, 2201 C Street, NW, Washington, List of Subjects in 22 CFR Part 171 L. Robert Lake, DC 20520–1239. Telephone: 292/647– Director, Office of Policy, Planning and 6620; FAX: 202/647–5159. Administrative practice and Strategic Initiatives, Center for Food Safety procedure, Appeals procedures, and Applied Nutrition. SUPPLEMENTARY INFORMATION: A notice Classified information, Conflict of [FR Doc. 99–11899 Filed 5–11–99; 8:45 am] of proposed rulemaking was published interests, Confidential business in 61 FR 148 July 31, 1996 p. 39927 BILLING CODE 4160±01±F information, Freedom of Information, inviting interested persons to submit Privacy. comment concerning the proposed In consideration of the foregoing, DEPARTMENT OF STATE regulations implementing Executive amend 22 CFR part 171 as follows: Order 12958 of April 17, 1995. 22 CFR Part 171 Executive Order 12958 prescribes a PART 171ÐAVAILABILITY OF uniform system for classifying, INFORMATION AND RECORDS TO [Public Notice 3053] safeguarding, and declassifying national THE PUBLIC Access to InformationÐExecutive security information. No comments Order 12958, ``Classified National were received. Section 5.6 ( C) (2) of 1. The authority citation for Part 171 Security Information,'' Provisions Executive Order 12958 requires agencies continues to read as follows: that originate or handle classified Authority: The Freedom of Information AGENCY: Department of State. information to publish in the Federal Act, 5 U.S.C. 552; the Privacy Act, 5 U.S.C. ACTION: Final rule. Register implementing regulations that 552a; the Administrative Procedures Act, 5 affect members of the public. U.S.C. 551 et seq.; the Ethics in Government SUMMARY: The Department of State is Accordingly, the Department of State is Act, 5 U.S.C. App.201; Executive Order 12958, 60 FR 19825; and Executive Order amending its regulations on classified revising 22 CFR, part 171 subpart C, national security information. The rule 12600, 52 FR 23781. §§ 171.20 through 171.26 to bring these describes how members of the public, rules into conformity with Executive government employees or agencies may 2. Subpart C, §§ 171.20 through obtain access to information in Order 12958. Covered under this 171.26, is revised to read as follows: Department of State classified records revision are definitions, access to Subpart CÐExecutive Order 12958 and how such requests are processed. records, processing requests and Provisions The rule also explains the appeals appeals. The rule is not expected to 171.20 Definitions. process available to requestors in the have a significant impact on a 171.21 Access to records. event a request for the declassification substantial number of small entities 171.22 Determination in disputed cases. of information in Department of State under the criteria of the Regulatory 171.23 Challenges to classification. classified records is denied. Flexibility Act. In addition, the rule 171.24 Access by historical researchers and former Presidential appointees. EFFECTIVE DATE: May 12, 1999. does not impose information collection requirements under the provisions of 171.25 Exemptions. FOR FURTHER INFORMATION CONTACT: Questions regarding mandatory the Paperwork Reduction Act of 1980. Subpart CÐExecutive Order 12958 declassification review or other aspects The rule is exempt from review under Provisions of Executive Order 12958 may be Executive Order 12866, but has been § 171.20 Definitions. addressed to Margaret P. Grafeld, reviewed internally by the Department Director, Office of IRM Programs and to ensure consistency with the As used in this subpart, the following Services, Room 1239, Department of objectives thereof. definitions shall apply:
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(a) National security means the (k) Senior agency official means the request by a member of the public, a national defense or foreign relations of official designated by the agency head government employee or agency, with the United States. under section 5.6(C) of this Executive the following exceptions: (b) Information means any knowledge Order 12958 to direct and administer (1) Information exempted from search that can be communicated or the agency’s program under which and review under the Central documentary material, regardless of its information is classified, safeguarded, Intelligence Information Act; physical form or characteristics, that is and declassified. (2) Information which is the subject of owned by, produced by or for, or is (l) Confidential source means any pending litigation; under the control of the United States individual or organization that has (3) Information which has been Government. provided, or that may reasonably be reviewed and withheld within the past (c) Control means the authority of the expected to provide information to the two years; agency that originated the information, United States on matters pertaining to (4) Information originated by the or its successor in function, to regulate the national security with the incumbent President; the incumbent access to the information. expectation that the information or President’s White House staff; (d) Classified national security relationship, or both, are to be held in committees, commissions or boards information (hereafter classified confidence. appointed by the incumbent President; information means information that has (m) Damage to the national security or other entities within the Executive been determined pursuant to this means harm to the national defense or Office of the President that solely advise Executive Order 12958 or any foreign relations of the United States and assist the incumbent President. If predecessor Order to require protection from the unauthorized disclosure of the information requested is the subject against unauthorized disclosure and is information, to include the sensitivity, of pending litigation, or has been marked to indicate its classified status value and utility of that information. reviewed for declassification and when in documentary form. (n) Presidential appointees includes withheld within the past two years, the (e) Foreign government information former officials of the Department of Department will inform the requester of means: State or other U.S. Government agencies these facts and of the requester’s appeal (1) Information provided to the who held policy positions and were rights. The Archivist of the United United States Government by a foreign appointed by the President, by and with States shall establish procedures for the government or governments, an the advice and consent of the Senate, at declassification of Presidential or White international organization of the level of Ambassador, Assistant House materials accessioned into the governments, or any element thereof, Secretary of State or above. It does not National Archives or maintained in the with the expectation that the include Foreign Service Officers as a Presidential libraries. information, the source of the class or persons who merely received (d) The Department may refuse to information, or both, are to be held in assignment commissions as Foreign confirm or deny the existence or confidence; Service Officers, Foreign Service nonexistence of requested information (2) Information produced by the Reserve Officers, Foreign Service Staff whenever the fact of its existence or United States pursuant to or as a result Officers and employees. nonexistence is itself classified. of a joint arrangement with a foreign (e) Processing. In responding to government or governments, or an § 171.21 Access to records. mandatory review requests, the international organization of (a) Request for mandatory Department shall either make a prompt governments, or any element thereof, classification review. For a request for declassification determination and requiring that the information, the classified records to be processed under notify the requester accordingly, or arrangement, or both, are to be held in section 3.6 of E.O. 12958, it must inform the requester of the additional confidence; or describe the record(s) with sufficient time needed to process the request. The (3) Information received and treated specificity to enable the agency to locate Department shall ordinarily make a final as ‘‘foreign government information’’ the record(s) with a reasonable amount determination within 180 days from the under the terms of a predecessor Order. of effort. Whenever a request does not date of receipt. When information (f) Classification means the act or reasonably describe the record(s), the cannot be declassified in its entirety, the process by which information is Department shall notify the requester Department will make reasonable efforts determined to be classified information. that no further action will be taken to release those declassified portions of (g) Original classification means an unless additional information is the requested information that initial determination that information provided, or the scope of the request is constitute a coherent segment. requires, in the interest of national narrowed. (f) Other agency records. When the security, protection against (b) Mandatory review. A request for Department receives a request for unauthorized disclosure. declassification under the Executive records in its possession that were (h) Original classification authority Order 12958 is termed a mandatory originated by another agency, it shall means an individual authorized in review; it is separate from and different refer the request and the pertinent writing, either by the President, or by than a request made under the Freedom records to the originating agency unless agency heads or other officials of Information Act (FOIA). When a that agency has agreed that the designated by the President, to classify requester submits a request under both Department may review the records in information in the first instance. mandatory review and FOIA, the accordance with declassification guides (i) Unauthorized disclosure means a Department shall require the requester or guidelines provided by the communication or physical transfer of to elect one or the other. If the requester originating agency. The originating classified information to an fails to elect one or the other, the agency shall communicate its unauthorized recipient. request will be treated as a FOIA request declassification determination to the (j) Agency means any ‘‘executive unless the materials requested are Department. agency’’ as defined in 5 U.S.C. 105, and subject only to mandatory review. (g) Foreign government information. any other entity within the executive (c) Scope. All information classified When foreign government information branch that comes into the possession of under this or predecessor orders shall be is being considered for declassification, classified information. subject to declassification review upon the declassifying agency is the agency
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The declassifying agency disclosure. review by an impartial official or panel; shall: (b) This provision does not: and (1) Determine whether the (1) Amplify or modify the substantive (3) Classification challenges shall be information is subject to a treaty or criteria or procedures for classification; considered separately from FOIA or international agreement that would or other access requests. prevent its declassification; (2) Create any substantive or (g) Processing an initial written (2) Determine whether the procedural rights subject to judicial response to a challenge shall be information is subject to section 1.6(d) review. provided within 60 days. If the (5), (6) or (8) of the Executive Order Department is unable to respond to the 12958; § 171.23 Challenges to classification. challenge within 60 days, it must (3) Consult with any other concerned (a) Authorized holders of information acknowledge the challenge in writing agencies; who, in good faith, believe that its and provide a date by which it will (4) Consult with the Department and/ classification status is improper are respond. The Department’s or the foreign government, as encouraged and expected to challenge acknowledgement must state that if no appropriate. the classification status of the response is received within 120 days, (h) Cryptologic and intelligence information. An authorized holder is the challenger has the right to forward information. Mandatory declassification any individual, including an individual the challenge to the Interagency review requests for cryptologic external to the Department, who has Security Classification Appeals Panel. information and information concerning been granted access to specific classified The challenger may also forward the intelligence activities or intelligence information in accordance with section challenge to the Interagency Security sources or methods shall be processed 4.2(g) of the Executive Order 12958. Classification Appeals Panel if the solely in accordance with special (b) Challenges shall be presented to an Department has not responded to an procedures established by the Secretary original classification authority with internal appeal within 90 days after of Defense and the Director of Central jurisdiction over the information. A receiving the appeal. Responses to Intelligence, respectively. formal challenge under section 1.9 of challenges denied by the Department (i) Appeals. Upon denial of an initial the Executive Order 12958 must be in shall also include the challenger’s request in whole or in part, the writing, but need not be any more appeal rights to the Interagency Security Department shall notify the requester of specific than to question why Classification Appeals Panel. the right of an administrative appeal, information is or is not classified, or is which must be filed within 60 days of § 171.24 Access by historical researchers classified at a certain level. The receipt of the denial. The Department and former Presidential appointees. classification challenge provision is not shall normally make a determination intended to prevent an authorized (a) Section 4.2(a)(3) of this Executive within 60 days following receipt of an holder from informally questioning the Order 12958 restricts access to classified appeal. If additional time is needed to classification status of particular information to individuals who have a make a determination, the Department information. Such informal inquiries are need-to-know the information. This may shall notify the requester of the encouraged in order to limit the number be waived for persons who are engaged additional time needed and provide the of formal challenges. in historical research projects or requester with a reason for extension. previously occupied policy-making (c) Whenever the Department receives The Department shall notify the positions to which they were appointed a classification challenge to information requester in writing of the final by the President. Access requests made that has been the subject of a challenge determination and of the reasons for any under this provision must be submitted within the past two years, or that is the denial. in writing and must include a general subject of pending litigation, it is not (j) Appeals to the Interagency Security description of the records and the time required to process the challenge Classification Appeals Panel. The period covered by the request. beyond informing the challenger of this Interagency Security Classification (b) Access may be granted only if the fact and of the challenger’s appeal Appeals Panel shall publish in the Secretary of State or the senior agency rights, if any. Federal Register the rules and official of the Department: procedures for bringing mandatory (d) Challenges, responses and appeals (1) Determines in writing that access declassification appeals before it. shall, if possible, be unclassified. is consistent with the interest of However, classified information national security; § 171.22 Determination in disputed cases. contained in a challenge, a response (2) Takes appropriate steps to protect (a) It is presumed that information from the department or an appeal shall classified information from that continues to meet the classification be handled and protected in accordance unauthorized disclosure or compromise; requirements under this Executive with this Executive Order 12958 and its and Order 12958 requires continued implementing directives. (3) Ensures that the information is protection. In some exceptional cases, (e) Information being challenged for safeguarded in a manner consistent with however, the need to protect such classification shall remain classified the Executive Order 12958. information may be outweighed by the unless and until a decision is made to (c) Access granted to former public interest in disclosure of the declassify it. Presidential appointees shall be limited information, and in these cases the (f) The Secretary of State or the senior to items the individual originated, information should be declassified. agency official of the Department shall reviewed, signed or received while When such questions arise, they shall be establish procedures under which serving as a Presidential appointee. referred to the Secretary of State or the authorized holders of classified Department’s senior agency official. information may make such challenges. § 171.25 Exemptions. That official will determine, as an These procedures shall assure that: The Freedom of Information and exercise of discretion, whether the (1) No retribution is taken against an Privacy Acts exemptions and any other public interest in disclosure outweighs authorized holder bringing a challenge exemptions under applicable law may the damage to national security that in good faith; be invoked by the Department to deny
VerDate 06-MAY-99 18:41 May 11, 1999 Jkt 183247 PO 00000 Frm 00014 Fmt 4700 Sfmt 4700 E:\FR\FM\12MYR1.XXX pfrm07 PsN: 12MYR1 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25433 material on grounds other than cannot comply fully with certain (Admiralty) has also certified that the classification. provisions of the 72 COLREGS without lights involved are located in closest Date: May 5, 1999. interfering with its special functions as possible compliance with the applicable Patrick F. Kennedy, a naval ship. The intended effect of this 72 COLREGS requirements. rule is to warn mariners in waters where Assistant Secretary, Bureau of Moreover, it has been determined, in Administration. 72 COLREGS apply. accordance with 32 CFR Parts 296 and EFFECTIVE DATE: February 3, 1999. 701, that publication of this amendment [FR Doc. 99–12029 Filed 5–11–99; 8:45 am] for public comment prior to adoption is FOR FURTHER INFORMATION CONTACT: BILLING CODE 4710±05±P Captain Rand R. Pixa, JAGC, U.S. Navy, impracticable, unnecessary, and Admiralty Counsel, Office of the Judge contrary to public interest since it is Advocate General, Washington Navy based on technical findings that the DEPARTMENT OF DEFENSE Yard, 1322 Patterson Avenue SE, Suite placement of lights on this vessel in a manner differently from that prescribed Department of the Navy 3000, Washington, DC 20374–5066, Telephone number: (202) 685–5040 herein will adversely affect the vessel’s ability to perform its military functions. 32 CFR Part 706 SUPPLEMENTARY INFORMATION: Pursuant to the authority granted in 33 U.S.C. List of Subjects in 32 CFR Part 706 Certifications and Exemptions Under 1605, the Department of the Navy the International Regulations for Marine safety, Navigation (water), amends 32 CFR Part 706. This Vessels. Preventing Collisions at Sea, 1972 amendment provides notice that the Amendment Deputy Assistant Judge Advocate PART 706Ð[AMENDED] AGENCY: Department of the Navy, DOD. General (Admiralty) of the Navy, under Accordingly, 32 CFR Part 706 is ACTION: Final rule. authority delegated by the Secretary of the Navy, has certified that USS BARRY amended as follows: SUMMARY: The Department of the Navy (DDG 52) is a vessel of the Navy which, 1. The authority citation for 32 CFR is amending its certifications and due to its special construction and Part 706 continues to read: exemptions under the International purpose, cannot comply fully with the Authority: 33 U.S.C. 1605. Regulations for Preventing Collisions at following specific provision of 72 Sea, 1972 (72 COLREGS), to reflect that COLREGS without interfering with its 2. Table Five of § 706.2 is amended by the Deputy Assistant Judge Advocate special function as a naval ship: Annex revising the entry for USS BARRY (DDG General (Admiralty) of the Navy has I, paragraph 3(a), pertaining to the 52) to read as follows: determined that USS BARRY (DDG 52) horizontal distance between the forward § 706.2 Certifications of the Secretary of is a vessel of the Navy which, due to its and after masthead lights. The Deputy the Navy under Executive Order 11964 and special construction and purpose, Assistant Judge Advocate General 33 U.S.C. 1605.
TABLE FIVE
After mast- Masthead Forward mast- head light less lights not over head light not than 1¤2 ship's Percentage all other lights in forward length aft of horizontal sep- Vessel No. and obstruc- quarter of forward mast- aration at- tions. annex I, ship. annex I, head light. tained sec. 2(f) sec. 3(a) annex I, sec. 3(a)
USS BARRY ...... DDG 52 XXX 19.8
Dated: February 3, 1999. SUMMARY: The Department of the Navy Yard, 1322 Patterson Avenue SE., Suite R.R. Pixa, is amending its certifications and 3000, Washington, DC 20374–5066, Capt, JAGC, U.S. Navy, Deputy Assistant exemptions under the International Telephone number: (202) 685–5040. Judge Advocate, General (Admiralty). Regulations for Preventing Collisions at SUPPLEMENTARY INFORMATION: Pursuant [FR Doc. 99–12022 Filed 5–11–99; 8:45 am] Sea, 1972 (72 COLREGS), to reflect that to the authority granted in 33 U.S.C. BILLING CODE 3810±FF±P the Deputy Assistant Judge Advocate 1605, the Department of the Navy General (Admiralty) of the Navy has amends 32 CFR Part 706. This determined that USS CURTIS WILBUR amendment provides notice that the DEPARTMENT OF DEFENSE (DDG 54) is a vessel of the Navy which, Deputy Assistant Judge Advocate due to its special construction and General (Admiralty) of the Navy, under Department of the Navy purpose, cannot comply fully with authority delegated by the Secretary of certain provisions of the 72 COLREGS the Navy, has certified that USS CURTIS 32 CFR Part 706 without interfering with its special WILBUR (DDG 54) is a vessel of the functions as a naval ship. The intended Certifications and Exemptions Under Navy which, due to its special effect of this rule is to warn mariners in the International Regulations for construction and purpose, cannot waters where 72 COLREGS apply. Preventing Collisions at Sea, 1972 comply fully with the following specific Amendment EFFECTIVE DATE: February 3, 1999. provision of 72 COLREGS without FOR FURTHER INFORMATION CONTACT: interfering with its special function as a AGENCY: Department of the Navy, DOD. Captain Rand R. Pixa, JAGC, U.S. Navy, naval ship: Annex I, paragraph 3(a), Admiralty Counsel, Office of the Judge pertaining to the horizontal distance ACTION: Final rule. Advocate General, Washington Navy between the forward and after masthead
VerDate 06-MAY-99 18:41 May 11, 1999 Jkt 183247 PO 00000 Frm 00015 Fmt 4700 Sfmt 4700 E:\FR\FM\12MYR1.XXX pfrm07 PsN: 12MYR1 25434 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations lights. The Deputy Assistant Judge placement of lights on this vessel in a 1. The authority citation for 32 CFR Advocate General (Admiralty) has also manner differently from that prescribed Part 706 continues to read: certified that the lights involved are herein will adversely affect the vessel’s Authority: 33 U.S.C. 1605. located in closest possible compliance ability to perform its military functions. with the applicable 72 COLREGS List of Subjects in 32 CFR Part 706 2. Table Five of § 706.2 is amended by requirements. revising the entry for USS CURTIS Moreover, it has been determined, in Marine safety, Navigation (water), WILBUR (DDG 54) to read as follows: accordance with 32 CFR Parts 296 and Vessels. 701, that publication of this amendment § 706.2 Certifications of the Secretary of for public comment prior to adoption is PART 706Ð[AMENDED] the Navy under Executive Order 11964 and impracticable, unnecessary, and 33 U.S.C. 1605. contrary to public interest since it is Accordingly, 32 CFR Part 706 is based on technical findings that the amended as follows:
TABLE FIVE
Masthead lights Forward mast- After masthead light less than 1¤2 Percentage not over all other head light not in ship's length aft horizontal Vessel No. lights and ob- forward quarter of of forward mast- separation at- structions. annex ship. annex I, head light. annex tained I, sec. 2(f) sec. 3(a) I, sec. 3(a)
USS CURTIS WILBUR ...... DDG 54 XXX 19.6
Dated: February 3, 1999. certain provisions of the 72 COLREGS certified that the lights involved are R.R. Pixa, without interfering with its special located in closest possible compliance CAPT, JAGC, U.S. Navy, functions as a naval ship. The intended with the applicable 72 COLREGS Deputy Assistant Judge Advocate, effect of this rule is to warn mariners in requirements. General (Admiralty). waters where 72 COLREGS apply. Moreover, it has been determined, in [FR Doc. 99–12023 Filed 5–11–99; 8:45 am] EFFECTIVE DATE: February 3, 1999. accordance with 32 CFR Parts 296 and 701, that publication of this amendment BILLING CODE 3810±FF±P FOR FURTHER INFORMATION CONTACT: Captain Rand R. Pixa, JAGC, U.S. Navy, for public comment prior to adoption is Admiralty Counsel, Office of the Judge impracticable, unnecessary, and DEPARTMENT OF DEFENSE Advocate General, Washington Navy contrary to public interest since it is Yard, 1322 Patterson Avenue SE., Suite based on technical findings that the Department of the Navy 3000, Washington, DC 20374–5066, placement of lights on this vessel in a Telephone number: (202) 685–5040. manner differently from that prescribed 32 CFR Part 706 herein will adversely affect the vessel’s SUPPLEMENTARY INFORMATION: Pursuant ability to perform its military functions. Certifications and Exemptions Under to the authority granted in 33 U.S.C. the International Regulations for 1605, the Department of the Navy List of subjects in 32 CFR Part 706 amends 32 CFR Part 706. This Preventing Collisions at Sea, 1972 Marine safety, Navigation (water), amendment provides notice that the Amendment Vessels. Deputy Assistant Judge Advocate AGENCY: Department of the Navy, DOD. General (Admiralty) of the Navy, under PART 706Ð[AMENDED] ACTION: Final rule. authority delegated by the Secretary of the Navy, has certified that USS JOHN Accordingly, 32 CFR Part 706 is SUMMARY: The Department of the Navy S. McCAIN (DDG 56) is a vessel of the amended as follows: is amending its certifications and Navy which, due to its special 1. The authority citation for 32 CFR exemptions under the International construction and purpose, cannot Part 706 continues to read: Regulations for Preventing Collisions at comply fully with the following specific Authority: 33 U.S.C. 1605. Sea, 1972 (72 COLREGS), to reflect that provision of 72 COLREGS without the Deputy Assistant Judge Advocate interfering with its special function as a 2. Table Five of § 706.2 is amended by General (Admiralty) of the Navy has naval ship: Annex I, paragraph 3(a), revising the entry for USS JOHN S. determined that USS JOHN S. McCAIN pertaining to the horizontal distance McCAIN (DDG 56) to read as follows: (DDG 56) is a vessel of the Navy which, between the forward and after masthead § 706.2 Certifications of the Secretary of due to its special construction and lights. The Deputy Assistant Judge the Navy under Executive Order 11964 and purpose, cannot comply fully with Advocate General (Admiralty) has also 33 U.S.C. 1605.
TABLE FIVE
Masthead lights Forward mast- After masthead light less than 1¤2 Percentage not over all other head light not in ship's length aft horizontal Vessel No. lights and ob- forward quarter of of forward mast- separation at- structions. annex ship. annex I, head light. annex tained I, sec. 2(f) sec. 3(a) I, sec. 3(a)
USS JOHN S. McCAIN ...... DDG 56 XXX 19.8
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Dated: February 3, 1999. FOR FURTHER INFORMATION CONTACT: Advocate General (Admiralty) has also R.R. Pixa, Captain R.R. Pixa, JAGC, U.S. Navy, certified that the lights involved are Capt, JAGC, U.S. Navy, Deputy Assistant Admiralty Counsel, Office of the Judge located in closest possible compliance Judge Advocate, General (Admiralty). Advocate General, Washington Navy with the applicable 72 COLREGS [FR Doc. 99–12024 Filed 5–11–99; 8:45 am] Yard, 1322 Patterson Avenue SE, Suite requirements. BILLING CODE 3810±FF±P 3000, Washington, DC 20374–5066, Moreover, it has been determined, in Telephone number: (202) 685–5040. accordance with 32 CFR Parts 296 and SUPPLEMENTARY INFORMATION: Pursuant 701, that publication of this amendment DEPARTMENT OF DEFENSE to the authority granted in 33 U.S.C. for public comment prior to adoption is 1605, the Department of the Navy impracticable, unnecessary, and Department of the Navy amends 32 CFR Part 706. This contrary to public interest since it is amendment provides notice that the 32 CFR Part 706 based on technical findings that the Deputy Assistant Judge Advocate placement of lights on this vessel in a Certifications and Exemptions Under General (Admiralty) of the Navy, under manner differently from that prescribed the International Regulations for authority delegated by the Secretary of herein will adversely affect the vessel’s Preventing Collisions at Sea, 1972 the Navy, has certified that USS ability to perform its military functions. O’KANE (DDG 77) is a vessel of the List of Subjects in 32 CFR Part 706 AGENCY: Department of the Navy, DOD. Navy which, due to its special construction and purpose, cannot fully ACTION: Final rule. Marine safety, Navigation (water), comply with the following specific Vessels. provisions of 72 COLREGS without SUMMARY: The Department of the Navy interfering with its special function as a Accordingly, 32 CFR Part 706 is is amending its certifications and naval ship: Annex I, paragraph 2(f)(i) amended as follows: exemptions under the International pertaining to placement of the masthead Regulations for Preventing Collisions at light or lights above and clear of all PART 706Ð[AMENDED] Sea, 1972 (72 COLREGS), to reflect that other lights and obstructions; Annex I, the Deputy Assistant Judge Advocate 1. The authority citation for 32 CFR paragraph 2(f)(ii) pertaining to the Part 706 continues to read as follows: General (Admiralty) of the Navy has vertical placement of task lights; Annex determined that USS O’KANE (DDG 77) I, paragraph 3(a) pertaining to the Authority: 33 U.S.C. 1605. is a vessel of the Navy which, due to its location of the forward masthead light special construction and purpose, 2. Table Four, Paragraph 15 of § 706.2 in the forward quarter of the vessel, and is amended by adding, in numerical cannot fully comply with certain the horizontal distance between the provisions of the 72 COLREGS without order, the following entry for USS forward and after masthead lights; and, O’KANE: interfering with its special function as a Annex I, paragraph 3(c) pertaining to naval ship. The intended effect of this placement of task lights not less than § 706.2 Certifications of the Secretary of rule is to warn mariners in waters where two meters from the fore and aft the Navy under Executive Order 11964 and 72 COLREGS apply. centerline of the ship in the athwartship 33 U.S.C. 1605. EFFECTIVE DATE: February 3, 1999. direction. The Deputy Assistant Judge * * * * *
Horizontal distance from the fore and aft centerline Vessel Number of the vessel in the athwart- ship direction
******* USS O'KANE ...... DDG 77 1.92 meters.
*******
3. Table Four, Paragraph 16 of § 706.2 order, the following entry for USS § 706.2 Certifications of the Secretary of is amended by adding, in numerical O’KANE: the Navy under Executive Order 11964 and 33 U.S.C. 1605. * * * * *
Obstruction angle relative Vessel Number ship's headings
******* USS O'KANE ...... DDG 77 102.00 thru 112.50°.
*******
4. Table Five of § 706.2 is amended by § 706.2 Certifications of the Secretary of adding, in numerical order, the the Navy under Executive Order 11964 and following entry for USS O’KANE: 33 U.S.C. 1605. * * * * *
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TABLE FIVE
Masthead lights Forward mast- After mast-head light less than 1¤2 Percentage not over all other head light not in ship's length aft horizontal Vessel No. lights and ob- forward quarter of of forward mast- separation at- structions. annex ship. annex I, head light. annex tained I, sec. 2(f) sec. 3(a) I, sec. 3(a)
******* USS O'KANE ...... DDG 77 XXX 14.0
*******
Dated: February 3, 1999. rule is to warn mariners in waters where located in closest possible compliance R.R. Pixa, 72 COLREGS apply. with the applicable 72 COLREGS Captain, JAGC, U.S. Navy, Deputy Assistant EFFECTIVE DATE: February 3, 1999. requirements. Judge Advocate General (Admiralty). FOR FURTHER INFORMATION CONTACT: Moreover, it has been determined, in [FR Doc. 99–12025 Filed 5–11–99; 8:45 am] Captain R.R. Pixa, JAGC, U.S. Navy, accordance with 32 CFR Parts 296 and BILLING CODE 3810±FF±P Admiralty Counsel, Office of the Judge 701, that publication of this amendment Advocate General, Washington Navy for public comment prior to adoption is Yard, 1322 Patterson Avenue SE, Suite impracticable, unnecessary, and DEPARTMENT OF DEFENSE 3000, Washington, DC 20374–5066, contrary to public interest since it is Telephone Number: (202) 685–5040. based on technical findings that the Department of the Navy SUPPLEMENTARY INFORMATION: Pursuant placement of lights on this vessel in a manner differently from that prescribed 32 CFR Part 706 to the authority granted in 33 U.S.C. 1605, the Department of the Navy herein will adversely affect the vessel’s Certifications and Exemptions Under amends 32 CFR Part 706. This ability to perform its military functions. the International Regulations for amendment provides notice that the List of Subjects in 32 CFR Part 706 Preventing Collisions at Sea, 1972 Deputy Assistant Judge Advocate Amendment General (Admiralty) of the Navy, under Marine safety, Navigation (water), authority delegated by the Secretary of Vessels. AGENCY: Department of the Navy, DOD. the Navy, has certified that USS OGDEN Accordingly, 32 CFR Part 706 is ACTION: Final rule. (LPD 5) is a vessel of the Navy which, amended as follows: due to its special construction and SUMMARY: The Department of the Navy purpose, cannot fully comply with the PART 706Ð[AMENDED] is amending its certifications and following specific provisions of 72 exemptions under the International COLREGS without interfering with its 1. The authority citation for 32 CFR Regulations for Preventing Collisions at special functions as a naval ship: Annex Part 706 continues to read as follows: Sea, 1972 (72 COLREGS), to reflect that I, section 2(a)(i), pertaining to the height Authority: 33 U.S.C. 1605. the Deputy Assistant Judge Advocate of the forward masthead light; Annex I, 2. Table One of § 706.2 is amended by General (Admiralty) of the Navy has section 2(g), pertaining to the distance adding, in numerical order, the determined that USS OGDEN (LPD 5) is of the sidelights above the hull; and, following entry for the USS OGDEN a vessel of the Navy which, due to its Annex I, section 3(a), pertaining to the (LPD 5): special construction and purpose, horizontal distance between the forward cannot fully comply with certain and after masthead lights. The Deputy § 706.2 Certifications of the Secretary of provisions of the 72 COLREGS without Assistant Judge Advocate General the Navy under Executive Order 11964 and interfering with its special functions as (Admiralty) of the Navy has also 33 U.S.C. 1605. a naval ship. The intended effect of this certified that the lights involved are * * * * *
Distance in meters of for- ward masthead light below Vessel Number minimum required height. § 2(a)(i), Annex I
******* USS OGDEN ...... LPD 5 4.15
*******
3. Table Four, Paragraph 19 of § 706.2 order, the following entry for the USS § 706.2 Certifications of the Secretary of is amended by adding, in numerical OGDEN (LPD 5): the Navy under Executive Order 11964 and 33 U.S.C. 1605. * * * * *
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Distance in meters of Vessel Number sidelights above maximum allowed height
******* USS OGDEN ...... LPD 5 3.40
*******
4. Table Five of § 706.2 is amended by § 706.2 Certifications of the Secretary of revising the entry for the USS OGDEN the Navy under Executive Order 11964 and (LPD 5) to read as follows: 33 U.S.C. 1605. * * * * *
TABLE FIVE
Masthead lights Forward mast- After masthead light less than 1¤2 Percentage not over all other head light not in ship's length aft horizontal Vessel No. lights and ob- forward quarter of of forward mast- separation at- structions. annex ship. annex I, head light. annex tained I, sec. 2(f) sec. 3(a) I, sec. 3(a)
******* USS OGDEN ...... LPD 5 N/A N/A X 56.6
*******
Dated: February 3, 1999. FOR FURTHER INFORMATION CONTACT: Moreover, it has been determined, in R.R. Pixa, Captain R.R. Pixa, JAGC, U.S. Navy, accordance with 32 CFR Parts 296 and CAPT, JAGC, U.S. Navy, Deputy Assistant Admiralty Counsel, Office of the Judge 701, that publication of this amendment Judge Advocate General (Admiralty). Advocate General, Navy Department, for public comment prior to adoption is [FR Doc. 99–12026 Filed 5–11–99; 8:45 am] Washington Navy Yard, Washington, DC impracticable, unnecessary, and BILLING CODE 3810±FF±P 20374–5066, Telephone number: (202) contrary to public interest since it is 685–5040. based on technical findings that the placement of lights on this vessel in a DEPARTMENT OF DEFENSE SUPPLEMENTARY INFORMATION: Pursuant to the authority granted in 33 U.S.C. manner differently from that prescribed herein will adversely affect the vessel’s Department of the Navy 1605, the Department of the Navy amends 32 CFR Part 706. This ability to perform its military functions. 32 CFR Part 706 amendment provides notice that the List of Subjects in 32 CFR Part 706 Deputy Assistant Judge Advocate Certifications and Exemptions Under General (Admiralty) of the Navy, under Marine safety, Navigation (water), the International Regulations for authority delegated by the Secretary of Vessels. Preventing Collisions at Sea, 1972 the Navy, has certified that USS Accordingly, 32 CFR Part 706 is PORTER (DDG 78) is a vessel of the AGENCY: Department of the Navy, DOD. amended as follows: Navy which, due to its special ACTION: Final rule. construction and purpose, cannot fully PART 706Ð[AMENDED] comply with the following specific SUMMARY: The Department of the Navy provisions of 72 COLREGS without 1. The authority citation for 32 CFR is amending its certifications and interfering with its special function as a Part 706 continues to read as follows: exemptions under the International naval ship: Annex I, paragraph 2(f)(i) Authority: 33 U.S.C. 1605. Regulations for Preventing Collisions at pertaining to placement of the masthead Sea, 1972 (72 COLREGS), to reflect that light or lights above and clear of all 2. Table Four, Paragraph 15 of § 706.2 the Deputy Assistant Judge Advocate other lights and obstructions, and is amended by adding, in numerical General (Admiralty) of the Navy has Annex I, paragraph 3(a) pertaining to order, the following entry for USS determined that USS PORTER (DDG 78) the location of the forward masthead PORTER, and Table Five of § 706.2 is is a vessel of the Navy which, due to its light in the forward quarter of the amended by adding, in numerical order, special construction and purpose, vessel, and the horizontal distance the following entry for USS PORTER: cannot fully comply with certain between the forward and after masthead § 706.2 Certifications of the Secretary of provisions of the 72 COLREGS without lights. The Deputy Assistant Judge interfering with its special function as a the Navy under Executive Order 11964 and Advocate General (Admiralty) has also 33 U.S.C. 1605. naval ship. The intended effect of this certified that the lights involved are rule is to warn mariners in waters where located in closest possible compliance * * * * * 72 COLREGS apply. with the applicable 72 COLREGS EFFECTIVE DATE: February 24, 1999. requirements.
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Obstruction angle rel- Vessel No. ative ship's headings
******* USS PORTER ...... DDG 78 ...... 104.60 THRU 112.50°
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* * * * *
TABLE FIVE
Masthead lights Forward mast- After masthead light less than 1¤2 Percentage not over all other head light not in ship's length aft horizontal Vessel No. lights and ob- forward quarter of of forward mast- separation at- structions. annex ship. annex I, head light, annex tained I, sec. 2(f) sec. 3(a) I, sec. 3(a)
******* USS PORTER ...... DDG 78 XXX 13.5
*******
Dated: February 24, 1999. Comments must reach the Coast Guard The current regulations listed at 33 CFR R.R. Pixa, on or before October 30, 1999. § 117.605 require the bridge to open on Captain, JAGC, U.S. Navy, Deputy Assistant ADDRESSES: You may mail comments to signal from May 1st through November Judge Advocate, General (Admiralty). Commander (obr), First Coast Guard 15th, from 6 a.m. to 10 p.m. At all other [FR Doc. 99–12021 Filed 5–11–99; 8:45 am] District, 408 Atlantic Avenue, Boston, times the draw shall open on signal if BILLING CODE 3810±FF±P Massachusetts, 02110–3350. The at least one hour advance notice is given telephone number is (617) 223–8364. by calling the number posted at the bridge. FOR FURTHER INFORMATION CONTACT: John The bridge owner, the Massachusetts DEPARTMENT OF TRANSPORTATION W. McDonald, Project Officer, First Highway Department (MHD), requested Coast Guard District, (617) 223–8364. Coast Guard a temporary deviation from the SUPPLEMENTARY INFORMATION: operating regulations for the 33 CFR Part 117 Request for Comments Newburyport US1 Bridge to test an [CGD01±99±029] alternate drawbridge operating The Coast Guard encourages schedule. The local towns, Newburyport interested persons to submit comments, and Salsbury, have asked MHD and the Drawbridge Operation Regulations; written data, views, or arguments, Merrimack River, MA Coast Guard for relief from the concerning this 90 day deviation from significant vehicular traffic congestion AGENCY: Coast Guard, DOT. the drawbridge operation regulations. in Newburyport and Salsbury during the ACTION: Notice of temporary deviation Persons submitting comments should summer months caused by the frequent from regulations and request for include their names and addresses, and unscheduled opening of the bridge. comments. identify this notice (CGD01–99–029) The Newburyport US1 Bridge will and give reasons for each comment. The open on signal in accordance with the SUMMARY: The Commander, First Coast Coast Guard requests that all comments following schedule from June 3 through Guard District has issued a temporary 1 and attachments be no larger than 8 ⁄2 August 31, 1999: 90 day deviation from the existing by 11 inches, suitable for copying and drawbridge operation regulations electronic filing. Persons wanting (1) Monday through Friday, from 6 a.m. to governing the operation of the acknowledgment of receipt of comments 10 p.m., the bridge shall open only at half past the hour. Newburyport US1 Bridge, mile 3.4, should enclose a stamped, self- across the Merrimack River between (2) Saturday and Sunday, from 11 a.m. to addressed postcard or envelope. Persons 3 p.m., the bridge shall open only at half past Newburyport and Salsbury, may submit comments by writing to, the hour and from 6 a.m. to 11 a.m. and 3 Massachusetts. This deviation from the Commander (obr), First Coast Guard p.m. to 10 p.m., the bridge shall open on the existing operating regulations is District, 408 Atlantic Avenue, Boston, hour and half hour. necessary in order to test an alternate Massachusetts, 02110–3350. (3) At all other times the bridge shall open drawbridge operation schedule. It is on signal after at least one hour advance expected that scheduled bridge Background notice is given by calling the number posted openings for vessels will help eliminate The Newburyport US1 Bridge, mile at the bridge. the traffic congestion during the 3.4, across the Merrimack River has a It is expected that this action will summer months. vertical clearance of 35 feet at mean help alleviate vehicular traffic DATES: This deviation is effective from high water (MHW) and 42 feet at mean congestion during the summer months June 3, 1999 through August 31, 1999. low water (MLW) in the closed position. by scheduling the bridge openings.
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Mariners and vehicle operators can accompanying objections and hearing received in response to the notice of better plan their transits according to requests shall be labeled ‘‘Tolerance filing. the published schedule of operation. Petition Fees’’ and forwarded to: EPA The petition requested that 40 CFR Vessels that can pass under the bridge Headquarters Accounting Operations 180.479 be amended by establishing without a bridge opening may do so at Branch, OPP (Tolerance Fees), P.O. Box tolerances for residues of the herbicide any time. 360277M, Pittsburgh, PA 15251. A copy methyl 5-[(4,6-dimethyloxy-2- This deviation from the normal of any objections and hearing requests pyrimidinyl)amino] operating regulations is authorized filed with the Hearing Clerk identified carbonylaminosulfonyl-3-chloro-1- under 33 CFR 117.43. by the docket control number, [OPP– methyl-1H-pyrazole-4-carboxylate in or on sugarcane, cane at 0.05 parts per Dated: May 4, 1999. 300854], must also be submitted to: million (ppm) (PP 6F4620) (62 FR R.M. Larrabee, Public Information and Records Integrity Branch, Information Resources 33864); sweet corn, (kernel plus cobs Real Admiral, Coast Guard, Commander, First with husks removed at 0.1 ppm); sweet Coast Guard District. and Services Division (7502C), Office of Pesticide Programs, Environmental corn, forage at 0.5 ppm; sweet corn, [FR Doc. 99–11926 Filed 5–11–99; 8:45 am] Protection Agency, 401 M St., SW., fodder/stover at 1.5 ppm; popcorn, grain BILLING CODE 4910±15±M Washington, DC 20460. In person, bring at 0.1 ppm; popcorn, fodder/stover at a copy of objections and hearing 1.5 ppm (PP 6F4661) (62 FR 33864). requests to Rm. 119, Crystal Mall 2 (CM PP 8F4937 (63 FR 29401) proposed ENVIRONMENTAL PROTECTION #2), 1921 Jefferson Davis Hwy., the establishment of tolerances for AGENCY Arlington, VA. residues of methyl-5-[(4,6-dimethyloxy- 2-pyrimidinyl) amino] 40 CFR Part 180 A copy of objections and hearing carbonylaminosulfonyl-3-chloro-1- requests filed with the Hearing Clerk [OPP±300854; FRL±6078±5] methyl- 1H-pyrazole-4- carboxylate in or may be submitted electronically by on undelinted cotton seed and cotton RIN 2070±AB78 sending electronic mail (e-mail) to: opp- gin by-products at 0.05 ppm, rice grain [email protected]. Copies of objections at 0.05 ppm, rice straw at 0.20 ppm, tree Halosulfuron; Pesticide Tolerance and hearing requests must be submitted nut group (Group 14) nutmeat at 0.05 as an ASCII file avoiding the use of ppm and hulls at 0.20 ppm, pistachio, AGENCY: Environmental Protection special characters and any form of Agency (EPA). nutmeat at 0.05 ppm; and pistachio encryption. Copies of objections and hulls at 0.2 ppm. The petition also ACTION: Final rule. hearing requests will also be accepted proposed the establishment of on disks in WordPerfect 5.1/6.1 file SUMMARY: This regulation establishes tolerances for this chemical on corn, format or ASCII file format. All copies tolerances for residues of methyl-5- field, grain at 0.05 ppm; forage at 0.2; of objections and hearing requests in [((4,6-dimethoxy-2-pyrimidinyl) fodder at 0.8 ppm; sorghum, grain at electronic form must be identified by amino]carbonylaminosulfonyl-3-chloro- 0.05 ppm, sorghum, forage at 0.05 ppm, the docket control number [OPP– 1–1H-pyrazole- 4-carboxylate in or on sorghum, fodder/stover at 0.1 ppm. The 300854]. No Confidential Business almond, hulls; corn, sweet, kernel + cob petition also requested the removal of Information (CBI) should be submitted with husks removed; corn, sweet, indirect or inadvertent tolerance (40 through e-mail. Electronic copies of forage; corn, sweet, fodder, corn, pop, CFR 180.479(b)), in or on the following objections and hearing requests on this grain; corn, pop, fodder; cotton, raw agricultural commodities when rule may be filed online at many Federal undelinted seed; cotton, gin by- present therein as a result of the Depository Libraries. products, pistachio, nutmeat; rice, grain; application of halosulfuron-methyl to rice, straw; sugarcane, cane; and tree- FOR FURTHER INFORMATION CONTACT: By growing crops, soybean, forage at 0.5 nuts (crop group 14), nutmeat. This mail: Jim Tompkins, Registration ppm, soybean, hay at 0.5 ppm, soybean, regulation also reduces tolerances for Division (7505C), Office of Pesticide seed at 0.5 ppm, wheat, forage at 0.1 corn, field, grain; corn, field, forage; Programs, Environmental Protection ppm, wheat, grain at 0.1 ppm and corn, field, fodder; sorghum, grain, Agency, 401 M St., SW., Washington, wheat, straw at 0.2 ppm. grain; sorghum, grain, forage and DC 20460. Office location, telephone During the course of the review the sorghum, grain, fodder/stover. This number, and e-mail address: Rm. 239, Agency determined that the commodity regulation also deletes tolerances for CM #2, 1921 Jefferson Davis Hwy., tree nut hulls should be revised to read soybean, seed soybean, forage; soybean, Arlington, VA, (703) 305–5697, almond, hulls and that a tolerance for hay; wheat, grain; wheat, forage; and [email protected]. pistachio, hulls was not necessary as wheat, straw. Monsanto Company this commodity is not a significant SUPPLEMENTARY INFORMATION: In the livestock feed item. EPA also requested these tolerances under the Federal Register of June 23, 1997 (62 FR Federal Food, Drug, and Cosmetic Act, determined that the residue crop field 33864) (FRL–5722–8) and May 29, 1998 data supported the establishment of as amended by the Food Quality (63 FR 29401) (FRL–5791–2), EPA Protection Act of 1996. tolerances for halosulfuron-methyl on issued notices pursuant to section 408 corn, sweet, kernel + cob with husks DATES: This regulation is effective May of the Federal Food, Drug, and Cosmetic removed at 0.05 ppm; corn, sweet, 12, 1999. Objections and requests for Act (FFDCA), 21 U.S.C. 346a as forage at 0.2 ppm corn, sweet, fodder at hearings must be received by EPA on or amended by the Food Quality Protection 0.8 ppm; corn, pop, grain at 0.05 ppm; before July 12, 1999. Act of 1996 (FQPA) (Pub. L. 104–170) and corn, pop, fodder at 0.8 ppm. This ADDRESSES: Written objections and announcing the filing of a pesticide regulation is amended to reflect these hearing requests, identified by the petition (PP) for tolerance by Monsanto revisions. docket control number, [OPP–300854], Company, 700 14th St., Suite 1100, must be submitted to: Hearing Clerk Washington, DC 20005. This notice I. Background and Statutory Findings (1900), Environmental Protection included a summary of the petition Section 408(b)(2)(A)(i) of the FFDCA Agency, Rm. M3708, 401 M St., SW., prepared by Monsanto Company, the allows EPA to establish a tolerance (the Washington, DC 20460. Fees registrant. There were no comments legal limit for a pesticide chemical
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Toxicological Profile mean that ‘‘there is a reasonable carcinogenicity study in rats fed dosages certainty that no harm will result from EPA has evaluated the available of 0, 0.44, 4.4, 43.8, 108.3, and 225.2 aggregate exposure to the pesticide toxicity data and considered its validity, mg/kg/day (males) and 0, 0.56, 5.6, 53.6, chemical residue, including all completeness, and reliability as well as and 138.6 mg/kg/day (females) resulted anticipated dietary exposures and all the relationship of the results of the in a LOAEL of 225.2 mg/kg/day in males other exposures for which there is studies to human risk. EPA has also and 138.6 mg/kg/day in females based reliable information.’’ This includes considered available information on decreased body weight gains, and a exposure through drinking water and in concerning the variability of the NOAEL of 108.3 mg/kg/day in males residential settings, but does not include sensitivities of major identifiable and 56.3 mg/kg/day in females. The occupational exposure. Section subgroups of consumers, including study showed no evidence of 408(b)(2)(C) requires EPA to give special infants and children. The nature of the carcinogenicity. consideration to exposure of infants and toxic effects caused by halosulfuron- 7. A developmental toxicity study in children to the pesticide chemical methyl are discussed in this unit. rats fed dosages of 0, 75, 250, and 750 residue in establishing a tolerance and 1. Acute toxicology studies place the mg/kg/day resulted in a developmental to ‘‘ensure that there is a reasonable technical-grade halosulfuron-methyl in LOAEL of 750 mg/kg/day based on certainty that no harm will result to Toxicity Category III or IV for all routes decreases in mean litter size, increased infants and children from aggregate of exposure. It is not a dermal sensitizer number of resorptions, decreased mean exposure to the pesticide chemical and essentially non-irritating to the fetal body weight, increases in fetal residue.’’ skin. litter incidences of dilation of the lateral EPA performs a number of analyses to 2. A 90–day feeding study in rats fed ventricles and other anaomalities in the determine the risks from aggregate dosages of 7.4, 28.8, 116, and 497 developmental of the fetal nervous exposure to pesticide residues. For milligrams/kilograms/day (mg/kg/day) system, and skeletal variations such as further discussion of the regulatory for males and 8.9, 37.3, 147, and 640 anomalities or delays in ossificationin requirements of section 408 and a mg/kg/day for females and resulted in a the thoracic vertebrae, sternebrae, and complete description of the risk lowest observed adverse effect level ribs, and a developmental NOAEL of assessment process, see the final rule on (LOAEL) of 497 mg/kg/day in males and 250 mg/kg/day. The maternal LOAEL Bifenthrin Pesticide Tolerances (62 FR 640 mg/kg/day in females based on was 750 mg/kg/day based on increased 62961, November 26, 1997) (FRL–5754– findings of decreased body weight gain, incidence of clinical observations, 7). slight changes in several clinical reduced body weight gains, and reduced chemistry parameters, and an increase food consumption and food efficiency. II. Aggregate Risk Assessment and in vacuolated livers and kidney tubular The maternal NOAEL was 250 mg/kg/ Determination of Safety pigmentation, and a no observable day. Consistent with section 408(b)(2)(D), adverse effect level (NOAEL) of 116 mg/ 8. A developmental toxicity study in EPA has reviewed the available kg/day in males and 147 mg/kg/day in rabbits fed dosages of 0, 15, 50, and 150 scientific data and other relevant females. mg/kg/day resulted in a developmental information in support of this action. 3. A 21–day dermal toxicity study in LOAEL of 150 mg/kg/day, based on EPA has sufficient data to assess the rats fed dosages of 0, 10, 100, or 1,000 decreased mean litter size and increases hazards of halosulfuron-methyl and to mg/kg/day resulted in a NOAEL of 100 in resorptions, and post-implantation make a determination on aggregate mg/kg/day in males and 1,000 mg/kg/ loss, and a developmental NOAEL of 50 exposure, consistent with section day in females. The only treatment- mg/kg/day. The maternal LOAEL was 408(b)(2), for a tolerance for residues of related effect was a decrease in body 150 mg/kg/day based on reduced body methyl 5-[(4,6-dimethoxy-2- weight gain of the 1,000 mg/kg/day weight gain, reduced food consumption pyrimidinyl)amino] group in males. and food efficiency. The maternal carbonylaminosulfonyl]-3-chloro-1- 4. A 1–year chronic oral study in dogs NOAEL was 50 mg/kg/day. methyl-1H-pyrazole-4-carboxylate on fed dosages of 0, 0.25, 1.0, 10.0, and 9. A dietary 2–generation sugarcane, cane at 0.05 ppm, sweet corn 40.0 mg/kg/day resulted in a LOAEL of reproduction study in rats fed dosages (kernel plus cobs with husks removed) 40 mg/kg/day based on decreased of 6.3, 50.4, and 223.2 (males) and 7.4, at 0.05 ppm, sweet corn forage at 0.2 weight gains and changes in 58.7, and 261.4 mg/kg/day (females) ppm, sweet corn fodder/stover at 0.8 hematological and blood chemistry through 1 breeding and 2 breedings of ppm, popcorn grain at 0.05 ppm and parameters in females and a NOAEL of the offspring from the initial generation popcorn fodder/stover at 0.8 ppm, 10 mg/kg/day for systemic toxicity. (7.4, 61.0, and 274,2 mg/kg/day for undelinted cotton seed at 0.05 ppm, 5. A 78–week carcinogenicity study males and 8.9, 69.7, and 319.9 mg/kg/ cotton gin by-products at 0.05 ppm, rice, was performed on mice fed dosages of day resulted in parental toxicity at 223.2 grain at 0.05 ppm, rice, straw at 0.20 0, 4.0, 41.1, 410.0, and 971.9 mg/kg/day mg/kg/day in males and 261.4 mg/kg/ ppm, tree nut group (crop group 14), (males) and 0, 5.2, 51.0, 509.1, and day in females in the form of decreased nutmeat at 0.05 ppm, almond, hulls at 1,214.6 mg/kg/day (females). Males in body weights, decreased body weight 0.20 ppm, and pistachio, nutmeat at the 971.6 mg/kg/day group had gains, and reduced food consumption 0.05 ppm. The assessment will include decreased body weight gains and an during the premating period. Very slight currently established tolerances for increased incidence of microconcretion/ effects were noted in body weights of residues of halosulfuron in or on field mineralization in the testis and the offspring at this dose. This effect corn, grain at 0.05 ppm, field corn, epididymis. No treatment-related effects was considered to be developmental forage at 0.2 ppm and field corn, fodder were noted in females. Based on these toxicity (developmental delay) rather at 0.8 ppm, sorghum, grain at 0.05 ppm, results, a LOAEL of 971.9 mg/kg/day than a reproductive effect based on sorghum, forage at 0.05 ppm, sorghum, was established in males and NOAELs general parental systemic toxicity. No fodder/stover at 0.1 ppm. EPA’s of 410 mg/kg/day in males and 1,214.6 effects were noted on reproductive or assessment of the dietary exposures and mg/kg/day in females were established. other developmental toxicity
VerDate 06-MAY-99 18:41 May 11, 1999 Jkt 183247 PO 00000 Frm 00022 Fmt 4700 Sfmt 4700 E:\FR\FM\12MYR1.XXX pfrm07 PsN: 12MYR1 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25441 parameters. The systemic/ ovary cells did not show a clear iv. This endpoint will provide developmental toxicity LOAEL was evidence of mutagenic effect in the adequate protection for the 223.2 mg/kg/day in males and 261.4 mg/ Chinese hamster ovary cells. subpopulation Female 13+ (i.e., kg/day in females; the systemic/ iv. The mouse micronucleus assay did pregnant workers). developmental toxicity NOAEL was not show any clastogenic or aneugenic Since an oral NOAEL was selected, a 50.4 mg/kg/day in males and 58.7 mg/ effect. dermal absorption factor of 75% should be used for this dermal risk assessment. kg/day in females. The reproductive B. Toxicological Endpoints LOAEL was greater than 223.2 mg/kg/ The Agency estimated a dermal day in males and 261.4 mg/kg/day in 1. Acute toxicity. The acute dietary absorption rate of 75% (i.e. a females; the reproductive NOAEL was Reference Dose (RfD) of 0.5 mg/kg/day dermal:oral toxicity ratio of 75%) based equal to or greater than 223.2 mg/kg/day is based on the rabbit developmental on the results of an oral developmental in males and 261.4 mg/kg/day in NOAEL of 50 mg/kg/day and should be toxicity study and a 21–day dermal females. used for assessing acute dietary risks for toxicity study in the same species (rats). 10. Bacterial/mammalian microsomal the sub-populations, Females 13+ as In the oral developmental toxicity mutagenicity assays were performed well as Infants and Children. Although, study, the maternal NOAEL was 250 and found halosulfuron-methyl not to the endpoint is developmental toxicity mg/kg/day and the LOAEL was 750 mg/ be mutagenic. Two mutagenicity studies occurring in utero, and thus may not be kg/day based on decreases in body were performed to test gene mutation suitable for use in risk assessment for weight gains and food consumption. In and found to produce no chromosomal Infants and Children, EPA determined the 21–day dermal toxicity study, the aberrations or gene mutations in that it is appropriate to use for this systemic toxicity NOAEL was 100 mg/ cultured Chinese hamster ovary cells. subpopulation (Infants and Children) kg/day and the LOAEL was 1,000 mg/ An in vivo mouse micronucleus assay because there is evidence of alteration to kg/day based on decreased body weight did not result in a significant increase the development of the fetal nervous gain in males. A ratio of the LOAELs in the frequency of micronucleated system in the developmental toxicity from the oral and dermal studies, polychromatic erythrocytes in bone study in rats. Oral administration indicated an approximate dermal marrow cells. A mutagenicity study was resulted in dilation of the lateral absorption rate of 75% (oral LOAEL of performed on rats and unscheduled ventricles, dilation of the third 750 mg/kg/day ÷ dermal LOAEL of DNA synthesis was not induced in ventricle, spinal cord agenesis, and 1,000 mg/kg/day x 100 = 75%). This primary rat hepatocytes. adrenal agenesis at 750 mg/kg/day; and absorption factor may overestimate 11. In the rat metabolism study, malformed brain cortex at 250 mg/kg/ dermal absorption due to sensitivity parent compound absorption was rapid day in rats only. Thus, EPA determined differences in toxicity between the sexes but incomplete. Excretion was relatively that potential effects on functional (the developmental toxicity LOAEL is in rapid at all doses tested with a majority development mandate the use of this females, and the 21–day dermal toxicity of radioactivity eliminated in the urine endpoint for females of child bearing LOAEL is in males). and feces by 72 hours and appeared to age (Females 13+) as well as for infants The Agency selected the intermediate- be independent of dose and sex. Fecal and children. term endpoint based on the chronic dog elimination of parent was apparently This endpoint is not applicable for NOAEL of 10 mg/kg/day based on the result of unabsorbed parent. adult males. A dose and endpoint was decreased body weight gains and 12. The toxicology studies listed not identified for this subpopulation changes in hematology and clinical below were conducted with the since no toxicological effects applicable chemistry parameters in females at the metabolite, 3-chloro-1-methyl-5- to adult males and attributable to a LOAEL of 40 mg/kg/day. At 40 mg/kg/ sulfamoylpyrazole-4-carboxylic acid (3- single exposure (dose) were observed in day, decreases in body weight gain were CSA). Based on the toxicological data of oral toxicity studies including the seen during study weeks 0–13 in both the 3-CSA metabolite, EPA concluded developmental toxicity studies in rats sexes with the decrease being more that the metabolites have lower toxicity and rabbits. pronounced in males (21%) than compared to the parent compound and 2. Short- and intermediate-term females (7%). Overall weight gain for that it should not be included in the toxicity. No short- or intermediate-term the entire study (weeks 0–52) was not tolerance expression. The residue of inhalation toxicity endpoints were significantly affected in male dogs, but concern is the parent compound only. identified. The Agency selected a short was decreased by 16% in female dogs at i. A 90–day rat feeding study resulted term dermal endpoint based on the this dose. EPA selected this dose and in a LOAEL in males of >20,000 ppm rabbit oral developmental NOAEL of 50 endpoint for an intermediate-term risk and a NOAEL of 20,000 ppm (1,400 mg/ mg/kg/day and a 75% dermal assessment because the body weight kg/day). In females, the lowest effect absorption factor instead of the 21–day anomalies, observed in both sexes level (LEL) is 10,000 ppm (772.8 mg/kg/ dermal study because: during various phases of the study, meet day) based on decreased body weight i. There is a consistent pattern in the the exposure period of concern (i.e., 1- gains and a NOAEL of 1,000 ppm (75.8 fetal effects (decreased mean litter size, week to several months). Since an oral mg/kg/day). increased number of resorptions, and NOAEL was selected, a dermal ii. A developmental toxicity resulted increased postimplantation loss) absorption factor of 75% should be used in a lowest observed effect level (LOEL) observed in 2 species (rats and rabbits) for this dermal risk assessment. for maternal toxicity of >1,000 mg/kg/ via the oral route. 3. Chronic toxicity. EPA has day based on the absence of systemic ii. The developmental effects are established the RfD for halosulfuron- toxicity, a NOAEL of 1,000 mg/kg/day. considered acute effects and thus are methyl at 0.1 mg/kg/day. This RfD is The developmental LOEL is >1,000 mg/ appropriate for this exposure period of based on the chronic dog NOAEL of 10 kg/day and the NOAEL is 1,000 mg/kg/ concern (i.e., 1–7 days). mg/kg/day with decreased body weight day. iii. The reproductive/fetal parameters gains and changes in clinical chemistry iii. The microbial reverse gene are not evaluated in the dermal toxicity parameters in females at the LOAEL of mutation did not produce any study, and thus the consequences of 40 mg/kg/day. mutagenic effect while the mammalian these effects cannot be ascertained for 4. Carcinogenicity. There is no cell gene mutation/Chinese hamster the dermal route of exposure. evidence of carcinogenicity in the
VerDate 06-MAY-99 18:41 May 11, 1999 Jkt 183247 PO 00000 Frm 00023 Fmt 4700 Sfmt 4700 E:\FR\FM\12MYR1.XXX pfrm07 PsN: 12MYR1 25442 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations mouse or rat. On September 23, 1993, FQPA) should be removed for the infants (less than 1 year old and EPA tentatively classified halosulfuron- following reasons: There was no 0.000250 or 0.05% of the RfD for methyl as a Group E chemical based on indication of increased susceptibility of females (13–19 not pregnant/not nursing the lack of evidence of carcinogenicity rats or rabbits to in utero and/or (np/nn). Refinement of the estimates in male and female mice and rats. On postnatal exposure to halosulfuron- through the use of percent-of-crop- February 26, 1998, EPA classified methyl. In the prenatal developmental treated data and anticipated residues halosulfuron-methyl as a Not Likely toxicity studies in rats and rabbits and will result in lower exposure estimates. human carcinogen. There is an adequate the 2–generation reproduction study in Even with these conservative mutagenicity data base that shows rats, effects in the offspring were assumptions, the risks from both acute halosulfuron-methyl is not mutagenic. observed only at or above treatment dietary (food only) exposure to levels which resulted in evidence of halosulfuron-methyl are less than 1% C. Exposures and Risks parental toxicity. for all population subgroups listed in 1. From food and feed uses. The requirement of a developmental the DEEM analysis. Therefore, the risk Tolerances have been established (40 neurotoxicity study in rats did not from acute ‘‘food only’’ exposure is CFR 180.479) for the residues of methyl warrant application of additional safety below the Agency’s level of concern (i.e. 5-[(4,6-dimethoxy-2-pyrimidinyl) factors because: (a) The alterations ≤ 100% of the acute RfD in the absence amino] carbonylaminosulfonyl-3-chloro- observed in the fetal fetal nervous of additional safety factors, as is the case 1-methyl-1H-pyrazole-4- carboxylate, system occurred in only one species (in for halosulfuron-methyl). and its metabolites determined as 3- rats and not in rabbits); (b) the fetal ii. Chronic exposure and risk. The chloro-1-methyl-5- sulfamoylpyrazole-4- effects which will be investigated in the chronic dietary RfD of 0.1 mg/kg/day is carboxylic acid and expressed as the required developmental neurotoxicity based on the chronic dog study with a parent equivalents, in or on a variety of study were seen only at a dose of 750 NOAEL of 10 mg/kg/day and an raw agricultural commodities. mg/kg/day which is close to the limit- uncertainty factor of 100. As discussed Tolerances are established on meat by dose (1,000 mg/kg/day); (c) there was no above the 10x FQPA safety factor was products of cattle, goats, hogs, horses, evidence of clinical signs of removed. and sheep at 0.1 ppm. Risk assessments neurotoxicity, brain weight changes, or A DEEM analysis for halosulfuron- were conducted by EPA to assess neuropathology in the subchronic or methyl was performed which dietary exposures from halosulfuron chronic studies in rats; (d) the incorporated proposed permanent methyl as follows: developmental neurotoxicity study is tolerances for sweet corn, popcorn, tree i. Acute exposure and risk. Acute required only as confirmatory data to nuts, pistachio, and rice; revised dietary risk assessments are performed understand what the effect is at a high tolerances for field corn and grain for a food-use pesticide if a toxicological exposure (dose) level; and (e) exposure sorghum; and revoked tolerances for study has indicated the possibility of an assessments do not indicate a concern wheat and soybean. The analysis effect of concern occurring as a result of for potential risk to infants and children evaluates individual food consumption a 1–day or single exposure. based on the results of the field trial as reported by respondents in the USDA The acute dietary RfD of 0.5 mg/kg/ studies and the very low application 1989–91 Continuing Survey of Food day is based on a developmental (rabbit) rate (equivalent to 0.06 lbs. active Intake by Individuals (CSFII) and NOAEL of 50 mg/kg/day and an ingredient per acre). Detectable residues accumulates exposure to the chemical uncertainty factor of 100. The Agency are not expected in human foods. for each commodity. Each analysis has determined that a postnatal A Dietary Exposure Evaluation Model assumes uniform distribution of developmental neurotoxicity study in (DEEM) analysis for halosulfuron- halosulfuron-methyl in the commodity rats is required for halosulfuron-methyl methyl was performed which supply. This Tier 1 analysis assumed based on the following weight-of-the- incorporated proposed permanent tolerance-level residues for all evidence considerations: In the tolerances for sweet corn, popcorn, tree commodities having halosulfuron- developmental toxicity study in rats, nuts, pistachio, and rice; and the revised methyl tolerances and 100% of the there was evidence of alterations to the tolerances for field corn and grain associated crops received halosulfuron- development of the fetal nervous system sorghum. The analysis evaluates methyl treatment. The TMRCs resulting at 750 mg/kg/day (the highest dose individual food consumption as from these assumptions should be tested), including dilation of the lateral reported by respondents in the USDA considered a very conservative estimate ventricles (16 fetuses/5 litters), dilation 1989–91 Continuing Survey of Food of the exposure. The chronic TMRC for of the third ventricle (1/1), spinal cord Intake by Individuals (CSFII) and the U.S. population is 0.000102 mg/kg/ agenesis (1/1), and adrenal agenesis (1/ accumulates exposure to the chemical day or 0.1% of the RfD; 0.000158 mg/ 1) at the high dose; and malformed brain for each commodity. Each analysis kg/day or 0.2 of the RfD for all infants cortex (1/1) at 250 mg/kg/day. There assumes uniform distribution of (less than 1 year old); 0.000238 or 0.2% was no evaluation of perfused nervous halosulfuron-methyl in the commodity of the RfD for children (1–6); and system tissues, since acute and supply. This Tier 1 analysis assumed 0.000100 mg/kg/day or 0.1% of the RfD subchronic neurotoxicity studies in rats tolerance-level residues for all for females (13–19 years not pregnant or were not required. The primary concern commodities having halosulfuron- nursing). Refinement of the estimates is the lack of information available in methyl tolerances and 100% of the through the use of percent-of-crop- the data base that would allow the associated crops received halosulfuron- treated data and anticipated residues determination of whether functional methyl treatment. The Theoretical will result in lower exposure estimates. deficits would be observed at dose Maximum Residue Concentrations Even with these conservative levels below those which result in frank (TMRCs) resulting from these assumptions, the risks from chronic malformations of the central nervous assumptions should be considered a dietary (food only) exposure to system. Thus, Agency criteria require very conservative estimate of the halosulfuron-methyl are less than 1% that a developmental neurotoxicity exposure. The acute dietary TMRC for for all population subgroups listed in study be submitted. the United States (U.S.) population is the DEEM analysis. Therefore, the risk The 10x factor for protection of 0.000304 mg/kg/day or 0.06% of the from chronic ‘‘food only’’ exposure is infants and children (as required by RfD; 0.000754 or 0.15 non-nursing below the Agency’s level of concern (i.e.
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≤ 100% of the chronic RfDs in the application rate of 0.063 lbs. active grounds, sod or turf seed farms, sports absence of additional safety factors, as is ingredient/acre (ai/A) which may be fields, landscaped areas, with the case for halosulfuron-methyl). applied twice per use season. Drinking established woody ornamentals and Short- and intermediate-term water levels of comparisons (DWLOCs) other similar use sites. For residential exposure and risk. Margins of exposures for acute, short-term, intermediate-term, handlers and postapplication activities, (MOEs) can be calculated for food as and chronic exposure were calculated short- to intermediate-term exposures well as residential exposures. The short- and compared with DWECs. The may occur. Chronic exposures (6 or term NOAEL for females 13+ and Agency’s default body weights and more months of continuous exposure) infants and children is 50 mg/kg/day. consumption values used to calculate are not expected. Comparing the NOAEL of 50 mg/kg/day DWLOCs are 70 kg/2L for adult males; i. Acute exposure and risk. There is a with the chronic food exposure from the 60 kg/2L for adult females; and 10 kg/ potential for exposure to halosulfuron- DEEM analysis of 0.00025 mg/kg /day 1L for children. methyl by homeowner mixer/loaders. for females 13+ np/nn and 0.00075 mg/ i. Acute exposure and risk. EPA has However, since endpoints for acute kg/day for infants/children results in calculated a DWLOC for acute exposure dermal or inhalation were not food MOEs of 200,000 for females 13+ to halosulfuron-methyl in drinking identified, the use on residential non- and 67,000 for infant/children. water for the relevant population food sites is not expected to pose an The intermediate-term NOAEL is subgroups, females 13+ years of age and unacceptable acute risk. based on the chronic dietary NOAEL of infants and children. The acute DWLOC ii. Chronic exposure and risk. Chronic 10 mg/kg/day. Comparison of the is 15,000 µg/L for females (13+ years µ exposures for residential use are not NOAEL of 10 mg/kg/day with the old) and 5,000 g/L for infants and expected. A chronic non-dietary chronic food exposures from DEEM of children, which is substantially higher endpoint was not identified, therefore 0.00010 for adult males and females 13+ than the DWECs for surface water (4.3 the use on residential non-food sites is np/nn and 0.00024 mg/kg/day for µ µ g/L) and ground water (0.008 g/L). not expected to pose an unacceptable infants/children result in food MOEs of Acute exposure to halosulfuron-methyl chronic risk. 100,000 for adult males and females 13+ in drinking water is below the iii. Short- and intermediate-term and 42,000 for infants/children. calculated drinking water level of exposure and risk. There is a potential 2. From drinking water. There are no concern. established Maximum Contaminant ii. Chronic exposure and risk. EPA for short-term and intermediate-term Levels (MCL) for residues of has calculated the DWLOCs for chronic dermal exposure to residential handlers. halosulfuron-methyl in drinking water. exposure to halosulfuron-methyl in Chemical specific or site specific data It is not listed for MCL development or drinking water. For chronic exposure to are not available to assess residential drinking water monitoring under the halosulfuron-methyl in surface and exposure to residues of halosulfuron- Safe Drinking Water Act nor is it a target ground water, the DWLOCs are 3,500 methyl on turf, therefore, the DRAFT of EPA’s National Survey of Wells for µg/L for the U.S. population (48 states), Standard Operating Procedures (SOP) Pesticides. No health advisory levels for 3,000 µg/L for females 13+ years and for Residential Exposure Assessments halosulfuron-methyl in drinking water 1,000 µg/L for infants/children, which were employed to assess the following have been established. There are no are substantially higher than the chronic postapplication exposure scenarios: (a) information of any halosulfuron-methyl surface water DWEC of 1.1 µg/L and the dermal exposure from pesticide residues detections in any wells, ponds, lakes or ground water DWEC of 0.008 µg/L. on turf; (b) children’s incidental streams resulting from its use in the Chronic exposure to halosulfuron- nondietary ingestion of pesticide United States. No monitoring data on methyl in drinking water is below the residues on residential lawn from hand- residues of halosulfuron-methyl in calculated drinking water level of to-mouth transfer; and (c) children’s surface and ground water are readily concern. ingestion of pesticide-treated turfgrass. available. EPA used the SCI-GROW iii. Short-term and intermediate-term For residential handlers the default (Screening Concentration In Ground exposure and risk. The short-term assumptions for area treated and Water) to estimate residues of DWLOCs calculated for drinking water exposure duration time were selected halosulfuron-methyl in ground water are 10,000 µg/L for females 13+ and from the DRAFT SOP for Residential and the PRZM/EXAMS II to estimate the 3,700 µg/L for infants and children. The Exposure Assessments (December 18, surface water concentrations. The SCI- intermediate term DWLOCs calculated 1997). The SOP does not list a mixer/ GROW model is derived from a for drinking water are 590 µg/L for adult loader/applicator scenario for dry maximum 90–day average males; 57 µg/L for females (13+ np/nn) flowable (water-dispersible granule). concentrations from monitoring studies and 160 µg/L for infants and children. Therefore, the unit exposure for ‘‘garden conducted at sites believed to be Intermediate-term DWLOCs are hose end sprayer/liquid/open pour vulnerable to, and under conditions substantially higher than the DWEC for (MLAP)’’ was selected as a default likely to result in ground water chronic surface water (1.1 µg/L). Short- value. Based on Pesticide Handlers contamination. Since variations in term DWLOCs substantially higher than Exposure Data (PHED), a liquid ground water concentrations are the DWEC for acute surface water (4.3 formulation is believed to have a higher generally relatively minor over time µg/L. Short- and intermediate- term dermal exposure potential than a dry periods of interest, the concentrations exposures are below the calculated flowable. Default assumptions were can be considered both acute and drinking water levels of concern. used with the maximum application chronic values. 3. From non-dietary exposure. rate on the label to estimate residential The estimated drinking water Halosulfuron-methyl is currently handler exposure to halosulfuron- environmental concentrations (DWEC) registered for use on the following methyl. According to Table A–1 of the for halosulfuron-methyl in ground water residential non-food sites: commercial SOPs for Residential Exposure (acute and chronic) is 0.008 µgram/Liter and residential turf and on other non- Assessments, the method used for (µg/L). The estimated acute and chronic crop sites including airports, cemeteries, estimating residential applicator DWECs for surface water are 4.3 µg/L fallow areas, golf courses, landscaped exposure is believed to produce a and 1.1 µg/L, respectively. These areas, public recreation areas, central tendency to high-end estimate of estimates are based on a maximum residential property, road sides, school exposure.
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The short-term dermal MOE for pesticide in a cumulative risk exposure. For halosulfuron-methyl, EPA residential handlers (60 kg adult) is assessment. Unlike other pesticides for has determined that it is appropriate to 4,200. This MOE is greater than 100 and which EPA has followed a cumulative aggregate exposure via the oral route therefore does not exceed EPAs level of risk approach based on a common (from food and water) with those via concern. mechanism of toxicity, halosulfuron- oral and dermal routes from residential For adult and children methyl does not appear to produce a uses. The MOEs can be calculated for postapplication scenarios the default toxic metabolite produced by other dietary as well as residential exposures. assumptions, such as dermal transfer substances. For the purposes of this However, there are no drinking water coefficient, exposure time, hand surface tolerance action, therefore, EPA has not estimates (only estimates of surface area, ingestion frequency, residue assumed that halosulfuron-methyl has a water). Assuming a minimum Aggregate dissipation, and ingestion rates, were common mechanism of toxicity with MOE of 100, short-term DWLOC was selected from the DRAFT SOPs for other substances. For information calculated. MOEs for ‘‘food only’’ and Residential Exposure Assessments regarding EPA’s efforts to determine residential exposures are 200,000 and (December 18, 1997). The dislodgeable which chemicals have a common 310 for females 13+. The short-term foliar residue value used for mechanism of toxicity and to evaluate DWLOC for females 13+ years is 10,000 intermediate exposure estimates was the cumulative effects of such µg/L. Short-term aggregate DWLOCs are based on the average of the first 10–days chemicals, see the final rule for substantially higher than the DWEC for (20% for fraction of ai retained on the Bifenthrin Pesticide Tolerances (62 FR acute surface water (4.3 µg/L). The food foliage and 10% for fraction of residue 62961, November 26, 1997). and residential (oral and dermal) MOEs that dissipates daily). Default are well above the acceptable short-term D. Aggregate Risks and Determination of assumptions were used with the aggregate MOE of 100. Therefore, short- Safety for U.S. Population maximum application rate on the label term aggregate risk does not exceed to estimate postapplication exposure to 1. Acute risk. Acute aggregate risk EPA’s level of concern. These estimates children and adults from treated lawns. includes exposure form food + water. of food and residential exposure are According to Table A–1 of the SOP’s for The risk from acute ‘‘food only’’ considered to be somewhat Residential Exposure Assessments, the exposure is less than 1% of the RfD for conservative. method used for estimating all population subgroups which is less Intermediate-term aggregate exposure postapplication exposure is believed to than the Agency’s level of concern takes into account chronic dietary food produce a high-end estimate of (100% of the RfD). The lowest DWLOC and water (considered to be a exposure. calculated was 5,000 µg/L for infants/ background exposure level) plus The short-term dermal exposure and children. The DWLOC calculated for intermediate-term residential uses. The risk from treated lawn MOEs for adult females (13+ np/nn) was 15,000 µg/L. MOEs for ‘‘food only’’ and residential females, adult males, and children are Both of these levels are higher than the exposures are 100,000 and 120 for adult 330, 390, and 420, respectively. The DWLOC for acute surface water (4.3 µg/ males, 100,000 and 102 for females 13+. intermediate-term dermal MOEs for L) and ground water (0.008 µg/L). The intermediate-term DWLOCs are 590 adult females, adult males, and children Therefore, the risk from aggregate µg/L and 57 µg/L, respectively for adult are 100, 120, and 130, respectively. Both exposure to halosulfuron-methyl does males and females 13+ years. short and intermediate-term dermal not exceed EPAs level of concern. Intermediate-term DWLOCs are MOEs are 100 or greater, and therefore 2. Chronic risk. Using the TMRC substantially higher than the DWEC for do not exceed EPA’s level of concern. exposure assumptions described in this chronic surface water (1.1 µg/L). The The short- and intermediate-term oral unit, EPA has concluded that aggregate MOEs for food only and residential exposure and risk for hand to mouth exposure to halosulfuron-methyl from exposure (dermal) are higher than 100. transfer MOEs for children are 4,900 food will utilize 0.1% of the RfD for the Therefore, intermediate-term aggregate and 1,500, respectively. Both short and U.S. population. The major identifiable risk does not exceed EPA’s level of intermediate-term oral MOEs are greater subgroup with the highest aggregate concern. than 100, and therefore do not exceed exposure is children (1–6) which 4. Aggregate cancer risk for U.S. EPA’s level of concern. utilizes 0.2% of the RfD as discussed population. EPA has classified The short- and intermediate-term oral below. EPA generally has no concern for halosulfuron-methyl as a ‘‘not likely’’ exposure and risk incidental ingestion exposures below 100% of the RfD carcinogen (no evidence of MOEs for children are 210,000 and because the RfD represents the level at carcinogenicity to humans) based on the 66,000, respectively. Both short and or below which daily aggregate dietary lack of evidence of carcinogenicity in intermediate MOEs are greater than 100, exposure over a lifetime will not pose mice and rats and therefore has a and therefore do not exceed EPAs level appreciable risks to human health. reasonable certainty that no harm will of concern. Despite the potential for exposure to result from exposure to residues of 4. Cumulative exposure to substances halosulfuron-methyl in drinking water halosulfuron-methyl. with a common mechanism of toxicity. and from non-dietary, non-occupational 5. Determination of safety. Based on Section 408(b)(2)(D)(v) requires that, exposure, EPA does not expect the these risk assessments, EPA concludes when considering whether to establish, aggregate exposure to exceed 100% of that there is a reasonable certainty that modify, or revoke a tolerance, the the RfD. EPA concludes that there is a no harm will result from aggregate Agency consider ‘‘available reasonable certainty that no harm will exposure to halosulfuron-methyl information’’ concerning the cumulative result from aggregate exposure to residues. effects of a particular pesticide’s halosulfuron-methyl residues. residues and ‘‘other substances that 3. Short- and intermediate-term E. Aggregate Risks and Determination of have a common mechanism of toxicity.’’ exposure and risk. Short- and Safety for Infants and Children EPA does not have, at this time, intermediate-term aggregate exposure 1. Safety factor for infants and available data to determine whether takes into account chronic dietary food children— i. In general. In assessing the halosulfuron-methyl has a common and water (considered to be a potential for additional sensitivity of mechanism of toxicity with other background exposure level) plus short- infants and children to residues of substances or how to include this term and intermediate-term residential halosulfuron-methyl, EPA considered
VerDate 06-MAY-99 18:41 May 11, 1999 Jkt 183247 PO 00000 Frm 00026 Fmt 4700 Sfmt 4700 E:\FR\FM\12MYR1.XXX pfrm07 PsN: 12MYR1 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25445 data from developmental toxicity of whether functional deficits would be 3. Chronic risk. Using the exposure studies in the rat and rabbit and a 2– observed at dose levels below those assumptions described in this unit, EPA generation reproduction study in the rat. which result in frank malformations of has concluded that aggregate exposure The developmental toxicity studies are the central nervous system. to halosulfuron-methyl from food will designed to evaluate adverse effects on iii. Conclusion. Except for the utilize 0.2% of the RfD for infants and the developing organism resulting from pending requirements for a children. EPA generally has no concern maternal pesticide exposure gestation. developmental neurotoxicity study, the for exposures below 100% of the RfD Reproduction studies provide toxicity data base is complete for because the RfD represents the level at information relating to effects from halosulfuron-methyl and exposure data or below which daily aggregate dietary exposure to the pesticide on the is complete or is estimated based on exposure over a lifetime will not pose reproductive capability of mating data that reasonably accounts for appreciable risks to human health. animals and data on systemic toxicity. potential exposures. EPA concludes, Despite the potential for exposure to FFDCA section 408 provides that EPA based on reliable data, that use of the halosulfuron-methyl in drinking water shall apply an additional tenfold margin standard margin of safety will be safe for and from non-dietary, non-occupational of safety for infants and children in the infants and children without the exposure, EPA does not expect the case of threshold effects to account for addition of another tenfold factor. The aggregate exposure to exceed 100% of pre-and post-natal toxicity and the requirement of a developmental the RfD. completeness of the data base unless neurotoxicity study in rats did not 4. Short- or intermediate-term risk. An EPA determines that a different margin warrant application of additional safety aggregate exposure estimate and risk of safety will be safe for infants and factor because: (a) the alterations assessment was calculated for children. Margins of safety are observed in the fetal nervous system postapplication exposure to incorporated into EPA risk assessments occurred in only one species (in rats and halosulfuron from treated lawns. Short- either directly through use of a margin not in rabbits); (b) the fetal effects which of exposure (MOE) analysis or through term MOEs for food, residential oral, will be investigated in the required and residential dermal are 67,000, using uncertainty (safety) factors in developmental neurotoxicity study were calculating a dose level that poses no 5,000, and 420 respectively, for infants seen only at a dose of 750 mg/kg/day and children. The intermediate-term appreciable risk to humans. EPA which is close to the limit-dose (1,000 believes that reliable data support using MOEs for food, residential oral, and mg/kg/day); (c) there was no evidence of residential dermal are 42,000, 1,500, the standard uncertainty factor (usually clinical signs of neurotoxicity, brain 100 for combined inter- and intra- and 130, respectively for infants and weight changes, or neuropathology in species variability) and not the children. The short and intermediate- the subchronic or chronic studies in additional tenfold MOE/uncertainty term DWLOCs for infants and children rats; (d) the developmental factor when EPA has a complete data were 3,700 and 160 mg/L, respectively. neurotoxicity study is required only as base under existing guidelines and The short and intermediate DWLOCs are confirmatory data to understand what when the severity of the effect in infants substantially higher than the DWECs for the effect is at a high exposure (dose) µ or children or the potency or unusual acute surface water (4.3 g/L) and level; and (e) exposure assessments do µ toxic properties of a compound do not chronic surface water (1.1 g/L). The not indicate a concern for potential risk raise concerns regarding the adequacy of food and residential MOEs are above the to infants and children based on the the standard MOE/safety factor. acceptable aggregate MOE of 100. ii. Pre- and postnatal sensitivity. results of the field trial studies and the Therefore, short-and intermediate-term Based on the developmental and very low application rat (0.06 lbs ai/A). aggregate risk does not exceed EPAs reproductive toxicity studies, there is no Detectable residues are not expected in level of concerns for infants and indication of increased sensitivity of human foods. children. rats or rabbits to in utero and/or 2. Acute risk. The acute dietary RfD 5. Determination of safety. Based on postnatal exposure to halosulfuron- was determined to be 0.5 mg/kg/day these risk assessments, EPA concludes methyl. In these studies, the effects in based on the NOAEL from the that there is a reasonable certainty that the fetuses/offspring was observed only developmental rabbit study (50 mg/kg/ no harm will result to infants and at or above treatment levels which day) and a safety factor of 100. Based on children from aggregate exposure to resulted in evidence of parental toxicity. the high-end exposures, the percent of halosulfuron-methyl residues. The EPA determined that a postnatal the RfD occupied for the U.S. developmental neurotoxicity study in population was 0.06%, 0.15% for non- III. Other Considerations rats is required based on the following nursing infants (<1 year old) and 0.05% A. Metabolism In Plants and Animals weight-of-evidence considerations: (a) females 13+ years old. The subgroup In the developmental toxicity study in with the highest exposure was the non- Plant metabolism studies have been rats, there was evidence of alterations to nursing infants (<1 year old). The submitted and reviewed for corn, the development of the fetal nervous drinking water level of comparison sugarcane, and soybean. These studies system at 750 mg/kg/day (highest dose (DWLOC) for acute exposure to show that the primary residue resulting tested) including dilation of the lateral halosulfuron-methyl residues for from preemergence applications is 3- ventricles (16 fetuses/5 litters), dilation infants/children is 5,000 µg/L. The chlorosulfonamide acid. With of the third ventricle (1/1), spinal cord maximum concentration of postemergence application, the major agenesis (1/1) and adrenal agenesis (1/ halosulfuron-methyl in drinking water residue is parent halosulfuron-methyl, 1) at the high dose; and malformed brain (4.3 µg/L) is less than EPA’s level of except in corn, in which 3- cortex (1/1) at 250 mg/kg/day; (b) There comparison for halosulfuron-methyl in chlorosulfonamide acid predominates. was no evaluation of perfused nervous drinking water as a contribution to acute Inadvertent residues in rotational crops system tissues, since acute and aggregate exposure. Therefore, EPA are also primarily 3-chlorosulfonamide subchronic neurotoxicity studies in rats concludes with reasonable certainty that acid. However, 3-chlorosulfonamide were not required. The primary concern the potential risk from aggregate acute acid is not of toxicological concern and is the lack of information in the data exposure (food and water) would not the residue to be regulated in plants is base that would allow the determination exceed the Agency’s level of concern. halosulfuron-methyl per se, as
VerDate 06-MAY-99 18:41 May 11, 1999 Jkt 183247 PO 00000 Frm 00027 Fmt 4700 Sfmt 4700 E:\FR\FM\12MYR1.XXX pfrm07 PsN: 12MYR1 25446 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations determined by the HED Metabolism ppm, rice, straw at 0.2 ppm; sorghum, its metabolites determined as the 3- Committee. grain, fodder/stover at 0.1 ppm chloro-1-methyl-5-sulfamoylpyrazole-4- Goat and hen metabolism studies on sorghum, grain, forage at 0.05 ppm, carboxylic acid and expressed as parent halosulfuron-methyl have been accepted sorghum, grain, grain at 0.05 ppm; equivalents in on the following raw by EPA. As with plants, the residue of sugarcane, cane at 0.05 ppm; and tree agricultural commodities when present concern in animals is halosulfuron- nuts (crop group 14), nutmeat at 0.05 to growing crops: soybean, forage at 0.05 methyl per se. The current Agency- ppm. ppm; soybean, hay at 0.5 ppm; soybean, approved method for enforcement of The available crop residue data also seed at 0.5 ppm; wheat, forage at 0.1 tolerances for halosulfuron-methyl in support the deletion of the current ppm wheat, grain at 0.1 ppm, and animal commodities is based on established tolerances for soybean, wheat, straw at 0.1 ppm are being analysis of the chlorosulfonamide half forage at 0.5 ppm; soybean, hay at 0.5 deleted. of the halosulfuron-methyl molecule; ppm; soybean, seed at 0.5 ppm wheat, thus, it quantitates residues of parent forage at 0.1 ppm; wheat, grain at 0.1 V. Objections and Hearing Requests halosulfuron-methyl as well as those ppm; and wheat, straw at 0.2 ppm. The new FFDCA section 408(g) metabolites containing the D. International Residue Limits provides essentially the same process chlorosulfonamide acid moiety (i.e., it is for persons to ‘‘object’’ to a tolerance not specific to halosulfuron-methyl per There are no CODEX, Canadian, or regulation as was provided in the old se.) The requested uses are not expected Mexican maximum residue limits section 408 and in section 409. to increase the residues in animal (MRLs ) established for halosulfuron- However, the period for filing objections commodities above those already methyl, therefore harmonization is not is 60 days, rather than 30 days. EPA regulated by 40 CFR 180.479. Animal an issue. currently has procedural regulations tolerances will still be expressed as E. Rotational Crop Restrictions which govern the submission of halosulfuron-methyl and its metabolites objections and hearing requests. These Tolerances were previously determined as 3-chlorsulfonic acid, regulations will require some established for inadvertent residues in expressed as parent equivalent. modification to reflect the new law. rotational crops. These tolerances were However, until those modifications can B. Analytical Enforcement Methodology based on residues of 3- be made, EPA will continue to use those Adequate analytical methodology (gas chlorosulfonamide acid which is not of procedural regulations with appropriate chromatography with electron capture toxicological concern and is no longer adjustments to reflect the new law. detection) is available for enforcement being regulated by EPA in plant of tolerances for halosulfuron-methyl in commodities. Therefore, rotational crop Any person may, by July 12, 1999, file animal commodities. Adequate tolerances are not necessary and are written objections to any aspect of this analytical methology (gas being deleted by this rule. regulation and may also request a chromatography/thermionic specific is hearing on those objections. Objections available for enforcement of tolerances IV. Conclusion and hearing requests must be filed with for halosulfuron in plant commodities. Therefore, tolerances are established the Hearing Clerk, at the address given Adequate enforcement methodology for residues of methyl 5-[(4,6- under the ADDRESSES section (40 CFR (gas chromatography) is available to dimethoxy-2-pyrimidinyl)amino] 178.20). A copy of the objections and/ enforce the tolerance expression. The carbonylaminosulfonyl-3-chloro-1- or hearing requests filed with the method may be requested from: Calvin methyl-1H-pyrazole-4-carboxylate in Hearing Clerk should be submitted to Furlow, PIRIB, IRSD (7502C), Office of almond, hulls at 0.2 ppm; corn, field, the OPP docket for this regulation. The Pesticide Programs, Environmental fodder at 0.8 ppm; corn, field, forage at objections submitted must specify the Protection Agency, 401 M St., SW., 0.2 ppm; corn, field, grain at 0.05 ppm; provisions of the regulation deemed Washington, DC 20460. Office location corn, pop, fodder at 0.8 ppm, corn, pop, objectionable and the grounds for the and telephone number: Rm 101FF, CM grain at 0.05 ppm; corn, sweet, fodder/ objections (40 CFR 178.25). Each #2, 1921 Jefferson Davis Hwy., stover at 0.8 ppm; corn, sweet, forage at objection must be accompanied by the Arlington, VA, (703) 305–5229. 0.2 ppm; corn, sweet, kernel + cob with fee prescribed by 40 CFR 180.33(i). EPA husks removed at 0.05 ppm; cotton, gin is authorized to waive any fee C. Magnitude of Residues by-products at 0.05 ppm; cotton, requirement ‘‘when in the judgement of The available crop field trial data undelinted seed at 0.05 ppm; pistachio, the Administrator such a waiver or support the establishment of tolerances nutmeat at 0.05 ppm; rice, grain at 0.05 refund is equitable and not contrary to for residues of the herbicide ppm; rice, straw at 0.2 ppm; sorghum, the purpose of this subsection.’’ For halosulfuron-methyl, [methyl 5-[( 4,6- grain, fodder/stover at 0.1 ppm; additional information regarding dimethoxy-2-pyrimidinyl) amino] sorghum; grain, forage at 0.05 ppm tolerance objection fee waivers, contact carbonylaminosulfonyl-3-chloro-1- sorghum, grain, grain at 0.05 ppm; James Tompkins, Registration Division methyl-1H-pyrazole-4-carboxylate] in or sugarcane, cane at 0.05 and tree nuts (7505C), Office of Pesticide Programs, on the raw agricultural commodities (crop group 14), nutmeat at 0.05 ppm. Environmental Protection Agency, 401 almond, hull at 0.2 part per million These entries for corn, field, fodder, M St., SW., Washington, DC 20460. (ppm); corn, field, fodder at 0.8 ppm; corn, field, forage; corn, field, grain; Office location, telephone number, and corn, field, forage at 0.2 ppm; corn, sorghum, grain, fodder/stover; sorghum, e-mail address: Rm. 239, CM #2, 1921 field, grain at 0.05 ppm; corn, pop, grain, forage; and sorghum, grain, grain Jefferson Davis Hwy., Arlington, VA, fodder at 0.8 ppm; corn, pop, grain at will replace current entries for these (703) 305–5697, [email protected]. 0.05 ppm; corn, sweet, fodder, at 0.8 commodities. Requests for waiver of tolerance ppm; corn, sweet forage at 0.2 ppm; Established tolerances for indirect or objection fees should be sent to James corn, sweet, kernel + cob with husks inadvertent residues of the herbicide Hollies, Information Resources and removed at 0.05 ppm; cotton, gin by halosulfuron-methyl 5-[(4,6-dimethoxy- Services Division (7502C), Office of products at 0.05 ppm; cotton, 2-pyrimidinyl)amino] Pesticide Programs, Environmental undelinted seed at 0.05 ppm; pistachio, carbonylaminosulfonyl-3-chloro-1- Protection Agency, 401 M St., SW., nutmeat at 0.05 ppm rice, grain at 0.05 methyl-1H-pyrazole- 4-carboxylate, and Washington, DC 20460.
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If a hearing is requested, the into printed, paper form as they are Intergovernmental Partnership (58 FR objections must include a statement of received and will place the paper copies 58093, October 28, 1993), EPA may not the factual issues on which a hearing is in the official record which will also issue a regulation that is not required by requested, the requestor’s contentions include all comments submitted directly statute and that creates a mandate upon on such issues, and a summary of any in writing. The official record is the a State, local or tribal government, evidence relied upon by the requestor paper record maintained at the Virginia unless the Federal government provides (40 CFR 178.27). A request for a hearing address in ‘‘ADDRESSES’’ at the the funds necessary to pay the direct will be granted if the Administrator beginning of this document. compliance costs incurred by those determines that the material submitted governments. If the mandate is shows the following: There is genuine VII. Regulatory Assessment unfunded, EPA must provide to OMB a and substantial issue of fact; there is a Requirements description of the extent of EPA’s prior reasonable possibility that available A. Certain Acts and Executive Orders consultation with representatives of evidence identified by the requestor affected State, local, and tribal This final rule establishes, modifies, would, if established, resolve one or governments, the nature of their and revokes tolerances under section more of such issues in favor of the concerns, copies of any written 408(d) of the FFDCA in response to a requestor, taking into account communications from the governments, petition submitted to the Agency. The uncontested claims or facts to the and a statement supporting the need to Office of Management and Budget contrary; and resolution of the factual issue the regulation. In addition, (OMB) has determined that tolerance issues in the manner sought by the Executive Order 12875 requires EPA to actions, in general, are ‘‘not significant’’ requestor would be adequate to justify develop an effective process permitting the action requested (40 CFR 178.32). unless the action involves the elected officials and other Information submitted in connection revocation of a tolerance that may result representatives of State, local, and tribal with an objection or hearing request in a substatial adverse and material governments ‘‘to provide meaningful may be claimed confidential by marking affect on the economy. This final rule and timely input in the development of any part or all of that information as does not contain any information regulatory proposals containing CBI. Information so marked will not be collections subject to OMB approval significant unfunded mandates.’’ disclosed except in accordance with under the Paperwork Reduction Act Today’s rule does not create an procedures set forth in 40 CFR part 2. (P.A.), 44 U.S.C. 3501 et seq., or impose unfunded Federal mandate on State, A copy of the information that does not any enforceable duty or contain any local, or tribal governments. The rule contain CBI must be submitted for unfunded mandate as described under does not impose any enforceable duties inclusion in the public record. Title II of the Unfunded Mandates on these entities. Accordingly, the Information not marked confidential Reform Act of 1995 (UMRA) (Pub. L. requirements of section 1(a) of may be disclosed publicly by EPA 104–4). Nor does it require any special Executive Order 12875 do not apply to without prior notice. considerations as required by Executive this rule. Order 12898, entitled Federal Actions to VI. Public Record and Electronic Address Environmental Justice in C. Executive Order 13084 Submissions Minority Populations and Low-Income Under Executive Order 13084, EPA has established a record for this Populations (59 FR 7629, February 16, entitled Consultation and Coordination regulation under docket control number 1994), or require OMB review in with Indian Tribal Governments (63 FR [OPP–300854] (including any comments accordance with Executive Order 13045, 27655, May 19, 1998), EPA may not and data submitted electronically). A entitled Protection of Children from issue a regulation that is not required by public version of this record, including Environmental Health Risks and Safety statute, that significantly or uniquely printed, paper versions of electronic Risks (62 FR 19885, April 23, 1997). affects the communities of Indian tribal comments, which does not include any In addition, since tolerances and governments, and that imposes information claimed as CBI, is available exemptions that are established, substantial direct compliance costs on for inspection from 8:30 a.m. to 4 p.m., modified or revoked on the basis of a those communities, unless the Federal Monday through Friday, excluding legal petition under FFDCA section 408(d), government provides the funds holidays. The public record is located in such as the tolerance in this final rule, necessary to pay the direct compliance Rm. 119 of the Public Information and do not require the issuance of a costs incurred by the tribal Records Integrity Branch, Information proposed rule, the requirements of the governments. If the mandate is Resources and Services Division Regulatory Flexibility Act (RFA) (5 unfunded, EPA must provide OMB, in (7502C), Office of Pesticide Programs, U.S.C. 601 et seq.) do not apply. a separately identified section of the Environmental Protection Agency, CM Nevertheless, the Agency previously preamble to the rule, a description of #2, 1921 Jefferson Davis Hwy., assessed whether establishing the extent of EPA’s prior consultation Arlington, VA. tolerances, exemptions from tolerances, with representatives of affected tribal Objections and hearing requests may raising tolerance levels or expanding governments, a summary of the nature be sent by e-mail directly to EPA at: exemptions might adversely impact of their concerns, and a statement [email protected]. small entities and concluded, as a supporting the need to issue the generic matter, that there is no adverse regulation. In addition, Executive Order E-mailed objections and hearing economic impact. The factual basis for 13084 requires EPA to develop an requests must be submitted as an ASCII the Agency’s generic certification for effective process permitting elected file avoiding the use of special tolerance actions published on May 4, officials and other representatives of characters and any form of encryption. 1981 (46 FR 24950), and was provided Indian tribal governments ‘‘to provide The official record for this regulation, to the Chief Counsel for Advocacy of the meaningful and timely input in the as well as the public version, as Small Business Administration. development of regulatory policies on described in this unit will be kept in matters that significantly or uniquely paper form. Accordingly, EPA will B. Executive Order 12875 affect their communities.’’ transfer any copies of objections and Under Executive Order 12875, Today’s rule does not significantly or hearing requests received electronically entitled Enhancing the uniquely affect the communities of
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Indian tribal governments. This action ENVIRONMENTAL PROTECTION does not involve or impose any AGENCY requirements that affect Indian tribes. Commodity Parts per million Accordingly, the requirements of 40 CFR Part 180 section 3(b) of Executive Order 13084 Goats, mbyp ...... 0.1 do not apply to this rule. Hogs, mbyp ...... 0.1 [OPP±300840; FRL±6074±2] Horses, mbyp ...... 0.1 VIII. Submission to Congress and the Sheep, mbyp ...... 0.1 RIN 2070±AB78 Comptroller General Azoxystrobin; Extension of Tolerance The Congressional Review Act, 5 (2) Tolerances are established for for Emergency Exemptions U.S.C. 801 et seq., as added by the Small residues of the herbicide halosulfuron- Business Regulatory Enforcement methyl, methyl 5-[(4,6-dimethoxy-2- AGENCY: Environmental Protection Fairness Act of 1996, generally provides pyrimidinyl) Agency (EPA). that before a rule may take effect, the amino]carbonylaminosulfonyl-3-chloro- ACTION: Final rule. Agency promulgating the rule must 1-methyl-1H-pyrazole- 4-carboxylate, in submit a rule report, which includes a SUMMARY: This regulation extends a or on the raw agricultural commodities copy of the rule, to each House of the time-limited tolerance for combined listed below. Congress and the Comptroller General of residues of the fungicide azoxystrobin the United States. EPA will submit a and its metabolites in or on watercress report containing this rule and other at 1.0 part per million (ppm) for an required information to the U.S. Senate, additional 18–month period. This Commodity Parts per million the U.S. House of Representatives and tolerance will expire and is revoked on the Comptroller General of the United Almond, hulls ...... 0.2 October 30, 2000. This action is in States prior to publication of the rule in Corn, field, fodder 0.8 response to EPA’s granting of an the Federal Register. This rule is not a Corn, field, forage 0.2 emergency exemption under section 18 ‘‘major rule’’ as defined by 5 U.S.C. Corn, field, grain ... 0.05 of the Federal Insecticide, Fungicide, 804(2). Corn, pop, fodder 0.8 and Rodenticide Act (FIFRA) authorizing use of the pesticide on List of Subjects in 40 CFR Part 180 Corn, pop, grain .... 0.05 Corn, sweet, fod- watercress. Section 408(l)(6) of the Environmental protection, der/stover ...... 0.8 Federal Food, Drug, and Cosmetic Act Administrative practice and procedure, Corn, sweet, for- requires EPA to establish a time-limited Agricultural commodities, Pesticides age ...... 0.2 tolerance or exemption from the and pests, Reporting and recordkeeping Corn, sweet, kernel requirement for a tolerance for pesticide requirements. + cob with husks chemical residues in food that will removed ...... 0.05 Dated: April 29, 1999. result from the use of a pesticide under Cotton, gin by- an emergency exemption granted by James Jones, products ...... 0.05 EPA under FIFRA section 18. Cotton, undelinted Director, Registration Division, Office of DATES: This regulation becomes Pesticide Programs. seed ...... 0.05 Pistachio, nutmeat 0.05 effective May 12, 1999. Objections and Therefore, 40 CFR chapter I is Rice, grain ...... 0.05 requests for hearings must be received amended as follows: Rice, straw ...... 0.2 by EPA, on or before July 12, 1999. Sorghum, grain, ADDRESSES: Written objections and PART 180Ð[AMENDED] fodder/stover ..... 0.1 hearing requests, identified by the 1. The authority citation for part 180 Sorghum, grain, docket control number [OPP–300840], continues to read as follows: forage ...... 0.05 must be submitted to: Hearing Clerk Sorghum, grain, (1900), Environmental Protection Authority: 21 U.S.C. 321(q), 346a and 371. grain ...... 0.05 Agency, Rm. M3708, 401 M St., SW., 2. Section 180.479, is revised to read Sugarcane, cane .. 0.05 Washington, DC 20460. Fees as follows: Tree nuts (crop accompanying objections and hearing group 14), requests shall be labeled ‘‘Tolerance § 180.479 Halosulfuron; tolerances for nutmeat ...... 0.05 residues. Petition Fees’’ and forwarded to: EPA (a) General. (1) Tolerances are Headquarters Accounting Operations established for residues of the herbicide (b) Section 18 emergency exemptions. Branch, OPP (Tolerance Fees), P.O. Box halosulfuron, methyl 5-[(4,6-dimethoxy- [Reserved] 360277M, Pittsburgh, PA 15251. A copy of any objections and hearing requests 2-pyrimidinyl) amino] (c) Tolerances with regional filed with the Hearing Clerk identified carbonylaminosulfonyl-3-chloro-1- registrations. [Reserved] methyl-1H-pyrazole-4-carboxylate, and by the docket control number, [OPP– (d) Indirect or inadvertent residues. its metabolites determined as 3-chloro- 300840], must also be submitted to: [Reserved] 1-methyl-5-sulfamoylpyrazole-4- Public Information and Records carboxylic acid and expressed as parent [FR Doc. 99–11835 Filed 5–11–99; 8:45 am] Integrity Branch, Information Resources and Services Division (7502C), Office of equivalents, in or on the raw BILLING CODE 6560±50±F agricultural commodities listed below. Pesticide Programs, Environmental Protection Agency, 401 M St., SW., Washington, DC 20460. In person, bring a copy of objections and hearing Commodity Parts per million requests to Rm. 119, Crystal Mall 2, CM #2, 1921 Jefferson Davis Hwy., Cattle, mybp ...... 0.1 Arlington, VA.
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A copy of objections and hearing required applications, levels of copper Any person may, by July 12, 1999, file requests filed with the Hearing Clerk in soil and watercress plants have written objections to any aspect of this may also be submitted electronically by reached phytotoxic levels. As a regulation and may also request a sending electronic mail (e-mail) to: opp- consequence, in areas where watercress hearing on those objections. Objections [email protected]. Copies of electronic has been grown for several years, yield and hearing requests must be filed with objections and hearing requests must be has been significantly reduced. After the Hearing Clerk, at the address given submitted as an ASCII file avoiding the having reviewed the submission, EPA under the ‘‘ADDRESSES’’ section (40 use of special characters and any form concurs that emergency conditions CFR 178.20). A copy of the objections of encryption. Copies of objections and exist. EPA has authorized under FIFRA and/or hearing requests filed with the hearing requests will also be accepted section 18 the use of azoxystrobin on Hearing Clerk should be submitted to on disks in WordPerfect 5.1/6.1 or watercress for control of cercospora leaf the OPP docket for this rulemaking. The ASCII file format. All copies of spot disease in watercress. objections submitted must specify the electronic objections and hearing EPA assessed the potential risks provisions of the regulation deemed requests must be identified by the presented by residues of azoxystrobin in objectionable and the grounds for the docket control number [OPP–300840]. or on watercress. In doing so, EPA objections (40 CFR 178.25). Each No Confidential Business Information considered the safety standard in objection must be accompanied by the (CBI) should be submitted through e- FFDCA section 408(b)(2), and decided fee prescribed by 40 CFR 180.33(i). EPA mail. Copies of electronic objections and that the necessary tolerance under is authorized to waive any fee hearing requests on this rule may be FFDCA section 408(l)(6) would be requirement ‘‘when in the judgement of filed online at many Federal Depository consistent with the safety standard and the Administrator such a waiver or Libraries. with FIFRA section 18. The data and refund is equitable and not contrary to other relevant material have been FOR FURTHER INFORMATION CONTACT: By the purpose of this subsection.’’ For mail: Jacqueline E. Gwaltney, evaluated and discussed in the final rule additional information regarding Registration Division (7505C), Office of of May 12, 1998 (63 FR 26089) (FRL– tolerance objection fee waivers, contact Pesticide Programs, Environmental 5787–8). Based on that data and James Tompkins, Registration Division information considered, the Agency Protection Agency, 401 M St., SW., (7505C), Office of Pesticide Programs, reaffirms that extension of the time- Washington, DC 20460. Office location, Environmental Protection Agency, 401 limited tolerance will continue to meet telephone number, and e-mail address: M St., SW., Washington, DC 20460. the requirements of section 408(l)(6). Rm. 278, CM #2, 1921 Jefferson Davis Office location, telephone number, and Therefore, the time-limited tolerance is Hwy., Arlington, VA, (703) 305–6792, e-mail address: Rm. 239, CM #2, 1921 extended for an additional 18–month [email protected]. Jefferson Davis Hwy., Arlington, VA, period. EPA will publish a document in SUPPLEMENTARY INFORMATION: EPA (703) 305–5697, [email protected]. the Federal Register to remove the Requests for waiver of tolerance issued a final rule, published in the revoked tolerance from the Code of Federal Register of May 12, 1998 (63 FR objection fees should be sent to James Federal Regulations (CFR). Although Hollins, Information Resources and 26089) (FRL–5787–8), which announced this tolerance will expire and is revoked that on its own initiative under section Services Division (7502C), Office of on October 30, 2000, under FFDCA Pesticide Programs, Environmental 408 of the Federal Food, Drug, and section 408(l)(5), residues of the Cosmetic Act (FFDCA), 21 U.S.C. Protection Agency, 401 M St., SW., pesticide not in excess of the amounts Washington, DC 20460. 346a(e) and (l)(6), as amended by the specified in the tolerance remaining in Food Quality Protection Act of 1996 or on watercress after that date will not If a hearing is requested, the (FQPA) (Pub. L. 104–170) it established be unlawful, provided the pesticide is objections must include a statement of a time-limited tolerance for the applied in a manner that was lawful the factual issues on which a hearing is combined residues of azoxystrobin and under FIFRA and the application requested, the requestor’s contentions its metabolites in or on watercress at 1.0 occurred prior to the revocation of the on such issues, and a summary of any ppm, with an expiration date of June 30, tolerance. EPA will take action to revoke evidence relied upon by the requestor 1999. EPA established the tolerance this tolerance earlier if any experience (40 CFR 178.27). A request for a hearing because section 408(l)(6) of the FFDCA with, scientific data on, or other will be granted if the Administrator requires EPA to establish a time-limited relevant information on this pesticide determines that the material submitted tolerance or exemption from the indicate that the residues are not safe. shows the following: There is genuine requirement for a tolerance for pesticide and substantial issue of fact; there is a chemical residues in food that will I. Objections and Hearing Requests reasonable possibility that available result from the use of a pesticide under The new FFDCA section 408(g) evidence identified by the requestor an emergency exemption granted by provides essentially the same process would, if established, resolve one or EPA under FIFRA section 18. Such for persons to ‘‘object’’ to a tolerance more of such issues in favor of the tolerances can be established without regulation issued by EPA as was requestor, taking into account providing notice or period for public provided in the old section 408 and in uncontested claims or facts to the comment. section 409. However, the period for contrary; and resolution of the factual EPA received a request to extend the filing objections is 60 days, rather than issues in the manner sought by the use of azoxystrobin on watercress for 30 days. EPA currently has procedural requestor would be adequate to justify this years growing season because for regulations which govern the the action requested (40 CFR 178.32). watercress, copper hydroxide is the only submission of objections and hearing Information submitted in connection material registered for control of requests. These regulations will require with an objection or hearing request Cercospora leaf spot disease. Several some modification to reflect the new may be claimed confidential by marking applications of copper hydroxide are law. However, until those modifications any part or all of that information as required per season for adequate can be made, EPA will continue to use CBI. Information so marked will not be control. Although copper hydroxide is those procedural regulations with disclosed except in accordance with still effective at controlling Cercospora appropriate adjustments to reflect the procedures set forth in 40 CFR part 2. leaf spot disease, due to the many new law. A copy of the information that does not
VerDate 06-MAY-99 18:41 May 11, 1999 Jkt 183247 PO 00000 Frm 00031 Fmt 4700 Sfmt 4700 E:\FR\FM\12MYR1.XXX pfrm07 PsN: 12MYR1 25450 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations contain CBI must be submitted for 104–4). Nor does it require any special Executive Order 12875 do not apply to inclusion in the public record. considerations as required by Executive this rule. Information not marked confidential Order 12898, entitled Federal Actions to C. Executive Order 13084 may be disclosed publicly by EPA Address Environmental Justice in without prior notice. Minority Populations and Low-Income Under Executive Order 13084, Populations (59 FR 7629, February 16, entitled Consultation and Coordination II. Public Record and Electronic 1994), or require OMB review in with Indian Tribal Governments (63 FR Submissions accordance with Executive Order 13045, 27655, May 19, 1998), EPA may not EPA has established a record for this entitled Protection of Children from issue a regulation that is not required by regulation under docket control number Environmental Health Risks and Safety statute, that significantly or uniquely [OPP–300840] (including any comments Risks (62 FR 19885, April 23, 1997). affects the communities of Indian tribal and data submitted electronically). A In addition, since tolerances and governments, and that imposes public version of this record, including exemptions that are established under substantial direct compliance costs on printed, paper versions of electronic section 408(l)(6) of FFDCA, such as the those communities, unless the Federal comments, which does not include any tolerance in this final rule, do not government provides the funds information claimed as CBI, is available require the issuance of a proposed rule, necessary to pay the direct compliance for inspection from 8:30 a.m. to 4 p.m., the requirements of the Regulatory costs incurred by the tribal Monday through Friday, excluding legal Flexibility Act (RFA) (5 U.S.C. 601 et governments. If the mandate is unfunded, EPA must provide OMB, in holidays. The public record is located in seq.) do not apply. Nevertheless, the a separately identified section of the Rm. 119 of the Public Information and Agency previously assessed whether preamble to the rule, a description of Records Integrity Branch, Information establishing tolerances, exemptions the extent of EPA’s prior consultation Resources and Services Division from tolerances, raising tolerance levels with representatives of affected tribal (7502C), Office of Pesticide Programs, or expanding exemptions might governments, a summary of the nature Environmental Protection Agency, CM adversely impact small entities and of their concerns, and a statement #2, 1921 Jefferson Davis Hwy., concluded, as a generic matter, that supporting the need to issue the Arlington, VA. there is no adverse economic impact. regulation. In addition, Executive Order Objections and hearing requests may The factual basis for the Agency’s 13084 requires EPA to develop an be sent by e-mail directly to EPA at: generic certification for tolerance [email protected]. effective process permitting elected actions published on May 4, 1981 (46 officials and other representatives of FR 24950), and was provided to the E-mailed objections and hearing Indian tribal governments ‘‘to provide Chief Counsel for Advocacy of the Small meaningful and timely input in the requests must be submitted as an ASCII Business Administration. file avoiding the use of special development of regulatory policies on characters and any form of encryption. B. Executive Order 12875 matters that significantly or uniquely The official record for this regulation, affect their communities.’’ Under Executive Order 12875, Today’s rule does not significantly or as well as the public version, as entitled Enhancing the described in this unit will be kept in uniquely affect the communities of Intergovernmental Partnership (58 FR Indian tribal governments. This action paper form. Accordingly, EPA will 58093, October 28, 1993), EPA may not does not involve or impose any transfer any copies of objections and issue a regulation that is not required by requirements that affect Indian tribes. hearing requests received electronically statute and that creates a mandate upon Accordingly, the requirements of into printed, paper form as they are a State, local or tribal government, section 3(b) of Executive Order 13084 received and will place the paper copies unless the Federal government provides do not apply to this rule. in the official record which will also the funds necessary to pay the direct include all comments submitted directly compliance costs incurred by those IV. Submission to Congress and the in writing. The official record is the governments. If the mandate is Comptroller General paper record maintained at the Virginia unfunded, EPA must provide to OMB a The Congressional Review Act, 5 address in ‘‘ADDRESSES’’ at the description of the extent of EPA’s prior U.S.C. 801 et seq., as added by the Small beginning of this document. consultation with representatives of Business Regulatory Enforcement III. Regulatory Assessment affected State, local, and tribal Fairness Act of 1996, generally provides Requirements governments, the nature of their that before a rule may take effect, the concerns, copies of any written Agency promulgating the rule must A. Certain Acts and Executive Orders communications from the governments, submit a rule report, which includes a This final rule establishes a tolerance and a statement supporting the need to copy of the rule, to each House of the under section 408 of the FFDCA. The issue the regulation. In addition, Congress and the Comptroller General of Office of Management and Budget Executive Order 12875 requires EPA to the United States. EPA will submit a (OMB) has exempted these types of develop an effective process permitting report containing this rule and other actions from review under Executive elected officials and other required information to the U.S. Senate, Order 12866, entitled Regulatory representatives of State, local, and tribal the U.S. House of Representatives and Planning and Review (58 FR 51735, governments ‘‘to provide meaningful the Comptroller General of the United October 4, 1993). This final rule does and timely input in the development of States prior to publication of the rule in not contain any information collections regulatory proposals containing the Federal Register. This rule is not a subject to OMB approval under the significant unfunded mandates.’’ ‘‘major rule’’ as defined by 5 U.S.C. Paperwork Reduction Act (PRA), 44 Today’s rule does not create an 804(2). U.S.C. 3501 et seq., or impose any unfunded Federal mandate on State, enforceable duty or contain any local, or tribal governments. The rule List of Subjects in 40 CFR Part 180 unfunded mandate as described under does not impose any enforceable duties Environmental protection, Title II of the Unfunded Mandates on these entities. Accordingly, the Administrative practice and procedure, Reform Act of 1995 (UMRA) (Pub. L. requirements of section 1(a) of Agricultural commodities, Pesticides
VerDate 06-MAY-99 18:41 May 11, 1999 Jkt 183247 PO 00000 Frm 00032 Fmt 4700 Sfmt 4700 E:\FR\FM\12MYR1.XXX pfrm07 PsN: 12MYR1 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25451 and pests, Reporting and recordkeeping Agency, Rm. M3708, 401 M St., SW., Cyanamid Company, the registrant. requirements. Washington, DC 20460. Fees There were no comments received in accompanying objections and hearing response to the notices of filing. Dated: April 30, 1999. requests shall be labeled ‘‘Tolerance The petition requested that 40 CFR James Jones, Petition Fees’’ and forwarded to: EPA 180.493 be amended by establishing a Director, Registration Division, Office of Headquarters Accounting Operations tolerance for residues of the fungicide Pesticide Programs. Branch, OPP (Tolerance Fees), P.O. Box dimethomorph, (E,Z) 4-[3-(4- 360277M, Pittsburgh, PA 15251. A copy chlorophenyl)-3-(3,4-dimethoxyphenyl)- Therefore, 40 CFR chapter I is of any objections and hearing requests 1-oxo-2-propenyl]morpholine, in or on amended as follows: filed with the Hearing Clerk identified potatoes, wet peel at 0.15 parts per million (ppm) and time-limited PART 180Ð[AMENDED] by the docket control number, [OPP– 300857], must also be submitted to: tolerances for the indirect or inadvertent 1. The authority citation for part 180 Public Information and Records residues of the fungicide continues to read as follows: Integrity Branch, Information Resources dimethomorph, (E,Z) 4-[3-(4- chlorophenyl)-3-(3,4-dimethoxyphenyl)- Authority: 21 U.S.C. 321(q), 346a and 371. and Services Division (7502C), Office of Pesticide Programs, Environmental 1-oxo-2-propenyl]morpholine, in or on cereal grains group: fodder at 0.15 ppm, § 180.507 [Amended] Protection Agency, 401 M St., SW., Washington, DC 20460. In person, bring forage at 0.05 ppm, grain at 0.05 ppm, 2. In § 180.507, the table to paragraph a copy of objections and hearing hay at 0.10 ppm, and straw at 0.15 ppm. (b) by revising the date for the requests to Rm. 119, Crystal Mall #2, These time-limited tolerances will commodity watercress, ‘‘6/30/99’’ to 1921 Jefferson Davis Hwy., Arlington, expire on May 12, 2004. read ‘‘10/30/00’’. VA. I. Background and Statutory Findings [FR Doc. 99–11834 Filed 5–11–99; 8:45 am] A copy of objections and hearing Section 408(b)(2)(A)(i) of the FFDCA BILLING CODE 6560±50±F requests filed with the Hearing Clerk may also be submitted electronically by allows EPA to establish a tolerance (the sending electronic mail (e-mail) to: opp- legal limit for a pesticide chemical ENVIRONMENTAL PROTECTION [email protected]. Copies of electronic residue in or on a food) only if EPA AGENCY objections and hearing requests must be determines that the tolerance is ‘‘safe.’’ submitted as an ASCII file avoiding the Section 408(b)(2)(A)(ii) defines ‘‘safe’’ to 40 CFR Part 180 use of special characters and any form mean that ‘‘there is a reasonable certainty that no harm will result from [OPP±300857; FRL±6079±5] of encryption. Copies of objections and hearing requests will also be accepted aggregate exposure to the pesticide RIN 2070±AB78 on disks in WordPerfect 5.1/6.1 or chemical residue, including all anticipated dietary exposures and all Dimethomorph, (E,Z) 4-[3-(4- ASCII file format. All copies of electronic objections and hearing other exposures for which there is chlorophenyl)-3-(3,4- reliable information.’’ This includes dimethoxyphenyl)-1-oxo-2- requests must be identified by the docket control number [OPP–300857]. exposure through drinking water and in propenyl]morpholine; Pesticide residential settings, but does not include Tolerances No Confidential Business Information (CBI) should be submitted through e- occupational exposure. Section 408(b)(2)(C) requires EPA to give special AGENCY: Environmental Protection mail. Copies of electronic objections and hearing requests on this rule may be consideration to exposure of infants and Agency (EPA). children to the pesticide chemical ACTION: Final rule. filed online at many Federal Depository Libraries. residue in establishing a tolerance and to ‘‘ensure that there is a reasonable SUMMARY: This regulation establishes a FOR FURTHER INFORMATION CONTACT: By certainty that no harm will result to permanent tolerance for the residues of mail: Mary Waller, Registration Division infants and children from aggregate dimethomorph, (E,Z) 4-[3-(4- (7505C), Office of Pesticide Programs, exposure to the pesticide chemical chlorophenyl)-3-(3,4-dimethoxyphenyl)- Environmental Protection Agency, 401 residue....’’ 1-oxo-2-propenyl]morpholine in or on M St., SW., Washington, DC 20460. EPA performs a number of analyses to potatoes, wet peel and time-limited Office location, telephone number, and determine the risks from aggregate tolerances for the indirect or inadvertent e-mail address: Rm. 249, Crystal Mall exposure to pesticide residues. For residues of dimethomorph, (E,Z) 4-[3-(4- #2, 1921 Jefferson Davis Hwy., further discussion of the regulatory chlorophenyl)-3-(3,4-dimethoxyphenyl)- Arlington, VA, 703–308–9354, requirements of section 408 and a 1-oxo-2-propenyl]morpholine in or on [email protected]. complete description of the risk the cereal grains group for fo12er, SUPPLEMENTARY INFORMATION: In the assessment process, see the final rule on forage, grain, hay and straw. American Federal Registers of March 26, 1997 (62 Bifenthrin Pesticide Tolerances (62 FR Cyanamid Company requested this FR 14418) (FRL–5594–7) and of March 62961, November 26, 1997) (FRL–5754– tolerance under the Federal Food, Drug, 10, 1999 (64 FR 11874) (FRL–6063–3), 7). and Cosmetic Act, as amended by the EPA issued notices pursuant to section Food Quality Protection Act of 1996. 408 of the Federal Food, Drug, and II. Aggregate Risk Assessment and DATES: This regulation is effective May Cosmetic Act (FFDCA), 21 U.S.C. 346a, Determination of Safety 12, 1999. Objections and requests for as amended by the Food Quality Consistent with section 408(b)(2)(D), hearings must be received by EPA on or Protection Act of 1996 (FQPA) (Pub. L. EPA has reviewed the available before July 12, 1999. 104–170) announcing the filing of a scientific data and other relevant ADDRESSES: Written objections and pesticide petition (PP) for tolerance by information in support of this action. hearing requests, identified by the American Cyanamid Company, P.O. Box EPA has sufficient data to assess the docket control number [OPP–300857], 400, Princeton, NJ 08543–0400. These hazards of dimethomorph and to make must be submitted to: Hearing Clerk notices included a summary of the a determination on aggregate exposure, (1900), Environmental Protection petition prepared by American consistent with section 408(b)(2), for a
VerDate 06-MAY-99 18:41 May 11, 1999 Jkt 183247 PO 00000 Frm 00033 Fmt 4700 Sfmt 4700 E:\FR\FM\12MYR1.XXX pfrm07 PsN: 12MYR1 25452 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations tolerance for residues of the fungicide i. Acute exposure and risk. Acute TABLE 1.Ð SUMMARY OF FOOD EXPO- dimethomorph, (E,Z) 4-[3-(4- dietary risk assessments are performed SURE TO DIMETHOMORPHÐContin- chlorophenyl)-3-(3,4-dimethoxyphenyl)- for a food-use pesticide if a toxicological ued 1-oxo-2-propenyl]morpholine, in or on study has indicated the possibility of an potatoes, wet peel at 0.15 ppm and time- effect of concern occurring as a result of Expo- limited tolerance for the indirect or a 1–day or single exposure. EPA did not sure inadvertent residues of dimethomorph, select a dose and endpoint for an acute Population Subgroup (mg/kg %PAD/RfD body (E,Z) 4-[3-(4-chlorophenyl)-3-(3,4- dietary risk assessment because of the wt/day) dimethoxyphenyl)-1-oxo-2- lack of toxicological effects attributable propenyl]morpholine in or on the cereal to a single exposure (dose) in either the Nursing Infants ...... 0.0006 0.6 grains group: fodder at 0.15 ppm, forage rat or the rabbit developmental toxicity Non-nursing Infants .. 0.0024 2 at 0.05 ppm, grain at 0.05 ppm, hay at studies. Children 1±6 years ... 0.0043 4 0.10 ppm, and straw at 0.15 ppm. EPA’s ii. Chronic exposure and risk. EPA’s Children 7±12 years 0.0030 3 assessment of the dietary exposures and Dietary Exposure Evaluation Model Females 13±19 (not risks associated with establishing the (DEEM89) was used for conducting a pregnant or nurs- ing) ...... 0.0021 2 tolerances follows. chronic dietary (food only) exposure analysis (risk assessment). The analysis Males 13±19 years ... 0.0021 2 A. Toxicological Profile evaluates individual food consumption 2. From drinking water. EPA used as reported by respondents in the USDA EPA has previously evaluated the SCI-GROW (Screening Concentration In 1989–1991 Nationwide Continuing available toxicity data and considered Ground Water) and GENEEC (Generic Surveys for Food Intake by Individuals, its validity, completeness, and Estimated Environmental and accumulates exposure to the reliability as well as the relationship of Concentration) models to determine the chemical for each commodity. The the results of the studies to human risk. estimated environmental concentrations exposure for each subgroup is reported EPA has also considered available (EECs) of dimethomorph residues in as a percentage of the PAD. As the 10x information concerning the variability ground and surface water. The EEC safety factor was removed for of the sensitivities of major identifiable reported for dimethomorph residues in dimethomorph, the PAD is equivalent to subgroups of consumers, including ground water is 0.26 parts per billion infants and children. The tolerance for the RfD. In conducting this chronic tier 1 (ppb). The EEC for surface water is 28 potatoes, wet peel, toxicological profile ppb for acute and 24 ppb for chronic for dimethomorph were addressed in dietary risk assessment, EPA has made very conservative assumptions: that all (56–day). the risk assessment published in the i. Acute exposure and risk. Because commodities having dimethomorph Federal Register final rule of October 13, no acute dietary endpoint was tolerances contain residues of 1998 (63 FR 54587) (FRL–6036–7). The determined, an acute water and dietary dimethomorph and those residues are at risk assessment for rotational crops exposure risk assessment is not the level of the tolerance. These addressed the changes which occurred required. as a result of the granting of time- assumptions result in an overestimate of ii. Chronic exposure and risk. EPA limited tolerances for rotational crops. human dietary exposure. All Section 18 conducts the drinking water risk tolerances (i.e., cantaloupes, B. Toxicological Endpoints assessment by using the worst case watermelons, cucumbers, squash, and scenario of estimated environmental The toxicological endpoints for tomatoes) are included in this dietary concentration (EEC) found from either dimethomorph were addressed in the risk assessment. Using the assumptions ground or surface water. The EEC risk assessment published in the and data parameters described above, reported for dimethomorph residues in Federal Register final rule of October the DEEM89 exposure analysis results ground water using SCI-GROW is 0.26 13, 1998 (63 FR 54587) (FRL–6036–7). in a theoretical maximum residue ppb. This is much less than the surface contribution (TMRC) that is equivalent water EEC (24 ppb for 56 days) C. Exposures and Risks to the following percentages of the PAD/ generated using GENEEC. Therefore, RfD. The following table summarizes 1. From food and feed uses. only the surface water EEC will be used the estimated food exposures for the Tolerances have been established (40 in conducting the aggregate dietary U.S. population, the population CFR 180.493) for the residues of (food + water) risk assessment. Based on subgroups that include infants and dimethomorph, (E,Z) 4-[3-(4- the chronic dietary (food) exposure and children, the most highly exposed chlorophenyl)-3-(3,4-dimethoxyphenyl)- using default body weights and water female subgroup, and all other 1-oxo-2-propenyl]morpholine in or on consumption figures, chronic drinking population subgroups (excluding potatoes at 0.05 ppm and time-limited water levels of comparison (DWLOCs) regions and seasons) with risk estimates tolerances for tomatoes at 1 ppm for drinking water were calculated. To above that of the U.S. population: (expires May 15, 1999) and cantaloupe, calculate the chronic DWLOC, the cucumber, squash and watermelon at 1 chronic dietary food exposure (from TABLE 1.Ð SUMMARY OF FOOD ppm (expires March 31, 2000). DEEM analysis) is subtracted from the Anticipated residues were not generated EXPOSURE TO DIMETHOMORPH chronic PAD/RfD. DWLOCs are then as part of this risk assessment. In the calculated using the default body Expo- dietary analysis, the most highly sure weights and drinking water exposed subgroup, children 1–6 years, Population Subgroup (mg/kg %PAD/RfD consumption figures. EPA’s surface utilized only 4.3% of the reference dose body drinking water levels of comparison (RfD)/population adjusted dose (PAD) wt/day) from chronic exposure to As a result, no refinement to the U.S. Population dimethomorph using modeling data are analysis was needed. Risk assessments (total) ...... 0.0020 2 3,400 ppb for the U.S. Population and were conducted by EPA to assess Hispanics ...... 0.0022 2 the population subgroup non-Hispanic/ dietary exposures from dimethomorph Non-Hispanic/non- non-white/non-black, 2,900 ppb for as follows: white/non-black ..... 0.0022 2 females 13–19 (not pregnant or nursing),
VerDate 06-MAY-99 18:41 May 11, 1999 Jkt 183247 PO 00000 Frm 00034 Fmt 4700 Sfmt 4700 E:\FR\FM\12MYR1.XXX pfrm07 PsN: 12MYR1 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25453 and 960 ppb for children 1–6 years. levels are all greater than the GENEEC III. Other Considerations These levels are all greater than the chronic concentration level (24 ppb for A. Metabolism In Plants and Animals GENEEC concentration level (24 ppb for 56 days) and the SCI-GROW ground 56 days). Therefore, EPA does not level water of 0.26 ppb. EPA generally The nature of the residue in potatoes expect exposure to dimethomorph in has no concern for exposures below is adequately understood. For purposes drinking water to be above the level of 100% of the RfD because the RfD of time-limited tolerances, the residue of concern in rotational crops is the same concern. represents the level at or below which as that in directly treated crops, i.e., 3. From non-dietary exposure. There daily aggregate dietary exposure over a are no registered or proposed residential dimethomorph per se. The nature of the lifetime will not pose appreciable risks uses for dimethomorph. Therefore, residue in animals is adequately defined to human health. There are no registered residential or inhalation exposures were for section 3 registration on potatoes. not evaluated in the risk assessment. residential uses of dimethomorph. Tolerances are not required for residues 4. Cumulative exposure to substances 3. Short- and intermediate-term risk. in livestock commodities at this time. with common mechanism of toxicity. Short- and intermediate-term aggregate B. Analytical Enforcement Methodology Section 408(b)(2)(D)(v) requires that, exposure takes into account chronic when considering whether to establish, dietary food and water (considered to be Method FAMS 002–04 high modify, or revoke a tolerance, the a background exposure level) plus performance liquid chromatography Agency consider ‘‘available indoor and outdoor residential using ultra-violet detection (HPLC, UV detection) is adequate for determining information’’ concerning the cumulative exposure. Although short- and residues of dimethomorph per se in/on effects of a particular pesticide’s intermediate-term endpoints were residues and ‘‘other substances that potatoes. A confirmatory method is also identified, there are no residential uses available (FAM 022–03). have a common mechanism of toxicity.’’ for dimethomorph. EPA does not have, at this time, The method may be requested from: available data to determine whether 4. Aggregate cancer risk for U.S. Calvin Furlow, PIRIB, IRSD (7502C), dimethomorph has a common population. Dimethomorph was Office of Pesticide Programs, mechanism of toxicity with other classified as ‘‘not likely’’ to be a human Environmental Protection Agency, 401 substances or how to include this carcinogen. Therefore, a carcinogenic M St., SW., Washington, DC 20460. pesticide in a cumulative risk aggregate risk assessment was not Office location and telephone number: assessment. Unlike other pesticides for required. Rm 101FF, Crystal Mall #2, 1921 which EPA has followed a cumulative Jefferson Davis Hwy., Arlington, VA 5. Determination of safety. Based on 22202, (703–305–5229). Based on risk approach based on a common these risk assessments, EPA concludes mechanism of toxicity, dimethomorph recovery data from the independent that there is a reasonable certainty that does not appear to produce a toxic laboratory validation as well as no harm will result from aggregate metabolite produced by other concurrent recovery data from limited exposure to residues of dimethomorph. substances. For the purposes of this rotational field trials, EPA concludes tolerance action, therefore, EPA has not E. Aggregate Risks and Determination of that Method M 3112 gas assumed that dimethomorph has a Safety for Infants and Children chromatography, nitrogen phosphorus common mechanism of toxicity with detection (GC, N-P detection) has been other substances. For information EPA assessed the potential for adequately validated and is suitable for regarding EPA’s efforts to determine additional sensitivity of infants and collecting residue data on levels of which chemicals have a common children to residues of dimethomorph. dimethomorph per se in/on wheat raw mechanism of toxicity and to evaluate The aggregate risks for dimethomorph agricultural commodities (RACs). The the cumulative effects of such were published in the Federal Register reported limit of quantitation of the chemicals, see the final rule for final rule of October 13, 1998 (63 FR method is 0.05 ppm. Prior to the Bifenthrin Pesticide Tolerances (62 FR 54587)(FRL–6036–7). There is a establishment of permanent rotational 62961, November 26, 1997). complete toxicity database for crop tolerances, Method M 3112 must dimethomorph and exposure data is be submitted for Agency method D. Aggregate Risks and Determination of validation. Acceptance of Method M Safety for U.S. Population complete or is estimated based on data that reasonably accounts for potential 3112 as an enforcement method is predicated upon completion of a 1. Acute risk. No acute dietary exposures. EPA has concluded that successful Agency method tryout. For endpoint was identified; therefore, EPA aggregate exposure to dimethomorph the purpose of establishing time-limited concludes that dimethomorph poses no form food will utilize 4.3% of the RFD appreciable acute risk. tolerances on wheat RACs, EPA for infants and children. EPA generally 2. Chronic risk. EPA has concluded recommended using the Food and Drug that aggregate exposure to has no concern for exposures below Administration’s (FDA’s) multiresidue dimethomorph from food will utilize 100% of the RFD because the RFD method Protocol D as the enforcement 2% of the RfD for the U.S. population, represents the level at or below which method for determining residues of 2% for females 13–19 (not pregnant or daily aggregate dietary exposure over a dimethomorph per se in/on cereal grain nursing), 4% for children 1 through 6 lifetime will not pose appreciable risks RACs. EPA noted that Method FAMS years of age, and 2% for non-Hispanic/ to human health. Despite the potential 002–04 (HPLC, UV detection), a method non-white/non-black. The surface for exposure to dimethomorph in submitted in conjunction with drinking water levels of comparison drinking water, EPA does not expect the PP#2E4054, has been determined from chronic exposure to aggregate exposure to exceed 100% of adequate as an enforcement method for dimethomorph using modeling data are the RFD. Based on these risk determining residues of dimethomorph 3,400 ppb for the U.S. population and assessments, EPA concludes that there per se in/on potatoes. Although the population subgroup non-Hispanic/non- is a reasonable certainty that no harm extraction procedures of Method M white/non-black, 2,900 ppb for females will result to infants and children from 3112 are essentially similar to those of 13–19 (not pregnant or nursing), and aggregate exposure to dimethomorph Method FAMS 002–04, the 960 ppb for children 1–6 years. These residues. instrumentation and quantitation of
VerDate 06-MAY-99 18:41 May 11, 1999 Jkt 183247 PO 00000 Frm 00035 Fmt 4700 Sfmt 4700 E:\FR\FM\12MYR1.XXX pfrm07 PsN: 12MYR1 25454 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations residues are different. Dimethomorph is dimethomorph, (E,Z) 4-[3-(4- requested, the requestor’s contentions recovered by Protocol D of FDA’s multi- chlorophenyl)-3-(3,4-dimethoxyphenyl)- on such issues, and a summary of any residue method protocols (PAM Vol. I). 1-oxo-2-propenyl]morpholine in the evidence relied upon by the requestor cereal grains group: fodder at 0.15 ppm, (40 CFR 178.27). A request for a hearing C. Magnitude of Residues forage at 0.05 ppm, grain at 0.05 ppm, will be granted if the Administrator EPA has concluded that residue data hay at 0.10 ppm, and straw at 0.15 ppm. determines that the material submitted submitted in support of the tolerance for These time-limited tolerances expire shows the following: There is genuine potatoes indicate that a tolerance level May 12, 2004. and substantial issue of fact; there is a of 0.15 ppm is an adequate level for V. Objections and Hearing Requests reasonable possibility that available potatoes, wet peel. In addition, domestic evidence identified by the requestor field trial data supported the tolerance The new FFDCA section 408(g) would, if established, resolve one or level of 0.15 ppm on potatoes, wet peel provides essentially the same process more of such issues in favor of the and indicated that dimethomorph for persons to ‘‘object’’ to a tolerance requestor, taking into account residues do not pose an adverse health regulation as was provided in the old uncontested claims or facts to the risk to humans under the use section 408 and in section 409. contrary; and resolution of the factual conditions. Therefore, EPA has no However, the period for filing objections issues in the manner sought by the objection to the establishment of a is 60 days, rather than 30 days. EPA requestor would be adequate to justify tolerance of 0.15 ppm for residues of the currently has procedural regulations the action requested (40 CFR 178.32). fungicide dimethomorph in/on potatoes, which govern the submission of Information submitted in connection wet peel under 40 CFR 180.493. objections and hearing requests. These with an objection or hearing request For the purpose of establishing regulations will require some may be claimed confidential by marking permanent rotational crop tolerances for modification to reflect the new law. any part or all of that information as residues of dimethomorph in/on cereal However, until those modifications can CBI. Information so marked will not be grains, the limited wheat rotational field be made, EPA will continue to use those disclosed except in accordance with trial data are inadequate because of poor procedural regulations with appropriate procedures set forth in 40 CFR part 2. geographic representation of data, and adjustments to reflect the new law. A copy of the information that does not Any person may, by July 12, 1999, file because residue data are required for contain CBI must be submitted for written objections to any aspect of this other crops representative of cereal inclusion in the public record. regulation and may also request a grains. However, as the available data Information not marked confidential hearing on those objections. Objections indicate that most treated wheat raw may be disclosed publicly by EPA and hearing requests must be filed with agricultural commodity (RAC) samples without prior notice. bore nonquantifiable (< 0.05 ppm) the Hearing Clerk, at the address given residues, EPA recommends in favor of under ‘‘ADDRESSES’’ section (40 CFR VI. Public Record and Electronic the establishment of time-limited 178.20). A copy of the objections and/ Submissions or hearing requests filed with the tolerances for the forage and grain of EPA has established a record for this Hearing Clerk should be submitted to cereal grains at 0.05 ppm, for hay of regulation under docket control number the OPP docket for this rulemaking. The cereal grains at 0.10 ppm, and for the [OPP–300857] (including any comments objections submitted must specify the fodder and straw of cereal grains at 0.15 and data submitted electronically). A provisions of the regulation deemed ppm under 40 CFR 180.493. public version of this record, including objectionable and the grounds for the printed, paper versions of electronic D. International Residue Limits objections (40 CFR 178.25). Each comments, which does not include any There are no Canadian, Mexican, or objection must be accompanied by the fee prescribed by 40 CFR 180.33(i). EPA information claimed as CBI, is available Codex MRLs established for for inspection from 8:30 a.m. to 4 p.m., dimethomorph for the commodities is authorized to waive any fee requirement ‘‘when in the judgement of Monday through Friday, excluding legal associated with this request; holidays. The public record is located in consequently, a discussion of the Administrator such a waiver or refund is equitable and not contrary to Room 119 of the Public Information and international harmonization is not Records Integrity Branch, Information relevant. the purpose of this subsection.’’ For additional information regarding Resources and Services Division E. Rotational Crop Restrictions tolerance objection fee waivers, contact (7502C), Office of Pesticide Programs, Environmental Protection Agency, The plant back intervals for rotational James Tompkins, Registration Division Crystal Mall #2, 1921 Jefferson Davis crops are: 0 days for potatoes; 1 month (7505C), Office of Pesticide Programs, Hwy., Arlington, VA. for barley, broccoli, cabbage, carrot, Environmental Protection Agency, 401 Objections and hearing requests may cauliflower, celery, lettuce, oats, onion, M St., SW., Washington, DC 20460. be sent by e-mail directly to EPA at: radish, spinach, sugarbeets, tobacco and Office location, telephone number, and wheat; 7 months for alfalfa, beans, e-mail address: Rm. 239, Crystal Mall [email protected]. clover, corn (field, sweet, seed, and #2, 1921 Jefferson Davis Hwy., pop), peas, rice, sorghum, and soybeans; Arlington, VA, (703) 305–5697, E-mailed objections and hearing 12 months for all other crops. [email protected]. Requests for requests must be submitted as an ASCII waiver of tolerance objection fees file avoiding the use of special IV. Conclusion should be sent to James Hollins, characters and any form of encryption. Therefore, the tolerance for residues Information Resources and Services The official record for this regulation, of the fungicide dimethomorph, (E,Z) 4- Division (7502C), Office of Pesticide as well as the public version, as [3-(4-chlorophenyl)-3-(3,4- Programs, Environmental Protection described in this unit will be kept in dimethoxyphenyl)-1-oxo-2- Agency, 401 M St., SW., Washington, paper form. Accordingly, EPA will propenyl]morpholine, in or on potatoes, DC 20460. transfer any copies of objections and wet peel at 0.15 ppm and time-limited If a hearing is requested, the hearing requests received electronically tolerances are established for the objections must include a statement of into printed, paper form as they are indirect or inadvertent residues of the factual issues on which a hearing is received and will place the paper copies
VerDate 06-MAY-99 18:41 May 11, 1999 Jkt 183247 PO 00000 Frm 00036 Fmt 4700 Sfmt 4700 E:\FR\FM\12MYR1.XXX pfrm07 PsN: 12MYR1 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25455 in the official record which will also 58093, October 28, 1993), EPA may not does not involve or impose any include all comments submitted directly issue a regulation that is not required by requirements that affect Indian tribes. in writing. The official record is the statute and that creates a mandate upon Accordingly, the requirements of paper record maintained at the Virginia a State, local or tribal government, section 3(b) of Executive Order 13084 address in ‘‘ADDRESSES’’ at the unless the Federal government provides do not apply to this rule. beginning of this document. the funds necessary to pay the direct compliance costs incurred by those VIII. Submission to Congress and the VII. Regulatory Assessment governments. If the mandate is Comptroller General Requirements unfunded, EPA must provide to OMB a The Congressional Review Act, 5 A. Certain Acts and Executive Orders description of the extent of EPA’s prior U.S.C. 801 et seq., as added by the Small consultation with representatives of Business Regulatory Enforcement This final rule establishes a tolerance affected State, local, and tribal Fairness Act of 1996, generally provides under section 408(d) of the FFDCA in governments, the nature of their that before a rule may take effect, the response to a petition submitted to the concerns, copies of any written Agency promulgating the rule must Agency. The Office of Management and communications from the governments, submit a rule report, which includes a Budget (OMB) has exempted these types and a statement supporting the need to copy of the rule, to each House of the of actions from review under Executive issue the regulation. In addition, Congress and the Comptroller General of Order 12866, entitled Regulatory Executive Order 12875 requires EPA to the United States. EPA will submit a Planning and Review (58 FR 51735, develop an effective process permitting report containing this rule and other October 4, 1993). This final rule does elected officials and other required information to the U.S. Senate, not contain any information collections representatives of State, local, and tribal the U.S. House of Representatives and subject to OMB approval under the governments ‘‘to provide meaningful the Comptroller General of the United Paperwork Reduction Act (PRA), 44 and timely input in the development of States prior to publication of the rule in U.S.C. 3501 et seq., or impose any regulatory proposals containing the Federal Register. This rule is not a enforceable duty or contain any significant unfunded mandates.’’ ‘‘major rule’’ as defined by 5 U.S.C. unfunded mandate as described under Today’s rule does not create an 804(2). Title II of the Unfunded Mandates unfunded Federal mandate on State, Reform Act of 1995 (UMRA) (Pub. L. local, or tribal governments. The rule List of Subjects in 40 CFR Part 180 104–4). Nor does it require any prior does not impose any enforceable duties Environmental protection, consultation as specified by Executive on these entities. Accordingly, the Administrative practice and procedure, Order 12875, entitled Enhancing the requirements of section 1(a) of Agricultural commodities, Pesticides Intergovernmental Partnership (58 FR Executive Order 12875 do not apply to and pests, Reporting and recordkeeping 58093, October 28, 1993), or special this rule. requirements. considerations as required by Executive Order 12898, entitled Federal Actions to C. Executive Order 13084 Dated: April 30, 1999 Address Environmental Justice in Under Executive Order 13084, James Jones, Minority Populations and Low-Income entitled Consultation and Coordination Populations (59 FR 7629, February 16, with Indian Tribal Governments (63 FR Director, Registration Division, Office of 1994), or require OMB review in 27655, May 19, 1998), EPA may not Pesticide Programs. accordance with Executive Order 13045, issue a regulation that is not required by Therefore, 40 CFR chapter I is entitled Protection of Children from statute, that significantly or uniquely amended as follows: Environmental Health Risks and Safety affects the communities of Indian tribal Risks (62 FR 19885, April 23, 1997). governments, and that imposes PART 180Ð[AMENDED] In addition, since tolerances and substantial direct compliance costs on 1. The authority citation for part 180 exemptions that are established on the those communities, unless the Federal continues to read as follows: basis of a petition under FFDCA section government provides the funds Authority: 21 U.S.C. 321(q), 346(a), and 408(d), such as the tolerance in this necessary to pay the direct compliance 371. final rule, do not require the issuance of costs incurred by the tribal a proposed rule, the requirements of the governments. If the mandate is 2. In § 180.493, by revising paragraphs Regulatory Flexibility Act (RFA) (5 unfunded, EPA must provide OMB, in (a) and (d) to read as follows: U.S.C. 601 et seq.) do not apply. a separately identified section of the Nevertheless, the Agency previously preamble to the rule, a description of § 180.493 Dimethomorph, tolerances for assessed whether establishing the extent of EPA’s prior consultation residues. tolerances, exemptions from tolerances, with representatives of affected tribal (a) General. A tolerance is established raising tolerance levels or expanding governments, a summary of the nature for the residues of the fungicide exemptions might adversely impact of their concerns, and a statement dimethomorph, (E,Z) 4-[3-(4- small entities and concluded, as a supporting the need to issue the chlorophenyl)-3-(3,4-dimethoxyphenyl)- generic matter, that there is no adverse regulation. In addition, Executive Order 1-oxo-2-propenyl]morpholine in or on economic impact. The factual basis for 13084 requires EPA to develop an the following commodity: the Agency’s generic certification for effective process permitting elected tolerance actions published on May 4, officials and other representatives of 1981 (46 FR 24950), and was provided Indian tribal governments ‘‘to provide to the Chief Counsel for Advocacy of the meaningful and timely input in the Parts per Small Business Administration. development of regulatory policies on Commodity mil- matters that significantly or uniquely lion B. Executive Order 12875 affect their communities.’’ Under Executive Order 12875, Today’s rule does not significantly or Potatoes, wet peel ...... 0.15 entitled Enhancing the uniquely affect the communities of Intergovernmental Partnership (58 FR Indian tribal governments. This action * * * * *
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(d) Indirect or inadvertent residues. the following raw agricultural tolerances will expire and are revoked Time-limited tolerances are established commodities when present therein as a on the dates specified in the following for inadvertent or indirect residues of result of the application of table. the fungicide dimethomorph in or on dimethomorph to growing crops. The
Commodity Parts per million Expiration/revocation date
Cereal grains group, fodder ...... 0.15 May 12, 2004 Cereal grains group, forage ...... 0.05 May 12, 2004 Cereal grains group, grain ...... 0.05 May 12, 2004 Cereal grains group, hay ...... 0.10 May 12, 2004 Cereal grains group, straw ...... 0.15 May 12, 2004
[FR Doc. 99–11565 Filed 5–11–99; 8:45 am] facility type in the regulations text, and reflected in correction number 22 to BILLING CODE 6560±50±F revisions to Addendum B. follow. The provisions in this correction 5. We erroneously assigned relative notice are effective as if they had been value units to the following CPT codes DEPARTMENT OF HEALTH AND included in the document published in in the facility setting. By definition the HUMAN SERVICES the Federal Register on November 2, following CPT codes cannot be 1998, that is, January 1, 1999. performed in the facility setting. Health Care Financing Administration Columns associated with facility Discussion of Addendum B relative value units should be set to NA in Addendum B. Entries on pages listed 42 CFR Parts 405, 410, 413, 414, 415, 1. We inadvertently omitted the below are corrected as follows: Page 424, and 485 professional and technical portions for 59144 for CPT codes 99321, 99322, the following CPT code. Entries on the [HCFA±1006±CN] 99323, 99331, 99332, 99333, 99341, page listed below are corrected as 99342, 99343, 99344, 99345, 99347, RIN 0938±AI52 follows: Page 59073 for CPT codes 99348, 99349, and 99350; page 59145 78020–26 and 78020–TC. These Medicare Program; Revisions to for CPT codes 99374 and 99375. These corrections are reflected in correction Payment Policies and Adjustments to corrections are reflected in correction number 19 to follow. the Relative Value Units Under the number 23 to follow. 2. We assigned incorrect status codes Physician Fee Schedule for Calendar Correction of Errors Year 1999; Correction to the following CPT codes. Entries on pages listed below are corrected as In FR Doc. 98–29181 of November 2, AGENCY: Health Care Financing follows: Page 59087 for CPT code 82251; 1998, make the following corrections: Administration (HCFA), HHS. page 59114 for CPT codes 90471 and 1. On page 58814, column three, ACTION: Correction of final rule with 90472; page 59181 for CPT code R0070; ‘‘Table of Contents’’, after subsection comment period. and page 59182 for CPT code R0075. ‘‘I.B’’, add a new subsection ‘‘C’’ to read These corrections are reflected in as follows: SUMMARY: This document corrects correction number 20 to follow. ‘‘C. Components of the Fee Schedule technical errors that appeared in the 3. We assigned incorrect RVUs or Payment Amounts’’ final rule with comment period modifiers for the following CPT codes. 2. On page 58816, column one, add a published in the Federal Register on Entries on pages listed below are new subsection ‘‘C’’, to read as follows: November 2, 1998, entitled ‘‘Medicare corrected as follows: Page 59109 for CPT Program; Revisions to Payment Policies code 88141; page 59132 for CPT codes ‘‘C. Components of the Fee Schedule and Adjustments to the Relative Value 94014, 94014–26, and 94014–TC; 94015, Payment Amounts’’ Units Under the Physician Fee Schedule 94015–26, 94015–TC; and 94016; page for Calendar Year 1999.’’ Under the formula set forth in section 59168 for CPT code G0124; and page 1848(b)(1) of the Act, the payment EFFECTIVE DATE: January 1, 1999. 59169 for CPT code G0141. These amount for each service paid for under FOR FURTHER INFORMATION CONTACT: corrections are reflected in correction the physician fee schedule is the Diane Milstead, (410) 786–3355 number 21 to follow. product of three factors: (1) A nationally SUPPLEMENTARY INFORMATION: 4. We stated that we would not uniform relative value for the service; provide a transition for codes (2) a geographic adjustment factor (GAF) Background representing services that are new for each physician fee schedule area; In FR Doc. 98–29181 of November 2, beginning in 1999. The codes identified and (3) a nationally uniform conversion 1998, (63 FR 58814), there were a below are new CPT codes, but do not factor (CF) for the service. The CF number of technical errors. The errors represent new services. These codes converts the relative values into relate to the omission of background were previously reported with a payment amounts. information, an incorrect reference, the different CPT code. We failed to apply For each physician fee schedule qualification requirements for the transition to these services. The service, there are three relative values: nonphysician practitioners, a corrected RVUs for the codes are as (1) An RVU for physician work; (2) an typographical error, a correction to a follows: Page 58965 for CPT codes RVU for practice expense (NOTE: This CPT code modifier in Table 6, an 31623, 31624, and 31643; page 58977 RVU will vary on a code by code basis inconsistency in the preamble and for CPT codes 35682, and 35683; page depending upon if the service is addendum, the omission of status 59133 for CPT codes 94621, 94621–26, performed in a facility or non-facility indicator references, the omission of a and 94621–TC. These corrections are setting); and (3) an RVU for malpractice
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The GPCIs reflect the extensively involved in recovery room Accreditation of Allied Health relative costs of practice expenses, or scheduling matters of significant Education Programs; or malpractice insurance, and physician duration because such personal services • Has passed the national work in an area compared to the would diminish the scope of control certification examination that is national average for each component. necessary for medical direction.’’ administered by the National The general formula for calculating 6. On page 58874, in the second Commission on Certification of the Medicare fee schedule amount for a column, third paragraph beginning Physician Assistants; and given service in a given fee schedule ‘‘Result of evaluation of comments’’ we • Is licensed by the State to practice area can be expressed as: discuss the qualifications required for a as a physician assistant.’’ nurse practitioner to be eligible for Payment = [(RVU work * GPCI work) + § 410.74 [Corrected] (RVU practice expense * GPCI Medicare Part B payment. We erred in practice expense) + (RVU establishing the effective date for the 10. On page 58908, in column one, in malpractice * GPCI malpractice)] * requirements for nurse practitioners. the regulations text, under § 410.74, CF The date should be January 1, 2000. The paragraph (c)(1), remove the word provisions for nurse practitioner ‘‘National’’ and add the word ‘‘or’’ after The CF for calendar year 1999 appears qualifications will not be effective until the semicolon. In paragraph (c)(2), line in Section V. ‘‘Physician Fee Schedule January 1, 2000. In column 2, paragraph two, remove the word ‘‘of’’ and add the Update and Conversion Factor for 3, line 3, insert the words ‘‘after phrase ‘‘that is administered by.’’ Calendar Year 1999.’’ The RVUs for December 31, 1999,’’ after the comma. calendar year 1999 are in Addendum B. 7. On page 58878, in the third § 410.75 [Corrected] The GPCIs for calendar year 1999 can be column, fourth full paragraph, the first 11. On page 58908, in column one, in found in Addendum D of the October bullet, the name of the national the regulations text, under § 410.75, 31, 1997, final rule (62 FR 59255). accreditation organization was paragraph (b), ‘‘For’’ is corrected to read, Section 1848(e) of the Act requires the published incorrectly. Therefore, ‘‘After December 31, 1999, for’’. Secretary to develop GAFs for all remove the word ‘‘National.’’ Also, we physician fee schedule areas. The total inadvertently omitted the word ‘‘or’’ § 414.32 [Corrected] GAF for a fee schedule area is equal to after the semicolon. The word ‘‘or’’ was 12. On page 58911, in the first a weighted average of the individual included in the proposed rule and there column, correct the amendatory GPCIs for each of the three components was no change intended in this area. language in item 5, and add paragraph of the service. Thus, the GPCIs reflect Therefore, the word ‘‘or’’ should be (a)(6) to read as follows: the relative costs of practice expenses, added after the semicolon. The first ‘‘5. In § 414.32, the heading and malpractice insurance, and physician bullet should now read as follows: ‘‘Has paragraphs (a)(6) and (b) are revised to work in an area compared to the graduated from a physician assistant read as follows: national average. In accordance with the educational program that is accredited (a) Definition. *** law, however, the GAF for the by the Commission on Accreditation of (6) Skilled nursing facilities.’’ physician’s work reflects one-quarter of Allied Health Education Programs; or’’ § 485.705 [Corrected] the relative cost of physician’s work In the second bullet, the third line we compared to the national average.’’ incorrectly stated that the national 13. On page 58913, in column one, in 3. On page 58827, in column three, certification examination is ‘‘certified’’ the regulations text, under § 485.705, bullet two, line two, ‘‘REUS’’ is by the National Commission on paragraph (c)(8) introductory text is corrected to read ‘‘RVUs.’’ Certification of Physician Assistants. corrected to read as follows: 4. On page 58828, in column 1, the This organization ‘‘administers’’ the ‘‘(c) * * * first full paragraph, lines 4 and 11, examination. Therefore, the word (8) After December 31, 1999, a nurse ‘‘REUS’’ is corrected to read ‘‘RVUs.’’ ‘‘certified’’ is removed and replaced practitioner is a person who must:’’ 5. On page 58844, there is an with ‘‘administered.’’ The second bullet 14. On page 58913, column one, inaccuracy in the discussion concerning should now read as follows: ‘‘Has § 485.705(c)(10)(i) is corrected by physician direction of concurrent passed the national certification removing the word ‘‘National’’ and, after anesthesia services. In the discussion, examination that is administered by the the semicolon, replacing the word we inadvertently failed to include the National Commission on Certification of ‘‘and’’ with ‘‘or’’ and paragraph revisions to the policy that were made Physician Assistants; and’ (c)(10)(ii) is corrected by, removing the in the September 1, 1983 final rule (48 8. On page 58889, in Table 6, the last word ‘‘certified’’ and adding FR 39740) and currently appear in line, the second column, the modifier ‘‘administered’’ in its place. In section 15018C of the Medicare Carrier for CPT code 94014, remove ‘‘26’’ and paragraph (c)(10)(iii), the first use of the Manual (MCM). leave the column blank. phrase ‘‘as a physician assistant’’ is Therefore, on page 58844, column 9. On page 58892, in the third removed. three, the second full paragraph from column, the third bullet, line 6, remove Addendum B [Corrected] the top is corrected to read as follows: the word ‘‘National’’. In line 7, remove ‘‘If a physician is directing four the second use of the word ‘‘on’’ and 15. On page 58913, in column three, concurrent surgical procedures and add the word ‘‘of’’, and add the word add the following after the entry for devotes extensive time to checking or ‘‘or’’ after the semicolon. Line 11, the status code ‘‘G’: discharging other patients in the word ‘‘certified’’ is replaced with ‘‘H = Deleted modifier (code used to recovery room or handling scheduling ‘‘administered.’’ The third bullet should have a modifier of TC and PC) matters, this could unduly diminish now read as follows: ‘‘ Proposed I = Code not valid for Medicare physician involvement in the surgical § 410.74(c) is revised to state that a purposes. Medicare does not cases. If significantly reduced, a physician assistant is an individual recognize codes assigned this physician’s involvement in the surgical who— status. Medicare uses another code
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for reporting of, and payment for, indicator ‘‘G.’’ Its use allows for 16. On page 58914, in columns two these services. This indicator is more efficient carrier processing of and three, in the definitions for ‘‘11’’ treated in the same manner as status Medicare claims.’’ and ‘‘12’’, remove the words ‘‘for 1999.’’
Addendum B 17. In the table of Addendum B, the following CPT codes are added to read as follows:
Non- Transi- Transi- Transi- Physi- facility tioned Facility tioned fa- Non- tioned Transi- CPT1 1 non- practice cility Mal-prac- Facility tioned 2 Mod Status Description cian work practice facility non- Global HCPCS 3 facility expense pratice tice RVUs Total facility RVUs expense expense RVUs expense total facility total RVUs RVUs RVUs total
******* 78020 ...... 26 A Thyroid met uptake ...... 0.60 0.02 0.02 0.02 0.02 0.02 0.64 0.64 0.64 0.64 ZZZ 78020 ...... TC A Thyroid met uptake ...... 0.00 0.15 0.15 0.15 0.15 0.06 0.21 0.21 0.21 0.21 ZZZ
******* 1 CPT codes and descriptions only are copyright 1998 American Medical Association. All rights reserved. Applicable FARS/DFARS apply. 2 Copyright 1994 American Dental Association. All rights reserved. 3 Indicates RVUs are not used for Medicare payment. 18. In the table to Addendum B, the following CPT codes are correctly revised to read as follows:
Non- Transitioned Facility Transitioned 1 Physician facility facility Mal- Non- Transitioned CPT1 / Mod Status Description work practice non-facility practice pratice practice facility non-facility Facility Transitioned Global HCPCS 2 expense expense total facility total RVUs 3 expense expense RVUs total total RVUs RVUs RVUs RVUs
******* 82251 ...... X Assay Bilirubin ...... 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 XXX
******* 90471 ...... X Immunization admin, single 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 XXX 90472 ...... X Immunization admin, 2+ ..... 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 XXX
******* R0070 ...... C Transport portable x-ray ..... 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 XXX R0075 ...... C Transport port x-ray multipl 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 XXX
******* 1 CPT codes and descriptions only are copyright 1998 American Medical Association. All Rights Reserved Applicable FARS/DFARS Apply. 2 Copyright 1994 American Dental Association. All rights reserved. 3 +Indicates RVUs are not used for Medicare payment. 19. In the table to Addendum B, the following CPT codes are correctly revised to read as follows:
Non- Transitioned Facility Transitioned 1 Physician facility facility Mal- Non- Transitioned CPT1 / Mod Status Description work practice non-facility practice pratice practice facility non-facility Facility Transitioned Global HCPCS 2 expense expense total facility total RVUs 3 expense expense RVUs total total RVUs RVUs RVUs RVUs
******* 88141 ...... A Cytpath c/vag interpret ...... 0.42 0.18 0.56 0.18 0.31 0.03 .63 1.01 0.63 0.76 ZZZ
******* 94014 ...... A Patient recorded spirometry 0.52 0.63 0.63 0.63 0.63 0.04 1.19 1.19 1.19 1.19 XXX 94014 ...... 26 H Patient recorded spirometry 0.52 0.20 0.20 0.20 0.20 0.02 0.74 0.74 0.74 0.74 XXX 94014 ...... TC H Patient recorded spirometry 0.00 0.43 0.43 0.43 0.43 0.02 0.45 0.45 0.45 0.45 XXX 94015 ...... A Patient recorded spirometry 0.00 0.43 0.00 0.43 0.00 0.02 0.45 0.00 0.45 0.00 XXX 94015 ...... 26 H Patient recorded spirometry 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 XXX 94015 ...... TC H Patient recorded spirometry 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 XXX 94016 ...... A Review patient spirometry .. 0.52 0.20 0.20 0.20 0.20 0.02 0.74 0.74 0.74 0.74 XXX
******* G0124 ...... A Screen c/v thin layer by MD 0.42 0.18 0.30 0.18 0.30 0.03 0.63 0.75 0.63 0.75 XXX G0141 ...... A Scr c/v cyto, autosys and 0.42 0.18 0.15 0.18 0.15 0.03 0.63 0.60 0.63 0.60 XXX md.
******* 1 CPT codes and descriptions only are copyright 1998 American Medical Association. All Rights Reserved Applicable FARS/DFARS Apply. 2 Copyright 1994 American Dental Association. All rights reserved. 3 +Indicates RVUs are not used for Medicare payment. 20. In the table to Addendum B, the following CPT codes are correctly revised to read as follows:
Non- Transitioned Facility Transitioned Transitioned 1 Physician facility facility Mal- Non- CPT1 / Mod Status Description work practice non-facility practice pratice practice facility non- Facility Transitioned Global HCPCS 2 expense expense facility total facility total RVUs 3 expense expense RVUs total RVUs RVUs RVUs RVUs total
******* 31623 ...... A Dx Bronchoscope/ brush .... 3.07 3.33 3.34 1.25 2.82 0.27 6.67 6.68 4.59 6.16 OOO 31624 ...... A Dx Bronchoscope/ lavage ... 3.11 3.35 3.34 1.26 2.82 0.27 6.73 6.72 4.64 6.20 OOO
******* 31643 ...... A Dx Bronchoscope/ catheter 3.50 1.73 2.94 1.23 2.81 0.66 5.89 7.10 5.39 6.97 OOO
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Non- Transitioned Facility Transitioned Transitioned 1 Physician facility facility Mal- Non- CPT1 / Mod Status Description work practice non-facility practice pratice practice facility non- Facility Transitioned Global HCPCS 2 expense expense facility total facility total RVUs 3 expense expense RVUs total RVUs RVUs RVUs RVUs total
******* 35682 ...... A Composite bypass graft ...... 7.20 2.81 7.92 2.74 7.90 2.75 12.76 17.87 12.69 17.85 ZZZ 35683 ...... A Composite bypass graft ...... 8.50 3.32 8.05 3.22 8.02 2.75 14.57 19.30 14.47 19.27 ZZZ
******* 94621 ...... A Plum stress/test complex .... 0.88 1.74 2.11 1.74 2.11 0.12 2.74 3.11 2.74 3.11 XXX 94621 ...... 26 A Plum stress/test complex .... 0.88 0.27 0.64 0.27 0.64 0.04 1.19 1.56 1.19 1.56 XXX 94621 ...... TC A Plum stress/test complex .... 0.00 1.47 1.47 1.47 1.47 0.08 1.55 1.55 1.55 1.55 XXX
******* 1 CPT codes and descriptions only are copyright 1998 American Medical Association. All Rights Reserved Applicable FARS/DFARS Apply. 2 Copyright 1994 American Dental Association. All rights reserved. 3 +Indicates RVUs are not used for Medicare payment. 21. In the table to Addendum B, the following CPT codes are correctly revised to read as follows:
Non-facility Transitioned Facility Transitioned 1 Physician facility Mal- CPT1 / Mod Status Description work practice non-facility practice practice ex- practice Non-facility Transitioned Facility Transitioned Global HCPCS2 expense expense expense total facility total total facility RVUs3 pense RVUs RVUs RVUs RVUs RVUs
******* 99321 ...... A ...... Rest home 0.71 0.38 0.40 NA NA 0.02 1.11 1.13 NA NA XXX visit, new patient. 99322 ...... A ...... Rest home 1.01 0.59 0.56 NA NA 0.04 1.64 1.61 NA NA XXX visit, new patient. 99323 ...... A ...... Rest home 1.28 0.74 0.78 NA NA 0.05 2.07 2.11 NA NA XXX visit, new patient. 99331 ...... A ...... Rest home 0.60 0.38 0.32 NA NA 0.02 1.00 0.94 NA NA XXX visit, estab pat. 99332 ...... A ...... Rest home 0.80 0.48 0.41 NA NA 0.02 1.30 1.23 NA NA XXX visit, estab pat. 99333 ...... A ...... Rest home 1.00 0.58 0.51 NA NA 0.02 1.60 1.53 NA NA XXX visit, estab pat. 99341 ...... A ...... Home visit, 1.01 0.49 0.56 NA NA 0.04 1.54 1.61 NA NA XXX new pa- tient. 99342 ...... A ...... Home visit, 1.52 0.74 0.67 NA NA 0.04 2.30 2.23 NA NA XXX new pa- tient. 99343 ...... A ...... Home visit, 2.27 1.09 0.90 NA NA 0.05 3.41 3.22 NA NA XXX new pa- tient. 99344 ...... A ...... Home visit, 3.03 1.35 1.03 NA NA 0.07 4.45 4.13 NA NA XXX new pa- tient. 99345 ...... A ...... Home visit, 3.79 1.61 1.09 NA NA 0.07 5.47 4.95 NA NA XXX new pa- tient. 99347 ...... A ...... Home visit, 0.76 0.41 0.47 NA NA 0.03 1.20 1.26 NA NA XXX estab pa- tient. 99348 ...... A ...... Home visit, 1.26 0.63 0.59 NA NA 0.03 1.92 1.88 NA NA XXX estab pa- tient. 99349 ...... A ...... Home visit, 2.02 0.91 0.72 NA NA 0.04 2.97 2.78 NA NA XXX estab pa- tient. 99350 ...... A ...... Home visit 3.03 1.24 0.93 NA NA 0.05 4.32 4.01 NA NA XXX estab pa- tient.
******* 99374 ...... B ...... Home health +1.10 1.03 0.67 NA NA 0.03 2.16 1.80 NA NA XXX care su- pervision. 99375 ...... A ...... Home health 1.73 1.11 0.69 NA NA 0.03 2.87 2.45 NA NA XXX care su- pervision. 1 CPT codes and descriptions only are copyright 1998 American Medical Association. All Rights Reserved Applicable FARS/DFARS Apply. 2 Copyright 1994 American Dental Association. All rights reserved. 3 + Indicates RVUs are not used for Medicare payment.
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(Section 1848 of the Social Security Act (42 regulations). Generally, the taking of sea offshore waters within 10 nm (18.5 km) U.S.C. 1395w–4)) turtles is prohibited. However, the seaward of the COLREGS demarcation (Catalog of Federal Domestic Assistance incidental take of turtles during shrimp line, bounded by 32° N. lat. and 33° N. Program No. 93.774, Medicare— fishing in the Atlantic Ocean off the lat., within the Leatherback Supplementary Medical Insurance Program) coast of the southeastern United States conservation zone are closed to fishing Dated: April 30, 1999. and in the Gulf of Mexico is excepted by shrimp trawlers required to have a Neil J. Stillman, from the taking prohibition pursuant to TED installed in each net that is rigged Deputy Assistant Secretary for Information sea turtle conservation regulations at 50 for fishing, unless the TED installed has Resources Management. CFR 223.206, which include a an escape opening large enough to [FR Doc. 99–11511 Filed 5–11–99; 8:45 am] requirement that shrimp trawlers have a exclude leatherback turtles, meeting the BILLING CODE 4120±01±P NMFS-approved TED installed in each specifications at 50 CFR net rigged for fishing. The use of TEDs 223.207(a)(7)(ii)(B) or significantly reduces mortality of 223.207(c)(1)(iv)(B). These regulations DEPARTMENT OF COMMERCE loggerhead, green, Kemp’s ridley, and specify modifications that can be made hawksbill sea turtles. Because to either single-grid hard TEDs or Parker National Oceanic and Atmospheric leatherback turtles are larger than the soft TEDs to allow leatherbacks to Administration escape openings of most NMFS- escape. approved TEDs, use of these TEDs is not The regulations at 50 CFR 50 CFR Parts 222 and 223 an effective means of protecting 223.206(d)(2)(iv) also state that fishermen operating in the closed area [Docket No. 950427117±9123±06; I.D. leatherback turtles. 050599D] Through a final rule (60 FR 47713 with TEDs modified to exclude September 14, 1995), NMFS established leatherback turtles must notify the RIN 0648±AH97 regulations to protect leatherback turtles NMFS Southeast Regional when they occur in locally high Administrator of their intentions to fish Sea Turtle Conservation; Restrictions densities during their annual, spring in the closed area. This aspect of the Applicable to Shrimp Trawl Activities; northward migration along the Atlantic regulations does not have a current Leatherback Conservation Zone seaboard. Within the Leatherback Office of Management and Budget AGENCY: National Marine Fisheries conservation zone, NMFS may close an control number, issued pursuant to the Service (NMFS), National Oceanic and area for 2 weeks when leatherback Paperwork Reduction Act. Atmospheric Administration (NOAA), sightings exceed 10 animals per 50 Consequently, fishermen are not Commerce. nautical miles (nm) (92.6 km) during required to notify the Regional repeated aerial surveys pursuant to Administrator prior to fishing in the ACTION: Temporary rule. § 223.206(d)(2)(iv)(A) through (C). closed area, but they must still meet the SUMMARY: NMFS is closing, for a 2-week An aerial survey conducted on April gear requirements. period, all inshore waters and offshore 27, 1999, along the South Carolina coast This closure has been announced on waters out to 10 nm (18.5 km) seaward documented 70 leatherback turtles over the NOAA weather channel, in of the COLREGS demarcation line (as a total survey trackline of 327 nautical newspapers, and other media. Shrimp defined at 33 CFR Part 80), bounded by miles (nm) (606 km). The highest trawlers may also call (727)570–5312 for 32° N. lat. and 33° N. lat. within the concentrations were noted in waters off updated area closure information. the southern half of the state along two, Leatherback conservation zone, to Classification fishing by shrimp trawlers required to parallel 46 nm (85.2 km) tracklines ° This action has been determined to be have a turtle excluder device (TED) beginning at approximately 32 07’ N. ° not significant for purposes of E.O. installed in each net that is rigged for lat., 080 41’ W. long. (offshore Hilton 12866. fishing, unless the TED has an escape Head Island, SC) and ending at approximately 32°35’ N. lat., 079°59’ W. The AA is taking this action in opening large enough to exclude accordance with the requirements of 50 leatherback turtles, as specified in the long. (offshore Kiawah Island, SC), where 35 leatherbacks were sighted CFR 223.206(d)(2)(iv) to provide regulations. This action is necessary to emergency protection for endangered reduce mortality of endangered along the trackline parallel to the coast at approximately 1.5 nm (2.8 km), and leatherback sea turtles from incidental leatherback sea turtles incidentally 17 leatherbacks were sighted along the capture and drowning in shrimp trawls. captured in shrimp trawls. trackline paralleling the coast at Leatherback sea turtles are occurring in DATES: This action is effective from May approximately 3.0 nm (5.6 km). A high concentrations in coastal waters in 7, 1999 through 11:59 p.m. (local time) survey along the same tracklines on May shrimp fishery statistical zone 32. This on May 21, 1999. 3, 1999, documented 1 leatherback on action allows shrimp fishing to continue FOR FURTHER INFORMATION CONTACT: the 1.5 nm (2.8 km) and 11 leatherbacks in the affected area and informs Charles A. Oravetz, (727) 570–5312, or on the 3.0 nm (5.6 km) from shore fishermen of the gear changes that they Barbara A. Schroeder (301) 713–1401. tracklines. The May 3 survey also can make to protect leatherback sea For assistance in modifying TED escape observed 55 trawlers operating along the turtles. openings to exclude leatherback sea South Carolina coast. Of those 55 Pursuant to 5 U.S.C. 553(b)(B), the AA turtles, fishermen may contact gear trawlers, 52 were located south of Cape finds that there is good cause to waive specialists at the NMFS Pascagoula, MS Romain, within shrimp fishery prior notice and opportunity to laboratory by phone (228) 762–4591 or statistical zone 32. Thirty-four trawlers comment on this action. It would be fax (228) 769–8699. were sighted between Hilton Head and contrary to the public interest to provide SUPPLEMENTARY INFORMATION: The taking Kiawah Islands, along the portion of prior notice and opportunity for of sea turtles is governed by regulations trackline with the highest comment because providing notice and implementing the Endangered Species concentrations of leatherback. comment would prevent the agency Act (ESA) at 50 CFR parts 222 and 223 Therefore, the Assistant Administrator from implementing the necessary action (see 64 FR 14051, March 23, 1999, final for Fisheries, NOAA (AA), has in a timely manner to protect the rule consolidating and reorganizing ESA determined that all inshore waters and endangered leatherback. Furthermore,
VerDate 06-MAY-99 18:41 May 11, 1999 Jkt 183247 PO 00000 Frm 00042 Fmt 4700 Sfmt 4700 E:\FR\FM\12MYR1.XXX pfrm07 PsN: 12MYR1 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25461 notice and opportunity to comment on allowing time for the shrimp fishery to the regulatory framework for the this action was provided through the comply with this rule. Leatherback Conservation Zone (60 FR proposed rule establishing these actions As prior notice and an opportunity for 47713, September 14, 1995). Copies of (60 FR 25663, May 12, 1995). For these public comment are not required to be the EA are available (see ADDRESSES). provided for this notification by 5 reasons, good cause exists under 5 Dated: May 7, 1999. U.S.C. 553(d)(3) not to delay the U.S.C. 553, or by any other law, the analytical requirements of 5 U.S.C. 601 Penelope D. Dalton, effective date of this rule for 30 days. As Assistant Administrator for Fisheries, stated above, this closure has been et seq., are inapplicable. The AA prepared an Environmental National Marine Fisheries Service. announced on the NOAA weather radio, Assessment (EA) for the final rule [FR Doc. 99–11985 Filed 5–7–99; 4:48 pm] in newspapers, and other media, requiring TED use in shrimp trawls and BILLING CODE 3510±22±F
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Proposed Rules Federal Register Vol. 64, No. 91
Wednesday, May 12, 1999
This section of the FEDERAL REGISTER subpart B, regulations; subpart C, tobacco. A minimum of three locations contains notices to the public of the proposed Standards, and subpart G, Policy within a lot is required to be sampled issuance of rules and regulations. The Statement and Regulations Governing to show the range of the entire lot. purpose of these notices is to give interested Availability of Tobacco Inspection and However, the buying segment of the persons an opportunity to participate in the Price Support Services to Flue-Cured tobacco industry has opposed opening rule making prior to the adoption of the final rules. Tobacco on Designated Markets, bales citing integrity issues. Without the pursuant to the authority contained in ability to examine the interior of the the Tobacco Inspection Act of 1935, as bale for such conditions as doubtful DEPARTMENT OF AGRICULTURE amended (49 Stat. 731; 7 U.S.C. 511 et keeping order (high moisture level), seq.). damaged tobacco, or nesting (inferior Agricultural Marketing Service This proposal was based on a research quality tobacco), an accurate grade project conducted by AMS and determination could not be assured. 7 CFR Part 29 recommendations made by the industry During the 1998 flue-cured marketing [Docket No. TB±99±02] to revise the regulations to better adapt season, Tobacco Programs conducted a flue-cured bale inspection into the research project on marketing flue-cured Tobacco Inspection current marketing system. On December tobacco in bales. The research focused 30, 1998, the Flue-Cured Tobacco on the grade and condition of flue-cured AGENCY: Agricultural Marketing Service, Advisory Committee (FCTAC) met and baled tobacco from the beginning to the USDA. reviewed recommendations from the end of the marketing process. Research ACTION: Proposed rule. tobacco industry on the flue-cured bale data was collected at the farm level as as an alternative packaging method. The the tobacco was compressed into a bale, SUMMARY: The Department is proposing to revise the regulations for flue-cured recommendations made by the FCTAC at the auction warehouse before and tobacco to more accurately describe have been included in this proposal for during the day of sale, and at the tobacco as it presently appears at the regulatory action. The proposed revision processing facility as the bale was marketplace. The revision would add a would add a special factor to the disassembled. special factor to the grademark to grademark to identify lots of flue-cured The purpose of the research project identify any lots of baled flue-cured tobacco not opened for inspection, was to determine if significant tobacco not opened for inspection. This establish dimension and spacing variations existed between the exterior would allow a distinction between lots requirements for marketing display of and interior of the flue-cured bale that that are opened for inspection and lots bales, and revise the poundage would impact the official grade that are not opened for inspection. adjustment for a warehouse selling in standards. The findings indicated there Additional bale dimensions and space excess of the sales schedule. was no significant variation in grade requirements would be established for Flue-cured tobacco has been and condition observed. However, uniform marketing display in the traditionally marketed in a sheet with a USDA inspectors were present at the warehouses. To take into account the maximum weight of 275 pounds. The farm to observe tobacco being placed marketing of bales, a revision would dimensions of the sheet is 8 feet x 8 feet into a bale and the potential to conceal also be necessary in the poundage and is composed of burlap or other inferior quality tobacco was eliminated. adjustment for a warehouse selling in synthetic materials. The tobacco is Furthermore, the practice of nesting excess of the sales schedule and for arranged in a circular pattern on the (concealing inferior quality tobacco) has undesignated producer tobacco. sheet and the corners are tied diagonally been a problem in the past and it is for handling purposes. The lot of expected that this problem will be DATES: Comments are due on or before sheeted tobacco is approximately 4 feet present in the future. Without opening June 11, 1999. in diameter. a bale and examining interiors, an ADDRESSES: Send comments to John P. The tobacco industry has accurate grade determination is not Duncan III, Deputy Administrator, experimented with the bale as an assured. Since flue-cured tobacco is and Tobacco Programs, Agricultural alternative packaging method for will continue to be marketed in both the Marketing Service (AMS), United States marketing flue-cured tobacco during the sheeted and bale packages, we believe Department of Agriculture (USDA), past 3 years. This alternative package is that a distinction needs to be made Room 502 Annex Building, PO Box a 42-inch wide × 42-inch high × 40-inch between lots that are not opened for 96456, Washington, DC 20090–6456. long bale weighing approximately 750 inspection. Making such a distinction Comments will be made available for pounds. The bale is compressed would contribute to grading accuracy public inspection at this location during together and bound by metal wires. The and assist in maintaining program regular business hours. FCTAC recommended bale dimensions integrity. In the event that a problem FOR FURTHER INFORMATION CONTACT: of 42 inches × 42 inches × 40 inches. exists regarding the quality or condition John P. Duncan III, Deputy The current regulations under the of the interior of the bale, a buyer would Administrator, Tobacco Programs, AMS, Tobacco Inspection Act do not have to resolve the matter with the USDA, Room 502 Annex Building, PO specifically restrict baling as a producer or the commissioned Box 96456, Washington, DC 20090– packaging method for flue-cured warehouse operator. 6456. Telephone (202) 205–0567. tobacco. However, the current Accordingly, the Department is SUPPLEMENTARY INFORMATION: Notice is regulations do require that an official proposing to revise the regulations for hereby given that the Department grade determination be based on a flue-cured tobacco to more accurately proposes to amend regulations under thorough examination of a lot of describe tobacco as it appears at the
VerDate 06-MAY-99 09:37 May 11, 1999 Jkt 183247 PO 00000 Frm 00001 Fmt 4702 Sfmt 4702 E:\FR\FM\A12MY2.019 pfrm07 PsN: 12MYP1 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Proposed Rules 25463 marketplace. This proposal would Additionally, in conformance with For the reasons set forth in the revise the current tobacco regulations to the provisions of the Regulatory preamble, it is proposed that 7 CFR part allow the inspection of bales of flue- Flexibility Act (5 U.S.C. 601 et seq.), full 29 be amended as follows: cured tobacco without the bale being consideration has been given to the opened for inspection. Further, this potential economic impact upon small PART 29ÐTOBACCO INSPECTION proposal also provides that the business. All tobacco warehouses and inspection of unopened bales would be producers fall within the confines of Subpart BÐRegulations distinguished from opened bales by ‘‘small business’’ which are defined by 1. The authority citation for part 29, adding the special factor ‘‘B’’ to the the Small Business Administration (13 subpart B continues to read as follows: grademark. CFR 121.601) as those having annual All lots of tobacco that are subject to receipts of less than $500,000, and small Authority: 7 U.S.C. 511m and 511r. mandatory inspection on a designated agricultural service firms are defined as 2. A new § 29.75b is added to read as market should be made accessible to those whose annual receipts are less follows: perform grading activities. The than $3,500,000. There are § 29.75 Display of baled flue-cured recommendation was made that each lot approximately 190 tobacco warehouses tobacco on auction warehouse floors in of baled flue-cured tobacco displayed and approximately 30,000 producers. designated markets. The Agricultural Marketing Service has for sale on auction warehouse floors be Each lot of baled flue-cured tobacco determined that this action would not placed in rows end to end so the open displayed for sale on auction warehouse have a significant economic impact on side of the bales are facing the aisles. floors shall have a minimum of 30 a substantial number of small entities. Also, a minimum space of 30 inches inches from side to side between the This proposal would add a special between the rows with the distance rows with open side of the bale facing factor to the grademark to identify any between lots of tobacco within the row the aisles. Distance between lots of lots of baled flue-cured tobacco not shall be no less than 12 inches between baled tobacco within the row shall be no opened for inspection. This change immediately adjacent lots was less than 12 inches between would provide a distinction between recommended. These two spacing immediately adjacent lots. proposals would promote the orderly lots that are opened for inspection and marketing of baled tobacco by providing lots that are not opened for inspection. Subpart CÐStandards a uniform marketing display in the Accordingly, this change would more warehouse. This would also provide accurately describe tobacco as it appears 3. The authority citation for part 29, accessibility for inspection of the bales. in the marketplace and would assist in subpart C continues to read as follows: An additional proposed revision maintaining program integrity. Authority: 7 U.S.C. 511b, 511m, and 511r. would increase the poundage Additional bale dimensions and space adjustment of 2,500 pounds by doubling requirements would be established for § 29.1059 [Amended] the poundage amount for a warehouse uniform marketing display in the 4. In § 29.1059, the words ‘‘and 29.)’’ selling in excess of the daily sales warehouses and would provide are removed and the words ‘‘29, and schedule. For example, 2,500 pounds accessibility for inspection of the bales. 30.)’’ are added in their place. would become 5,000 pounds and 5,000 A revision would also be made to the 5. Section 29.1109 is revised to read pounds would become 10,000 pounds. poundage adjustment for a warehouse as follows: The same would be applicable to selling in excess of the sales schedule § 29.1109 Rule 3. and for undesignated producer tobacco undesignated producer tobacco, with In drawing an official sample from a in order to take into account the 500 pounds becoming 1,000 pounds and hogshead or other package of tobacco, marketing of bales. These changes 1,000 pounds becoming 2,000 pounds. three or more breaks shall be made at would apply equally to both small and This action is being proposed because such points and in such manner as the large entities and they would take into the bale weight is approximately three inspector or sampler may find necessary account the marketing of flue-cured times as much as tobacco marketed in to determine the kinds of tobacco and tobacco as it presently appears in the sheets. This would give the farmers a the percentage of each kind contained in marketplace. chance to complete selling their lots of the lot. All breaks shall be made so that tobacco when the daily sales schedule All persons who desire to submit the tobacco contained in the center of has been depleted. This proposal should written data, views, or arguments for the package is visible to the sampler, meet industry needs for marketing consideration in connection with this except for baled tobacco that is not tobacco in bales. proposal may file them with the Deputy opened for inspection (see Rule 30). This rule has been determined to be Administrator, Tobacco Programs, AMS, Tobacco shall be drawn from at least ‘‘not significant’’ for purposes of USDA, Room 502 Annex Building, PO three breaks from which a Executive Order 12866, and therefore, Box 96456, Washington, DC 20090– representative sample shall be selected. has not been reviewed by the Office of 6456. A 30 day comment period is The sample shall include tobacco of Management and Budget. provided for comments. This period is each different group, quality, color, This proposed rule has been reviewed deemed appropriate because the flue- length, and kind found in the lot in under Executive Order 12866, Civil cured tobacco marketing season is proportion to the quantities of each Justice Reform. This action is not expected to begin in mid-July and these contained in the lot. intended to have retroactive effect. This changes, if adopted, should be made 6. Section 29.1129 is revised to read proposed rule will not preempt any effective as soon as possible. as follows: State or local laws, regulations, or List of Subjects in 7 CFR Part 29 policies, unless they present an § 29.1129 Rule 23. irreconcilable conflict with this rule. Administrative practice and Tobacco shall be designated by the There are no administrative procedures procedure, Advisory committees, grademark ‘‘No-G,’’ when it is offtype, which must be exhausted prior to any Government publications, Imports, semicured, fire-killed, smoked, oxidized judicial challenge to the provision of Pesticides and pests, Reporting and over 10 percent, has an odor foreign to this rule. recordkeeping requirements, Tobacco. the type, or is packed in bales which are
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A new § 29.1136 is added to read in excess of 5,000 pounds or 50 percent amended, and to provide the limitations as follows: of a schedule day’s sales opportunity. and requirements applicable to the (2) If the excess is 1,000 pounds or payment of rebates, dividends, and § 29.1136 Rule 30. less of undesignated producer tobacco, patronage refunds to insureds, and Any lot of baled tobacco that is not the adjustment in producers sales payments to insured-owned and record- opened for inspection but which opportunity is one pound for each controlling entities. otherwise meets the specifications of a pound of excess; if the excess is larger DATES: Written comments and opinions grade shall be treated as a special factor than 1,000 pounds, the adjustment is on this proposed rule will be accepted grade by placing the special factor ‘‘B’’ 1,000 pounds plus the larger of 3 until close of business July 12, 1999 and after the grademark. pounds for each pound in excess of 8. In § 29.1181, the undesignated text will be considered when the rule is to 1,000 or 2,000 pounds. be made final. Comments on the immediately following table ‘‘1 Grade of (3) If the excess is designated Scrap’’, is revised to read as follows: information collection requirements producer tobacco that is not eligible for must be received on or before July 12, § 29.1181 Summary of standard grades. sales at the warehouse on the day of the 1999. sale, the adjustment in producers sales * * * * * ADDRESSES: Interested persons are Special factors ‘‘U’’ (unsound), ‘‘W’’ opportunity for the first violation is the invited to submit written comments to (doubtful-keeping order), ‘‘S’’ (strip), larger of 3 pounds for each pound in the Director, Reinsurance Services and ‘‘M’’ (mixed) may be applied to all excess or 5,000 pounds, and for the Division, Risk Management Agency, grades. The special factors ‘‘dirt’’ or second and succeeding violations, the Stop 0804, United States Department of ‘‘sand’’ may be applied to any grade in larger of 5 pounds for each pound in Agriculture, 1400 Independence the Primings group, including first excess or 10,000 pounds. Avenue, SW, Washington, DC. 20250– (d) If, on any sales day, a warehouse quality Nondescript from the Primings 0804. A copy of each response will be does not sell the full quantity of group. The special factor ‘‘B’’ may be available for public inspection and designated or undesignated tobacco applied to all bales to denote tobacco copying from 8 a.m. to 4:30 p.m., EDT, authorized to be sold at such not opened for inspection. Tobacco not Monday through Friday, except warehouse, the designated or covered by the standard grades is holidays, at the above address. undesignated sales opportunity at such designated ‘‘No-G,’’ ‘‘No-G-F,’’ or ‘‘No- warehouse on the next immediate sales FOR FURTHER INFORMATION CONTACT: For G-Nested.’’ day shall automatically be increased by further information and a copy of the the unsold quantity except that no such Cost-Benefit Analysis to the General Subpart GÐPolicy Statement and Administrative Regulations, contact E. Regulations Governing Availability of increase in sales opportunity shall exceed 5,000 pounds for designated Heyward Baker, Director, Reinsurance Tobacco Inspection and Price Support Services Division, Risk Management Services to Flue-Cured Tobacco on tobacco or 500 pounds for undesignated tobacco. Agency, at the Washington, DC, address Designated Markets listed above, telephone (202) 720–4286. Dated: May 6, 1999. 9. The authority citation for part 29, SUPPLEMENTARY INFORMATION: Enrique E. Figueroa, subpart G continues to read as follows: Administrator, Agricultural Marketing Executive Order 12866 Authority: Tobacco Inspection Act, 49 Stat. Service. The Office of Management and Budget 731 (7 U.S.C. 511 et seq.); Commodity Credit [FR Doc. 99–11976 Filed 5–11–99; 8:45 am] Corporation Charter Act, 62 Stat. 1070, as (OMB) has determined this rule to be amended (15 U.S.C. 714 et seq.); sec. 213, BILLING CODE 3410±02±P significant and, therefore, it has been Pub. L. 98–180, 97 Stat. 1149 (7 U.S.C. 1421); reviewed by OMB. 49 Stat. 731 (7 U.S.C. 511 et seq.), unless Cost-Benefit Analysis otherwise noted. DEPARTMENT OF AGRICULTURE A cost-benefit analysis has been 10. In § 29.9406, paragraphs (c)(1), Federal Crop Insurance Corporation (c)(2), (c)(3), and (d) are revised to read completed and is available to interested as follows: 7 CFR Part 400 parties at the Washington, DC address listed above. In summary, the analysis § 29.9406 Failure of warehouse to comply RIN 0563±AB70 found that: (1) The anti-rebating and with opening and selling schedule. record-controlling provisions will General Administrative Regulations; * * * * * promote actuarial soundness of the crop (c) * * * Premium Reductions; Payment of insurance program; (2) premium (1) If the excess is 5,000 pounds or Rebates, Dividends, and Patronage reductions are more likely to be offered less of designated producer tobacco, the Refunds; and Payments to Insured- to large premium policy holders than adjustment in producer sales Owned and Record-Controlling Entities small; (3) the proposed provisions opportunity shall be one pound for each AGENCY: Federal Crop Insurance authorize FCIC/RMA management to pound of excess; sales in excess of 5,000 Corporation, USDA. deny permission to implement premium pounds shall be a violation of the sales ACTION: Proposed rule with request for reductions if there would be a reduction schedule and the adjustment for the first comments. in the overall system’s ability to serve violation shall be 5,000 pounds plus the all farmers; and (4) the authority and larger of 3 pounds for each pound in SUMMARY: The Federal Crop Insurance basic requirements for premium excess of 5,000 pounds or 5,000 pounds; Corporation (FCIC) proposes to amend reductions are specified in the Act. In for the second violation, the adjustment its General Administrative Regulations, order to avoid any adverse impact on shall be 5,000 pounds plus the larger of to allow approved insurance providers small farmers or on the crop insurance 5 pounds for each pound in excess of to apply to the Federal Crop Insurance program itself, §§ 400.755(b)(1) to (10) 5,000 or 10,000 pounds; and for the Corporation (FCIC) for authority to provide grounds for FCIC/RMA third and subsequent violations, the reduce the premium charged producers management to reject premium
VerDate 06-MAY-99 09:37 May 11, 1999 Jkt 183247 PO 00000 Frm 00003 Fmt 4702 Sfmt 4702 E:\FR\FM\A12MY2.021 pfrm07 PsN: 12MYP1 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Proposed Rules 25465 reduction applications. Based on the approved insurance providers and their Executive Order 12612 cost benefit analysis and the agents, employees, and contractors It has been determined under section requirements of the Act FCIC finds that regarding prohibited and permitted 6(a) of Executive Order 12612, this regulation is in the best interest of practices with respect to premium Federalism, that this rule does not have the overall crop insurance program and reductions; payment of rebates, sufficient federalism implications to should be proposed in the Federal dividends, and patronage refunds; and warrant the preparation of a Federalism Register for public review and payments to insured-owned and record- Assessment. The provisions contained comment. controlling entities. in this rule will not have a substantial Paperwork Reduction Act of 1995 Burden Statement: The information direct effect on States or their political that FCIC collects on the requested subdivisions or on the distribution of In accordance with section 3507 (j) of application as defined in § 400.751 of power and responsibilities among the the Paperwork Reduction Act of 1995 this regulation, will be used to various levels of government. (44 U.S.C. 3501), the information determine if the premium charged to collection or recordkeeping producers may be reduced. The burden Regulatory Flexibility Act requirements included in the proposed for this information collection assumes This regulation will not have a rule have been submitted for approval to that approximately 18 reinsured significant economic impact on a the Office of Management and Budget companies will read this regulation. It is substantial number of small entities. (OMB). Please send your written further assumed that all 18 reinsured The rule provides the guidelines to be comments to Clearance Officer, OCIO, companies will eventually complete an used by all approved insurance USDA, room 404–W, 14th Street and application to obtain written approval providers or any other applicant and Independence Avenue SW, Washington, from RMA of premium reduction plans. FCIC in the application, review, and DC 20250. A comment to OMB is best Estimate of Burden: We estimate it approval of plans to reduce the assured of having its full effect if OMB will take 18 reinsured companies 2 premiums charged producers. Any receives it within 30 days of publication hours to read the regulation for a total submission is entirely voluntary and the of this proposed rule. of 36 hours. In addition, we also guidelines contained in this rule does We are soliciting comments from the estimate it will take them 48 hours each not impact small entities to a greater public comment concerning our to apply to the program twice a year. extent than large entities. Therefore, this proposed information collection and action is determined to be exempt from recordkeeping requirements. We need Respondents: 18 reinsured companies. the provisions of the Regulatory this outside input to help us: Flexibility Act (5 U.S.C. 605) and no Estimated annual number of (1) Evaluate whether the proposed Regulatory Flexibility Analysis was respondents: 18. collection of information is necessary prepared. for the proper performance of the Estimated annual number of functions of the agency, including responses per respondent: 2. Federal Assistance Program whether the information has practical Estimated annual number of This program is listed in the Catalog utility; responses: 36. of Federal Domestic Assistance under (2) Evaluate the accuracy of our Estimated total annual burden on No. 10.450. estimate of the burden of the proposed respondents: The total public burden for Executive Order 12372 collection of information, including the this proposed rule is estimated at 900 validity of the methodology and hours. This program is not subject to the assumptions used; Recordkeeping Requirements: FCIC provisions of Executive Order 12372 (3) Enhance the quality, utility, and requires records to be kept for three which require intergovernmental clarity of the information to be years, but all records required by FCIC consultation with State and local collected; and officials. See the Notice related to 7 CFR (4) Minimize the burden of the are retained as part of the normal business practice. Therefore, FCIC is not part 3015, subpart V, published at 48 FR collection of information on those who 29115, June 24, 1983. are to respond (such as through the use estimating additional burden related to of appropriate automated, electronic, recordkeeping. Executive Order 12988 mechanical, or other technological Copies of this information collection This rule has been reviewed in collection techniques or other forms of can be obtained from: Clearance Officer, accordance with Executive Order 12988 information technology, e.g. permitting OCIO, USDA, room 404–W, 14th Street on civil justice reform. The provisions electronic submission responses). and Independence Avenue SW, of this rule will not have a retroactive Title: General Administrative Washington, DC 20250. effect. The provisions of this rule will Regulations; Premium reductions; Unfunded Mandates Reform Act of preempt State and local laws to the payment of rebates, dividends, and 1995 extent such State and local laws are patronage refunds; and payments to inconsistent herewith. The insured-owned and record-controlling Title II of the Unfunded Mandates administrative appeal provisions entities. Reform Act of 1995 (UMRA), Pub. L. published at 7 CFR part 11 or action Abstract: A new program is being 104–4, establishes requirements for before the Board of Contract Appeals, proposed that will allow approved Federal agencies to assess the effects of whichever is applicable, must be insurance providers to apply to FCIC for their regulatory actions on State, local, exhausted before any action for judicial authority to reduce the premium and tribal governments and the private review of any determination made by charged to producers in accordance sector. This rule contains no Federal FCIC may be brought. with the Federal Crop Insurance Act mandates (under the regulatory (Act), as amended, and to provide the provisions of title II of UMRA) for State, Environmental Evaluation limitation and procedures established local, and tribal governments or the This action is not expected to have a by FCIC. private sector. Therefore, this rule is not significant economic impact on the Purpose: The purpose of this subject to the requirements of sections quality of the human environment, proposed rule is to provide guidelines to 202 and 205 of UMRA. health, and safety. Therefore, neither an
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Environmental Assessment nor an system, competition, and the quality of List of Subjects in 7 CFR part 400 Environmental Impact Statement is service afforded producers. This rule in needed. part provides procedures and Administrative practice and limitations on providing such dividends procedure, Crop insurance, Disaster Background or patronage refunds. assistance, Fraud, Penalties, Reporting The Risk Management Agency (RMA) The use of insured-owned entities in and recordkeeping requirements. is charged with the administration of marketing also embodies the potential Proposed Rule the crop insurance programs for FCIC. for disguised rebates. There are As such, RMA is responsible for instances where associations or Accordingly, as set forth in the maintaining an effective, orderly, and cooperatives have contracted with preamble, the Federal Crop Insurance efficient crop insurance marketplace, insurance companies to provide a list of Corporation proposes to amend 7 CFR including a delivery system capable of members and a product endorsement in part 400 by adding subpart W, effective selling and servicing FCIC’s crop exchange for a sum of money. In these for the 1999 and succeeding reinsurance insurance policies and other risk cases, the insured may have an interest years, to read as follows: management products reinsured by in the association or cooperative and the FCIC to all producers in a manner that PART 400ÐGENERAL insured-owned entity may have the ADMINISTRATIVE REGULATIONS does not unfairly discriminate among capacity to reward those producers who producers or insurance companies. The purchase insurance. Such inducements Subpart WÐPremium Reductions; Payment delivery system must support efforts to may be prohibited rebates. This rule is of Rebates, Dividends, and Patronage operate in an actuarially sound manner, proposed to ensure that any funds paid Refunds; and Payments to Insured-Owned to assure program integrity, and to avoid to the insured-owned entity are used to and Record-controlling Entities for the 1999 and prevent waste, fraud, and abuse. the benefit of all members and not only and Subsequent Crop Years Premium reductions; payment of those who purchase insurance. Sec. rebates, dividends, and patronage refunds; and payments to insured- The use of record-controlling entities 400.750 Basis, purpose, and applicability. presents different potential problems. 400.751 Definitions. owned and record-controlling entities, if 400.752 Payment of Rebates. improperly made, may have an adverse Here the potential impact is not on the delivery system and competition but on 400.753 Dividends and Patronage Refunds. effect on FCIC’s ability to devise and 400.754 Payments to Insured-Owned and establish an effective and efficient crop FCIC’s ability to achieve actuarial Record-Controlling Entities. insurance marketplace so as to best meet soundness and protect program 400.755 Reductions in premiums. the risk management needs of producers integrity. Record-controlling entities are 400.756 Records and Review. and its responsibility to protect the processors, packers, etc. that maintain 400.757 Sanctions. program and its participants. Rebates the production records for the producer Authority: 7 U.S.C. 1506(1), 1506(p), are illegal in most States for those lines and also have an interest in the 1508(e)(3) of insurance regulated by State insurance policy as the insured or Departments of Insurance for several assignee of the policy. FCIC uses Subpart WÐPremium Reductions; reasons, the most important being the production records and related crop Payment of Rebates, Dividends, and destructive impact that they can have on production information from storage Patronage Refunds; and Payments to delivery systems and on competition. facilities, packers, processors, and Insured-owned and Record-controlling Use of rebates could negatively impact marketers to design insurance products, Entities for the 1999 and Subsequent the smaller insurance companies set premium rates, establish yield Crop Years guarantees for individual producers because they would not be able to § 400.750 Basis, purpose, and provide the same economic incentives through the actual production history applicability. that larger companies could provide program, and to determine the and, as a result, they may unfairly lose production to count when there is a (a) There is a growing trend to use market share. FCIC relies on a healthy claim. There are also cases where the marketing techniques that compensate and competitive delivery system to record-controlling entity is recruited as or reward insureds who obtain crop assure that all producers are afforded an agent and paid a commission. This insurance in order to increase the the best quality service, regardless of the creates, at the least, a potential conflict amount of premium written and the size of the farm or the amount of of interest and may jeopardize actuarial potential profitability of the reinsured premium earned on the policy. The soundness and program integrity. This companies. This rule is intended to Standard Reinsurance Agreement in rule provides the conditions under regulate such conduct to protect the effect for the 1998 reinsurance year which record-controlling entities can integrity of the crop insurance program. prohibits rebates. participate in the Federal crop (b) Section 508(e)(3) of the Act, as Dividends and patronage refunds are insurance program. amended, authorizes FCIC to approve normal business practices for mutual, Premium reductions for FCIC- applications by approved insurance cooperative, and certain other insurance reinsured policies are specifically providers to reduce premiums payable companies as well as to certain kinds of authorized by section 508(e)(3) of the by insureds when the private insurance cooperatives such as insurance-buying Act, which specifically authorizes provider is able to demonstrate that it groups and certain agricultural lenders. reinsured companies to reduce the can sell and service the crop insurance While the use of dividends and amount of producer paid premiums if program, in accordance with the Act, patronage refunds are generally benign, they can demonstrate that they can the Standard Reinsurance Agreement, they can also be used to disguise rebates deliver the crop insurance program for and the applicable regulations, if they are guaranteed in advance or less than the amount of administrative directives, bulletins and procedures, for they are made contingent upon the and operating expense reimbursement less than the amount paid by FCIC to continued purchase of crop insurance they receive under the Act. This rule the approved insurance provider for policies. When they are disguised establishes the procedures and administrative and operating expenses. rebates, they have the potential to limitations required to implement This subpart provides the timing of the impact negatively on the delivery premium reductions. application, the material to be included,
VerDate 06-MAY-99 09:37 May 11, 1999 Jkt 183247 PO 00000 Frm 00005 Fmt 4702 Sfmt 4702 E:\FR\FM\A12MY2.012 pfrm07 PsN: 12MYP1 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Proposed Rules 25467 and describes FCIC’s approval process person with a substantial beneficial subsidy, or administrative and operating for such application. interest in the insured. subsidy if any covered person makes Insured-owned entity. Any entity that any of the following payments to the § 400.751 Definitions. is at least 25 percent owned or insured producer: Act. The Federal Crop Insurance Act controlled by insureds. (1) Rebate; (7 U.S.C. 1501 et seq.). Insured’s premium. The portion of the (2) Premium reduction, except with Application. A written request to FCIC-approved insurance premium for the prior approval of RMA; and RMA for authority to reduce producer the risk of loss that the insured must (3) Dividend or patronage refund, if paid premiums pay. such dividend or refund is promised to Approved insurance provider. A Patronage refund. A payment to an the applicant or insured, or is private insurance company that has entity’s clients in proportion to the contingent upon the insured been approved by FCIC to sell and volume of business that each did with maintaining coverage with or through service crop insurance policies the entity or the amount of profit the entity; reinsured by FCIC under the Act. generated from that business. (c) No crop insurance policy will be Cost-accounting statement. A listing Person. Any individual or legal entity. of all of the approved insurance eligible for FCIC reinsurance, premium Premium reduction. Payment of a subsidy, or administrative and operating provider’s administrative and operating portion of the insured’s premium by the costs related to the delivery of the subsidy if a covered person makes any approved insurance provider in payment to: Federal crop insurance program, accordance with section 508(e)(3) of the (1) A record-controlling entity or to prepared in a manner that permits Act and these regulations. any employee, agent, or contractor of comparison with the Expense Exhibit Rebate. The giving or paying, either such an entity, or any entity controlled submitted to RMA with the Plan of directly or indirectly, by a covered by such an entity, except as specified in Operation. person of anything of value to an paragraph (d) of this section; or Covered person. An approved insured or applicant, or a person (2) An insured-owned entity, except insurance provider; any employee, affiliated with an insured or applicant, an insurance company, or to any contractor, agent, broker, or solicitor of such that the gift or payment may employee, agent, or contractor of such such approved insurance provider; any reasonably be construed by RMA as an entity, or any entity controlled by agency representing the approved intended to induce the insured or such an entity, when the entity insurance provider; any owner, applicant to obtain or maintain participates in or effects any control employer or controller of any such insurance coverage with or through the over the sale of policies and the agency or contractor; any spouse or covered person. family member residing in the same Record-controlling entity. Any entity, establishment or verification of the household as any such, employee, or its employee, agent, contractor, or yields upon which insurance guarantees contractor, agent, broker, solicitor, affiliate, that produces or controls the are based or claims for indemnities are owner, or controller; or any affiliate of crop production records used to made, except as specified in paragraph any such approved insurance provider, establish the amount of the insurance (d) of this section. agency, or contractor. coverage or the amount of production to (d) Crop insurance policies specified Dividend. Profits or earnings divided count in case of loss on an FCIC- in paragraph (b)(1) and (2) of this among the owners or shareholders in reinsured crop insurance policy, who section will be eligible for FCIC proportion to their ownership share. also has an interest in the insurance reinsurance, premium subsidy, and Efficiency. A measurable monetary policy as the insured or assignee of the administrative and operating subsidy savings realized by an approved policy. when the specified payments: insurance provider from changes to the RMA. The Risk Management Agency, (1) Are approved in writing by RMA; compensation paid to its owners, agents, an agency of the United States (2) Are not based on the amount of or employees, or from changes to the Department of Agriculture that FCIC-reinsured crop insurance business administrative and operating procedures administers the crop insurance program sold through the entity; and that it employs in selling or servicing for FCIC. (3) The approved insurance provider FCIC-reinsured policies in accordance Sales closing date. The final date by presents a plan, accepted by RMA, that with the Act, the Standard Reinsurance which an FCIC-reinsured policy may be demonstrates how, in cases involving Agreement, and the applicable purchased. record-controlling entities, the integrity regulations, directives, bulletins and Small Producer. The producer of an of the crop production records used to procedures. Efficiency does not include insurable crop, which if insured at 65 establish the amount of the insurance underwriting profits earned on such percent of the recorded or appraised coverage or the amount of production to policies, or investment returns. average yield indemnified at 100 count in case of loss on an FCIC- Entity. Any person, whether percent of the market price, or an reinsured crop insurance policy, will be incorporated or not, including equivalent coverage, would have earned protected. associations, cooperatives, mutuals, a premium, including premium subsidy corporations, and similar business § 400.753 Dividends and patronage but excluding administrative and refunds. organizations that provide any good or operating subsidy, of no more than service to insured producers. $500. (a) Dividends and patronage refunds FCIC. The Federal Crop Insurance are permitted unless: Corporation, a wholly owned § 400.752 Prohibited practices. (1) A dividend or patronage refund is government corporation within the (a) Rebating in any form is a promised or guaranteed to be paid to the United States Department of prohibited practice. Any covered person insured or applicant; Agriculture. who provides a rebate to any insured or (2) The payment of the dividend or Insured. The named person shown on applicant will be subject to the sanction patronage refund is contingent upon the the properly completed application for provisions in § 400.757. insured or applicant obtaining or insurance that has been accepted by an (b) No crop insurance policy will be maintaining coverage with or through a approved insurance provider and any eligible for FCIC reinsurance, premium specific covered person; or
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(3) The payment of the dividend, crop controlling entity to obtain insurance or Avenue, SW, Washington, DC 20250– insurance, or patronage refund is made receive a payment from FCIC; 0804. only to insureds. (2) The covered person or the record- (3) Each application must include the (b) Prior to paying any dividends or controlling entity obtains the written following: patronage refunds to insureds or approval from FCIC; and (i) The name of the approved applicants, the covered person must (3) The covered person agrees in insurance provider, the person who may certify that such payments do not writing to appraise any crop under the be contacted for further information violate paragraph (a) of this section. The control of the record-controlling entity regarding the application, and the covered person making such payments and insured with or through the covered person who will be responsible for will make those financial records person not less than 5 days prior to administration of the premium applicable to such payments available harvest. reduction; for inspection at the request of RMA. (d) All requests for approval under (ii) The crops, insurance plans, the (c) Payment of any dividend or this section must comply with the states or counties, and all other patronage refund in violation of this following: eligibility criteria used to determine section will result in the imposition of (1) All requests for approval must be which insureds will be offered the sanctions in accordance with § 400.757. received not later than 60 days prior to premium reduction; the date an agreement between covered (iii) An estimate of the number of § 400.754 Payments to insured-owned and persons and insured-owned entities is to producers who will be affected, the record-controlling entities. be effective or, for insurance or crops, counties, and states affected, and (a) Covered persons may not enter payments for record-controlling entities, the projected total dollar amount of the into agreements with insured-owned the sales closing date or payment date reduction; entities to purchase a list of producers (requests received after the deadline (iv) The first crop year for which the affiliated with the insured-owned entity will be considered for the next crop year premium reduction is proposed to be or an endorsement of the covered unless the request is withdrawn by the offered; person by the insured-owned entity approved insurance provider or unless (v) A detailed description of the except as specified in this section. FCIC otherwise agrees in writing); changes in administrative and operating (1) The covered person must request (2) Each request must include the procedures that produce the efficiency approval from FCIC in writing in following material and address each of and a detailed cost-accounting accordance with paragraph (d) of this the following items: statement verifying the existence and section. (i) The name of the covered person the amount of the efficiency (Both (2) Covered persons may not execute and the person who may be contacted statements must be certified by the agreements or make any payments to for further information regarding the person authorized to sign the Standard insured-owned entities until receiving request for approval; Reinsurance Agreement for the written approval from FCIC. (ii) A detailed description of the approved insurance provider. The cost- (3) The insured-owned entity must amounts to be paid by the covered accounting statement must include agree in writing not to make any persons and the goods or services to be historical data that permits a payments or provide any benefits to any provided by the insured-owned entity or comparison of administrative and insured or applicant affiliated with the record-controlling entity; and operating costs before and after the insured-owned entity that is contingent (iii) Any other information required introduction of the new procedures. upon the insured or applicant obtaining by FCIC. Estimates may be supplied whenever or maintaining insurance coverage with (e) Entering into any agreement, the procedures have not yet been or through a covered person. providing insurance or making any implemented or have not been (4) The insured-owned entity must payment under this section without the implemented long enough to permit the agree in writing that all payments made prior written consent of FCIC will result proper collection of cost accounting by the covered person will be deposited in the imposition of sanctions in data); in the general fund to be used for the accordance with § 400.757. (vi) A description and an example as benefit of all producers affiliated with (f) Approval under this section will to how the approved insurance provider the insured-owned entity equally or in only be valid for the period specified by will calculate the premium reduction proportion to the persons interest in the FCIC in its written approval. and present it to eligible insureds; insured-owned entity, as applicable. (vii) A description of those features of (5) The amount of the covered § 400.755 Reductions in premiums. the proposed premium reduction plan persons’ payment to the insured-owned (a) Approved insurance providers that will assure that it will not entity must be a fixed amount and must may obtain written approval of discriminate against small producers, not be based on the number of crop premium reduction plans by submitting limited resources farmers as defined in insurance policies sold to producers an application to RMA as follows: section 1 of the Basic Provisions, 7 CFR affiliated with the insured-owned entity (1) Applications must be received not 457.8, or minority producers. or the volume of premium written. later than 120 days before the first sales (viii) A narrative statement explaining (b) For any other type of agreement closing date on any crop for which a how the application satisfies all between covered persons and insured- premium reduction is requested. applicable approval criteria specified in owned entities, the covered person must Applications filed less than 120 days § 400.755; and comply with all the requirements of this before the sales closing date will be (ix) Any other information that the section. considered for the next crop year unless approved insurance provider wishes to (c) A covered person is prohibited the application is withdrawn by the submit or that is required by FCIC. from providing any crop insurance or approved insurance provider or unless (b) Compliance with all the following making any payment to a record- FCIC otherwise agrees in writing. criteria is required for FCIC’s approval: controlling entity unless: (2) The application under this section (1) All required information must be (1) The covered person or the record- must be sent to the Director, timely submitted; controlling entity provides a written Reinsurance Services Division, USDA/ (2) There must not be a reduction in request for approval for the record- RMA/Stop 0804, 1400 Independence service to policyholders;
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(3) There must not be a reduction in (i) Will be notified of the reason for Signed in Washington, DC, on May 4, 1999. training and supervising of agents, loss disapproval and will be allowed to Kenneth D. Ackerman, adjusters, or underwriting and quality amend the application in an effort to Manager, Federal Crop Insurance assurance personnel; obtain FCIC’s approval. If the approved Corporation. (4) There must not be a reduction in insurance provider amends the [FR Doc. 99–11759 Filed 5–11–99; 8:45 am] program integrity or an adverse affect on application, the review process starts BILLING CODE 3410±08±P actuarial soundness; again and it may not be possible to (5) There must not be a reduction in approve the application in time to have the total delivery system’s ability to it applicable for the crop year for which DEPARTMENT OF THE TREASURY serve all producers, including small such application was submitted; and producers, limited resource farmers as (ii) May request reconsideration of the Office of the Comptroller of the defined in the Basic Provisions, 7 CFR decision with the Deputy Administrator Currency 457.8, minority producers, and of Insurance Services within 30 days of 12 CFR Chap. I producers located in areas with small disapproval. Such request must provide volumes of crop insurance business; a detailed narrative of the basis for [Docket No. 99±05] (6) There must not be a reduction in reconsideration. the total delivery system’s ability to Community Bank-Focused Regulation provide risk management education to (2) Approval is solely within the Review all producers; discretion of FCIC. AGENCY: (7) The efficiency must be measurable (3) An approved application may be Office of the Comptroller of the Currency, Treasury. in dollar terms; implemented by the approved insurance (8) RMA must be able to verify the provider by the next sales closing date ACTION: Advance notice of proposed existence and amount of the efficiency for the affected crop after approval by rulemaking. and that it is derived from the RMA. SUMMARY: The Office of the Comptroller administrative and operating subsidy (4) Approved applications for of the Currency (OCC) is undertaking a and not any expected underwriting gain; premium reduction will only be valid review of its regulations with a view (9) The efficiency must not derive for the period specified by RMA. toward identifying rules that may from marketing or underwriting impose disproportionate or unnecessary practices that are unfairly (5) FCIC may rescind any approval at burden on community banks. This discriminatory; such as discriminating any time that it determines that the advance notice of proposed rulemaking among producers on the basis of farm requirements imposed by this rule are (ANPR) identifies several parts of the size or premium amount; and no longer satisfied or if a change in the OCC’s regulations that are already under (10) The premium reduction must not Act necessitates rescission. In such case, review, requests comment on changes jeopardize or diminish the financial rescission will not take effect earlier that could be made to these regulations, condition of the approved insurance than the date of FCIC’s written notice to and solicits suggestions for provider. the approved insurance provider. improvements in other areas that would (c) Each application will be reviewed (6) The approved insurance provider be helpful to community banks. The to determine if all necessary must report all changes causing a intended effect of this action is to documentation is included. FCIC may material impact upon a previously- identify areas where the OCC could require changes or adjustments to the approved application to the Director of reduce unnecessary burden on application consistent with the Act and the Reinsurance Services Division. community banks without impairing FCIC’s regulations. their safety and soundness. (d) An application to reduce premium § 400.756. Records and Review. will not be approved if FCIC determines DATES: Comments must be received by At any time after approval, RMA may July 12, 1999. that it will discriminate against small conduct a review or audit of any action ADDRESSES: Please direct your producers, limited resources farmers as approved under this subpart and require comments to: Docket No. 99–05, defined in section 1 of the Basic additional information or access to Provisions, 7 CFR 457.8, or minority Communications Division, Third Floor, records pertaining to such actions. Office of the Comptroller of the producers. Failure to comply with this section will (1) If the insurance provider proposes Currency, 250 E Street, SW, result in the impositions of sanctions in Washington, DC, 20219. You can to offer the premium reduction to an accordance with § 400.757. identifiable group of producers or in a inspect and photocopy all comments specific geographical area, then the § 400.757 Sanctions. received at that address. In addition, premium reduction must be made you may send comments by facsimile available to all producers in that group (a) No crop insurance policy in transmission to FAX number (202) 874– or area, regardless of the amount of violation of this subpart will be eligible 5274, or by electronic mail to premium to be earned on the producer’s for reinsurance, premium subsidy, or [email protected]. policy. administrative and operating expenses. FOR FURTHER INFORMATION CONTACT: (2) No group or geographical area may If reinsurance, premium subsidy, or Stuart Feldstein, Assistant Director, or be defined in such a manner as to administrative and operating expenses Heidi Thomas, Senior Attorney, exclude small producers, limited have been paid for such policy, they Legislative and Regulatory Activities, at resource farmers, or minority producers. must be repaid to FCIC. (202) 874–5090. (e) The Director of the Reinsurance (b) Approved insurance providers are SUPPLEMENTARY INFORMATION: Services Division will notify the responsible for the conduct of all of approved insurance provider of the their covered persons. If such covered Background action taken. person violates any provision in this The OCC supervises over 2,400 (1) If the application is disapproved, subpart, the approved insurance national banks that vary widely in size, the approved insurance provider: provider will be held strictly liable. business strategy, complexity, and
VerDate 06-MAY-99 09:37 May 11, 1999 Jkt 183247 PO 00000 Frm 00008 Fmt 4702 Sfmt 4702 E:\FR\FM\A12MY2.015 pfrm07 PsN: 12MYP1 25470 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Proposed Rules geographic diversity. The OCC has a of our community bank-focused business services for the bank or its strong commitment to ensure that our regulation review is to eliminate or affiliates). A 30-day review under an regulations encourage, rather than modify regulatory requirements that expedited filing procedure may be impede, national banks’ efficiency and impose unnecessary burden. In available for more complex operating competitiveness, consistent with safety addition, we are seeking to identify subsidiary activities. See 12 CFR 5.34(e). and soundness. Toward that end, we regulations as to which it may be We invite comment on whether and continually reevaluate our rules in order appropriate to develop alternative, how we could improve the current rule to identify and eliminate requirements differential regulatory approaches that to further reduce application burden for that impose burdens on banks that are will achieve the OCC’s goals while community banks seeking to engage in not necessary to maintain safety and minimizing burden on community certain routine bank-permissible soundness, promote fair access to banks. activities. Specifically: financial services for consumers, or This advance notice describes four (1) Should the OCC expand the list of accomplish the OCC’s other statutory areas of regulation that the OCC is activities eligible for after-the-fact notice responsibilities. already reviewing. In those areas, or expedited filing to include more In 1996, the OCC completed a three- commenters are invited to make specific activities that do not present significant year, comprehensive effort to review suggestions for change. Depending on safety and soundness concerns? and revise all of its regulations. The the results of the OCC’s own review and (2) What types of activities should the results of this effort, which was called the suggestions made by commenters, OCC include in such an expanded list? the Regulation Review Program we will then consider proposing Banks that have experience with the (Program), were positive. Most of the specific revisions to our rules for OCC’s applications process are also bankers, trade group representatives, comment. In addition, commenters on invited to make suggestions about how banking lawyers, and consumer this advance notice are invited to that process could be streamlined or representatives whom the OCC asked suggest other regulations that could be improved for community banks. For about the effects of the Program thought modified in ways helpful to community example, could the OCC modify the that, on balance, it had been a success. banks. process to reduce the need for, and While some of the regulatory changes A few of the OCC’s regulations therefore the costs of, community bank made pursuant to the Program were distinguish among banks based on asset- reliance on outside expertise to help designed to benefit community banks, size categories and apply different them comply with filing requirements? the Program did not have the requirements to smaller banks. For Branching is an area in which community bank charter as a particular example, 12 CFR part 25, the regulation community banks are especially active. focus. implementing the Community In 1998, national banks with assets of The OCC recognizes that community Reinvestment Act (CRA), provides for banks operate with more limited less than $250 million filed alternative means of compliance for approximately 358 branching resources than larger institutions and banks with less than $250 million in may present a different risk profile. For applications. National banks with assets assets. The OCC does not have a of between $250 million and $1 billion example, many community banks have standard, generally applicable definition more direct ‘‘hands-on’’ oversight by filed 213 branching applications. OCC of ‘‘community bank,’’ however. We intrastate branch application procedures senior management and smaller spans of invite comment on whether to adopt operations and controls such that less generally require a 30-day public such a definition for purposes of this comment period and a decision no later complex risk-management or regulation review. If so, should the compliance systems may be appropriate. than 15 days after the close of the public definition be based primarily on asset comment period or 45 days after the Differences between community banks size, and what should the asset and larger banks in operational structure filing, whichever is later, for threshold be? Should the OCC consider applications qualifying for expedited and focus may result in inefficient or factors other than asset size, such as uneven application of regulatory processing, and no later than 30 days whether the bank is the sole provider of after the close of the comment period for requirements. Therefore, we believe that banking services in a community, it is appropriate to take a fresh look at applications subject to standard regardless of asset size? our regulations with the community processing. (The comment period for bank perspective in mind.1 Areas Currently Under Review applications to engage in a short- Specifically, the OCC is considering distance branch relocation is 15 days.) further changes to our regulations that Part 5—Corporate Activities and OCC rules also require an applicant to would take into account the impact the Transactions publish notice of its filing in a rules have on community banks’ Community banks, like larger national newspaper of general circulation in the resources, as well as other factors that banks, routinely seek OCC approval for community in which the applicant bear on community banks’ operations. different types of corporate transactions. proposes to engage in business. For example, community banks Recent amendments to the OCC’s We are requesting comment on typically have smaller, less specialized operating subsidiary rule reduced whether there are alternative time staffs than larger banks, so the burden burden by grouping procedures for OCC frames or methods of providing public of complying with complex regulations approval of operating subsidiary notice that would reduce burden for is proportionately higher. The purpose activities into different categories based community banks while preserving the upon the novelty of the activity and ability of the public to provide 1 The OCC already recognizes and incorporates level of risk it presents. The required meaningful comment pursuant to the into its supervisory approach the distinctions approval procedures vary depending CRA or otherwise. For example: between large banks and community banks. The OCC has, for example, developed approaches to upon the group in which the activity is (1) Would posting a conspicuous examination and supervision that are appropriate to placed. For example, qualifying national notice at the main office and all existing each charter type. See, e.g., Comptroller’s banks need only file a simple after-the- branches of the bank in lieu of Handbook, Community Bank Supervision (August fact notice for certain, so-called ‘‘plain newspaper publication reduce 1998), Large Bank Supervision (July 1998). See also id., Community Bank Fiduciary Activities vanilla’’ activities (e.g., providing unnecessary burden but still provide Supervision (December 1998). accounting, data processing, and other adequately for public participation?
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(2) Are there other reasonable to the OCC’s lending limit rule therefore referred to as the Basle Accord, which regulatory alternatives that would be are asked to: was concluded in 1988 by the Basle less burdensome for community banks (1) Identify specific categories of loans Committee on Banking Regulations and but that are consistent with statutory or borrowers that might be addressed; Supervisory Practices (the Basle requirements and the OCC’s supervisory (2) Identify prudential conditions that Committee).3 The 1988 Accord applies goals? the OCC might impose, to ensure that to internationally active banks.4 The any change is implemented consistent Part 32—Lending limits OCC’s capital adequacy standards, with safety and soundness; and however, apply to all national banks, Federal law (12 U.S.C. 84) limits the (3) Discuss whether any changes to and the other agencies’ standards amount of loans and extensions of credit the lending limits should include similarly apply to all of the institutions a national bank can make to any one safeguards, such as collateralization or they supervise. borrower to 15 percent of a national margin requirements, similar to those The OCC is interested in learning bank’s unimpaired capital and surplus. imposed by some states with lending commenters’ views about whether the A bank may lend an additional 10 limits that exceed those in 12 CFR part differences in activities and levels and percent if the credit is secured by 32. types of risks between large and readily marketable collateral. Section 84 Commenters are also invited to community banks warrant a differential also provides exceptions to these limits evaluate the effect of the lending limit approach to supervising capital for various types of loans or extensions rules on structures, such as loan adequacy. Commenters addressing this of credit, such as loans secured by participations, that are commonly used issue are invited to: certain obligations of the United States to diversify credit risk and to (1) Suggest a different, simpler overall or fully guaranteed by the United States, recommend any changes to these approach to measuring capital adequacy loans secured by a segregated deposit provisions that would facilitate for community banks; and account, and loans arising from the community banks’ use of these (2) Identify specific aspects of the discount of certain types of commercial structures, consistent with safety and OCC’s part 3 standards that could be paper. The OCC is authorized to issue soundness. revised or applied differently to rules to carry out the purposes of Part 7—Corporate Governance community banks. Section 84 and to establish limits or The part 3 capital adequacy standards requirements other than those specified The OCC recently revised some of its are linked directly to the prompt in this section for particular classes or rules to enhance a national bank’s corrective action (PCA) provisions in 12 categories of loans or extensions of flexibility to use the corporate CFR part 6 of the OCC’s rules. The credit. The OCC’s rule implementing governance procedures that are best capital categories used for PCA section 84 is set forth at 12 CFR part 32. suited to a particular bank’s operations. purposes (e.g., well capitalized, Community banks in a number of For example, part 7 of our regulations adequately capitalized, etc.) are defined states have represented to the OCC that now permits national banks to adopt the by reference to the standards and disparities in the lending limits corporate governance provisions in the definitions in part 3. The PCA applicable to national banks impair law of the state where the main office framework, which derives from statute,5 their ability to provide effective and of the bank is located, the state where is a crucial component of safety and competitively priced services in many the holding company of the bank is soundness supervision. Like the capital cases. We are interested in obtaining incorporated, the Delaware General adequacy standards, it has been further information about the extent to Corporation Law, or the Model Business implemented jointly by the OCC and the which these limits may constrain Corporation Act, to the extent that these other federal banking agencies. community banks from prudently standards are not inconsistent with Accordingly, commenters favoring a extending credit, especially as applicable federal banking statutes or differential approach to capital compared with other financial services regulations, or bank safety and adequacy supervision for community providers in the markets in which they soundness. banks are encouraged to address how compete. Commenters are invited to Community bank operations and such an approach could be provide specific information about such management may present unique implemented consistent with the PCA disparities in particular states, and to concerns from a corporate governance requirements. address the following questions: perspective, and we invite comment on We expect to use the information that (1) Does the national bank lending whether there are additional ways to commenters provide on this issue to limit create competitive disadvantages enhance the flexibility of existing inform our discussions with the other for community banks? procedures. For example, are there agencies about alternative approaches to (2) Are community banks operating specific state law provisions that we under national charters losing should consider including in the 3 This Committee is now known as the Basle significant business to competitors, as a regulation as appropriate for adoption Committee on Banking Supervision. The Basle result of the constraints imposed by the by community banks? Committee was established in 1975 by the central national bank lending limits? If so, bank Governors of the Group of Ten Countries. It Part 3—Capital Adequacy consists of senior representatives of bank which types of lending are most heavily supervisory authorities and central banks from affected? The OCC, and the other federal Belgium, Canada, France, Germany, Italy, Japan, (3) Are there factors in addition to the banking agencies,2 measure banks’ Luxembourg, the Netherlands, Sweden, lending limits that could be contributing capital adequacy according to a detailed Switzerland, the United Kingdom, and the United States. It usually meets at the Bank for International to this business loss? set of uniform standards based on an Settlements in Basle, where its permanent Because the lending limit promotes international agreement, commonly Secretariat is located. diversification of credit risk, which is 4 The Basle Committee is currently considering fundamental to the safe and sound 2 The OCC’s capital adequacy standards appear at revisions to the 1998 Accord. Any changes would operation of banks, the OCC must 12 CFR part 3. The Board of Governors of the be subject to a consultative process and are Federal Reserve System (FRB), the Federal Deposit expected also to apply to internationally active undertake any revisions to the national Insurance Corporation (FDIC), and the Office of banks. bank lending limit rules with great care. Thrift Supervision (OTS) each have regulations 5 See 12 U.S.C. 1831o (PCA statute); 12 CFR part Commenters who recommend changes containing similar standards. 6 (OCC PCA regulation).
VerDate 06-MAY-99 09:37 May 11, 1999 Jkt 183247 PO 00000 Frm 00010 Fmt 4702 Sfmt 4702 E:\FR\FM\A12MY2.017 pfrm07 PsN: 12MYP1 25472 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Proposed Rules evaluating capital adequacy for small and on Thursday, May 27, 1999, at 8:30 rotational area management. institutions. After receiving comments a.m. Additionally, the Council will issue in response to this ANPR, the OCC will ADDRESSES: The meeting will be held at recommendations to the Acting consult with the other agencies to the Sheraton Plymouth Inn, 180 Water Regional Administrator for specific determine if modifications to the capital Street, Plymouth, MA 02360; telephone research proposals utilizing the 1 regulations are appropriate. (508) 747–4900. Requests for special percent scallop Total Allowable Catch Comment Solicitation accommodations should be addressed to set-aside from Closed Area II. During the the New England Fishery Management Whiting Committee Report, the The OCC invites comment generally Council, 5 Broadway, Saugus, MA committee will recommend ways to on each of the areas identified in this 01906–1036; telephone: (781) 231–0422. modify the mesh size/possession limit advance notice, as well as specifically Copies of framework adjustment enrollment program and expand the use on the questions asked in each area. For documents may be obtained from the of net strengtheners to the 2.5 inch (0.06 each of these areas, we are interested in: Council. m) category in the whiting fishery. Any (1) Whether existing rules are FOR FURTHER INFORMATION CONTACT: Paul recommendations approved by the requiring inefficient allocation of the J. Howard, Executive Director, New Council may be submitted to NMFS for bank’s existing resources or imposing England Fishery Management Council its consideration as a public comment undue burdens on in-house staff. (781) 231–0422. on Amendment 12 to the Northeast (2) What community bank lines of SUPPLEMENTARY INFORMATION: Multispecies Fishery Management Plan. business or community bank operations The Council will discuss industry-based are affected by the rule and what Wednesday, May 26, 1999 specific requirements require the bank gear research and information collection After introductions, the Executive opportunities during years 1 and 2 of to obtain expertise from outside Director of the South Atlantic Fishery sources? plan implementation. During the Management Council will discuss the afternoon session, the Interspecies (3) Could we change or modify Atlantic Coastal Cooperative Statistics specific provisions to reduce burdens on Committee will report on and ask for Program process from a Council approval of committee priorities, community banks without perspective. During the Groundfish compromising safety and soundness including vessel permit consistency and Committee Report which follows, the upgrading issues and recommendations standards? committee will make recommendations (4) Are there reasonable regulatory for changing the start dates of the to the Council regarding approval of alternatives that would be less fishing years. The committee will report Framework Adjustment 31 (FWA 31) to on their discussions about vessel burdensome for community banks? the Northeast Multispecies Fishery In addition, commenters on this capacity management. The Habitat, Management Plan (FMP). Possible notice are invited to suggest other Enforcement, Dogfish, Herring, and Ad- management measures on FWA 31 regulations that could be modified in hoc Vessel Buyback Committees will would require vessels in the ways helpful to community banks. update the Council on their activities. multispecies fishery to remove four 30- Dated: May 4, 1999. day blocks out of their fishing time in Although other issues not contained John D. Hawke, Jr., the fishery to achieve the FMP in this agenda may come before this Comptroller of the Currency. objectives for Georges Bank cod and Council for discussion, in accordance [FR Doc. 99–12011 Filed 5–11–99; 8:45 am] minimize impacts on other regulated with the Magnuson-Stevens Fishery BILLING CODE 4810±33±P species. Other possible measures in this Conservation and Management Act, framework include eliminating the Gulf those issues may not be the subject of of Maine cod trip limit program running formal Council action during this DEPARTMENT OF COMMERCE clock, raising the cod minimum size to meeting. Council action will be 21 inches (0.5 m), and reducing the restricted to those issues specifically National Oceanic and Atmospheric number of hooks and gillnets fished by listed in this notice. Administration fixed gear vessels on Georges Bank. The Documents pertaining to framework Groundfish Committee also will provide adjustment actions are available for 50 CFR Part 648 the Council with an update on the public review 7 days prior to a final vote development Amendment 13 to the [I.D. 050399D] by the Council. Copies of the documents FMP. The discussion of groundfish may be obtained from the Council (see issues will continue throughout the rest New England Fishery Management ADDRESSES). Council; Public Meeting of the afternoon. Special Accommodations AGENCY: National Marine Fisheries Thursday, May 27, 1999 Service (NMFS), National Oceanic and The meeting will commence with This meeting is physically accessible Atmospheric Administration (NOAA), reports from the Council Chairman, to people with disabilities. Requests for Commerce. Executive Director, Acting NMFS sign language interpretation or other ACTION: Public meeting. Regional Administrator, Northeast auxiliary aids should be directed to Paul Fisheries Science Center and Mid- J. Howard (see ADDRESSES) at least 5 SUMMARY: The New England Fishery Atlantic Fishery Management Council days prior to the meeting date. Management Council (Council) will liaisons, and representatives of the Dated: May 6, 1999. hold a 2-day public meeting on May 26 Coast Guard and the Atlantic States and 27, 1999, to consider actions Marine Fisheries Commission. During Bruce Morehead, affecting New England fisheries in the the Scallop Committee Report, the Acting Director, Office of Sustainable exclusive economic zone. Council will identify issues to be Fisheries, National Marine Fisheries Service. DATES: The meeting will be held on addressed by Amendment 10 to the [FR Doc. 99–12031 Filed 5–11–99; 8:45 am] Wednesday, May 26, 1999, at 9:30 a.m. Atlantic Sea Scallop FMP, including BILLING CODE 3510±22±F
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Notices Federal Register Vol. 64, No. 91
Wednesday, May 12, 1999
This section of the FEDERAL REGISTER Authority: 42 U.S.C. 4321 et seq.; 36 CFR COMMODITY CREDIT CORPORATION contains documents other than rules or part 805. proposed rules that are applicable to the Dated: May 6, 1999. Sunshine Act Meeting public. Notices of hearings and investigations, John M. Fowler, committee meetings, agency decisions and TIME AND DATE: 2:00 p.m., May 17, 1999. rulings, delegations of authority, filing of Executive Director. PLACE: Room 104–A, Jamie Whitten petitions and applications and agency [FR Doc. 99–11906 Filed 5–11–99; 8:45 am] Building, U.S. Department of statements of organization and functions are BILLING CODE 4310±10±M Agriculture, Washington, D.C. examples of documents appearing in this STATUS: section. Open. MATTERS TO BE CONSIDERED: 1. Approval of the Minutes of the AGENCY FOR INTERNATIONAL Open Meeting of May 11, 1998. ADVISORY COUNCIL ON HISTORIC DEVELOPMENT PRESERVATION 2. Memorandum re: Update of Commodity Credit Corporation (CCC)- Malaria Vaccine Development Notice of Availability of Environmental Owned Inventory. Program: Federal Advisory Committee; 3. Memorandum re: Commodity Assessment and Finding of No Notice of Meeting Significant Impact Credit Corporation’s (CCC’s) Financial Condition Report. AGENCY: Advisory Council on Historic Pursuant to the Federal Advisory 4. Memorandum re: Settlement Preservation. Committee Act, notice is hereby given of Actions Report. ACTION: Notice of Availability of a meeting of the USAID Malaria Vaccine 5. Resolution re: Revisions of Bylaws Environmental Assessment and Finding Development Program (MVDP) Federal of Commodity Credit Corporation. of No Significant Impact. Advisory Committee. The meeting will 6. Resolution re: Termination of be held from 8:30 AM to 5:00 PM on Obsolete Commodity Credit Corporation SUMMARY: An Environmental assessment June 10, 1999 and from 8:30 to noon on Board Dockets. on the Council’s proposed regulatory June 11, 1999 at the Conference Room 7. Docket P–CON–99–008, re: revisions of its regulations of the Environmental Health Project Delegation of Authority for Commodity implementing Section 106 of the located in Suite 300, 1611 North Kent Credit Corporation Agreements with National Historic Preservation Act was Street in Arlington, VA 22209–2111. Federal Agencies, State and Local prepared in accordance with the The agenda will concentrate on the Governments, and Other Entities for National Environmental Policy Act activities of the MVDP over the past six Hazardous Waste Management. (NEPA), 42 U.S.C. 4321 et seq., and the months and plans for the next year. The CONTACT PERSON FOR MORE INFORMATION: Advisory Council on Historic meeting will be open to the public Juanita B. Daniels, Acting Secretary, Preservation’s NEPA regulations, 36 unless it is necessary to discuss Commodity Credit Corporation, Stop CFR Part 805. The environmental procurement sensitive information; 0571, U.S. Department of Agriculture, assessment made a preliminary should this be the case, it will be 1400 Independence Avenue SW, determination that promulgation of the announced and the meeting closed at Washington, D.C. 20250–0571. revised regulations would not have a the appropriate time. Any interested significant impact on the quality of the Dated: May 7, 1999. person may attend the meeting, may file human environment and that Juanita B. Daniels, written statements with the committee preparation of an environmental impact Acting Secretary, Commodity Credit before or after the meeting, or present statement would not be necessary. Corporation. any oral statements in accordance with Notice of the availability of the [FR Doc. 99–12146 Filed 5–10–99; 2:54 pm] procedures established by the environmental assessment and BILLING CODE 3410±05±M committee, to the extent that time preliminary determination of no available for the meeting permits. significant impact, and of a 30-day public comment period was published Those wishing to attend the meeting DEPARTMENT OF AGRICULTURE in the Federal Register on August 12, or to obtain additional information 1997. The Council has considered the about the USAID MVDP should contact Commodity Credit Corporation comments received and has found that Carter Diggs, the designated Federal the proposed action will have no Officer for the USAID MVDP Federal Uniform Grain and Rice Storage significant impact on the human Advisory Committee at the Office of Agreement Fees Health and Nutrition, USAID/G/PHN/ environment. Copies of the AGENCY: Commodity Credit Corporation, HN/EH/, Room 3.07–013, 3rd floor, environmental assessment and finding USDA. RRB, Washington, DC 20523–3700, of no significant impact may be ACTION: Notice of fees. obtained by contacting the person listed telephone (202) 712–5728, Fax (202) below. 216–3702, [email protected]. SUMMARY: The purpose of this notice is FOR FURTHER INFORMATION CONTACT: Carter Diggs, to publish a schedule of fees to be paid Javier Marque´s, Assistant General USAID Designated Federal Officer (Technical to Commodity Credit Corporation (CCC) Counsel, Advisory Council on Historic Advisor, Malaria Vaccine Development by grain and rice warehouse operators Preservation, 1100 Pennsylvania Program). requesting to enter into a storage Avenue, Suite 809, Washington, DC [FR Doc. 99–12027 Filed 5–11–99; 8:45 am] agreement to store CCC commodities or 20004. (202) 606–8503. BILLING CODE 6116±01±M commodities pledged as collateral for
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CCC loans; increase the amount of Signed at Washington, DC, on May 5, 1999. Authority and Duties of Division (7 storage covered by an existing storage Keith Kelly, U.S.C. 453) agreement for storage of such Executive Vice President, Commodity Credit (a) The division shall render service commodities; or renew an existing Corporation. to associations of producers of agreement for the storage of such [FR Doc. 99–11993 Filed 5–11–99; 8:45 am] agricultural products, and federations commodities. BILLING CODE 3410±05±P and subsidiaries thereof, engaged in the EFFECTIVE DATE: April 1, 1999. cooperative marketing of agricultural products including processing, FOR FURTHER INFORMATION CONTACT: DEPARTMENT OF AGRICULTURE Howard Froehlich, Chief, Storage warehousing, manufacturing, storage, Contract Branch, Warehouse and Rural Business-Cooperative Service the cooperative purchasing of farm Inventory Division, Farm Service supplies, credit, financing, insurance, Agency, United States Department of Notice of Request for Approval of New and other cooperative activities. Agriculture, 1400 Independence Information With Use of a Survey (b) The division is authorized to: Avenue, SW STOP 0553, Washington, (1) Acquire, analyze and disseminate DC 20250–0553, telephone (202) 720– AGENCY: Rural Business-Cooperative economic, statistical, and historical 7398, FAX (202) 690–3123. Service, USDA. information regarding the progress, organization, and business methods of Determination: In accordance with the ACTION: Proposed collection; comments cooperative associations in the United provisions of the Commodity Credit requested. Corporation Charter Act (15 U.S.C. 714 States and foreign countries. (2) Conduct studies of the economic, et seq.), CCC enters into storage SUMMARY: In accordance with the legal, financial, social and other phases agreements with grain and rice Paperwork Reduction Act of 1995, this of cooperation, and publish the results warehouse operators to provide for the notice announces the Rural Business- thereof. Such studies shall include the storage of commodities owned by CCC Cooperative Service (RBS) has received analyses of the organization, operation, or pledged as security to CCC for approval for a new information financial and merchandising problems marketing assistance loans. collection in order to render service to of cooperative organizations. Specifically, 7 CFR part 1421.5558 associations of producers of agricultural, (3) Make surveys and analyses if provides that all grain and rice forestry, and fisheries products and deemed advisable of the accounts and warehouse operators who do not have federations and subsidiaries thereof as business practices of representative an existing agreement with CCC for authorized in the Cooperative Marketing cooperative associations upon their storage and handling of CCC-owned Act of 1926. request; to report to the association commodities or commodities pledged to DATES: Comments on this notice must be surveyed the results thereof; and, with CCC as loan collateral, but who desire received by July 12, 1999 to be assured the consent of the association surveyed, such an agreement, must pay an of consideration. to publish summaries of the results of application and examination fee for such surveys, together with similar each warehouse for which CCC approval FOR FURTHER INFORMATION CONTACT: Julie A. Hogeland, Agricultural Economist, facts, for the guidance of cooperative is sought prior to CCC conducting the associations and for the purpose of original warehouse examination. RBS, U.S. Department of Agriculture, 1400 Independence Avenue SW, Stop assisting cooperative associations in A review of the revenue collected for developing methods of business and application and examination fees 3253, Washington, DC. 20250–3253, Telephone (202) 690–0409. market analysis. indicates that the fees collected are (4) Acquire from all available sources, insufficient to meet costs incurred by SUPPLEMENTARY INFORMATION: information concerning crop prospects, CCC for warehouse examinations and Title: Local Cooperatives’ Role in the supply, demand, current receipts, contract origination administrative Emerging Grain and Feed Industry. exports, imports, and prices of functions. Accordingly, beginning April OMB Control Number: 0570–0032. agricultural products handled or 1 with the start of the 1999–2000 marketed by cooperative associations, Expiration Date of Approval: contract year, the fees are changed by and to employ qualified commodity September 30, 1999. increasing by 7.5 percent those fees marketing specialists to summarize and applicable to the 1998–99 contract year. Type of Request: New Information analyze this information and The fee will be computed at the rate Collection. disseminate the same among of $16 for each 10,000 bushels of storage Abstract: The mission of the Rural cooperative associations and others. capacity or fraction thereof, but the fee Business-Cooperative Service (RBS), RBS also has a stated objective to will be not less than $160 nor more than formerly Agricultural Cooperative monitor the structure, conduct, and $1,600. Service (ACS), is to assist farmer-owned performance of the grains and oilseeds Further each warehouse operator who cooperatives in improving the economic marketing systems and the role and has a non-federally licensed grain or well-being of their farmer-members. effectiveness of cooperatives within that rice warehouse in States that do not This is accomplished through a system; analyze the impact of have a cooperative agreement with CCC comprehensive program of research on government programs and policies that for warehouse examinations must structural, operational, and policy affect grains and oilseeds cooperatives; additionally pay an annual fee to CCC issues affecting cooperatives; technical and provide leadership and guidance to for each such warehouse which is advisory assistance to individual grain and oilseed cooperatives based on approved by CCC or for which CCC cooperatives and to groups of producers the results of research and technical approval is sought. The collection of the who wish to organize cooperatives; and assistance studies and on program additional fee by CCC is currently development of educational and experience. suspended. CCC continues to suspend informational material. The authority to The elimination of government collection of the annual fee, but CCC carry out RBS’s mission is defined in storage programs during the mid-1990s may reinstate the annual fee by future the Cooperative Marketing Act of 1926 removed what, for many years, was the notice to the industry. (44 Stat. 802–1926). financial backbone of most cooperative
VerDate 06-MAY-99 12:38 May 11, 1999 Jkt 183247 PO 00000 Frm 00002 Fmt 4703 Sfmt 4703 E:\FR\FM\A12MY3.153 pfrm07 PsN: 12MYN1 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Notices 25475 grain elevators. At the same time, the Estimated Number of Responses per million will be available for market began a crucial transformation to Respondent: One. combination grants and loans ($5 more fully account for differences in the Estimated Total Annual Burden on million in grants paired with $50 value of grain in its end use. Respondents: 175 hours. million in loans). Export markets, the genesis of this Copies of this information collection transformation, typically blend grain can be obtained from Jean Mosley, DATES: Applications for grants must be lots to achieve a minimum average No. Support Services Division, Regulation postmarked by RUS no later than 2 quality. They usually do not pay and Paperwork Management Branch, at Friday, July 9, 1999. Applications for FY premiums for No. 1 grain, and they (202) 690–0041. 1999 loans or combination loans and discount from the No. 2 standard. The grants may be submitted at anytime up Comments industry argues that economic gains to September 30, 1999, and will be from blending allow it to operate on a Comments are invited on: (a) Whether processed on a first-come, first-serve narrower per bushel price margin. This the proposed collection of information basis. is necessary for the proper performance emphasis on price downplays the ADDRESSES: Applications are to be functional attributes that affect nutrient of the function of the Agency, including submitted to the Rural Utilities Service, content or processing characteristics. whether the information will have U.S. Department of Agriculture, 1400 Moreover, kernel characteristics which practical utility; (b) the accuracy of the Independence Avenue, SW, STOP 1550, Agency’s estimate of the burden of the increase the harvestability and Washington, DC 20250–1550. proposed collection of information storability of grain are the opposite of Applications should be marked including the validity of the those that improve the efficiency of ‘‘Attention: Director, Advanced Services methodology and assumptions used; (c) processing operations. Although Division, Telecommunications ways to enhance the quality, utility, and processors want softer-textured, thin Program’’. pericap kernels, plant breeders have clarity of the information to be generally focused on harder-textured collected; and (d) ways to minimize the FOR FURTHER INFROMATION CONTACT: products. burden of the collection of information Roberta D. Purcell, Assistant Consequently, softer grains must be on those who are to respond, including Administrator, Telecommunications produced on a systematic and through use of appropriate automated, Program, Rural Utilities Service, STOP contractual basis since such varieties electronic, mechanical, or other 1590, 1400 Independence Avenue, SW., deteriorate when passing through the technological collection techniques or Washington, DC 20250–1590, traditional commodity distribution other forms of information technology. Telephone (202)720–9554, Facsimile system. These newer, often genetically- Comments may be sent to Jean Mosley, (202) 720–0810. engineered grains are typically Support Services Division, Regulations SUPPLEMENTARY INFORMATION: For FY and Paperwork Management Branch, produced and marketed outside today’s 1999, $7.5 million in grants, a U.S. Department of Agriculture, Rural commodity system and purchased as combination of $5 million in grants ‘‘manufactured’’ or identity-preserved Development, 1400 Independence paired with $50 million in loans, and products. Avenue SW, Stop 0742, Washington, $100 million in loans will be made Cooperatives’ infrastructure—farmer D.C. 20250. All comments to this notice available for distance learning and linkages, elevators, distribution will be summarized. All comments will telemedicine projects. On May 10, 1999, channels, and grain processing also become a matter of a public record. regulations published in the Federal activities—gives them an unparalled Dated: April 28, 1999. opportunity to position themselves Register, March 25, 1999, at 64 FR Dayton J. Watkins, within the emerging identity-preserved 14401, governing this program became grain sector before alternative systems Administrator, Rural Business-Cooperative final. These new regulations clarify the Service. have emerged. Yet, it is not clear to requirements for the different types of what degree cooperatives are cognizant [FR Doc. 99–11979 Filed 5–11–99; 8:45 am] financial assistance offered; streamline of or prepared for these opportunities. BILLING CODE 3410±XY±P policies and procedures for obtaining The survey will reveal a baseline of loans and expand the purposes for cooperative resources and preferences which loan funds can be used; and DEPARTMENT OF AGRICULTURE that, at a minimum, could raise award grants on a competitive basis. cooperative awareness of industry Rural Utilities Service Notice is hereby given that under opportunities, and, ultimately, §§ 1703.124, 1703.133, and 1703.143, contribute to the standardized Distance Learning and Telemedicine RUS has determined the maximum production and marketing grain sector Loan and Grant Program amount of an application for a grant that desired by processors. will be considered for funding in FY Because identity-preserved grains AGENCY: Rural Utilities Service, USDA. 1999 as $350,000. The maximum represent a new industry, data on ACTION: Notice of Application filing amount for a loan, generally, that will be production intentions, marketing, deadline. considered for funding in FY 1999 is infrastructure requirements, and other SUMMARY: The Rural Utilities Service $10,000,000. However, RUS may fund a facets of industry structure and (RUS) announces its Distance Learning project greater than $10,000,000 subject performance are not available from and Telemedicine Program application to the project’s feasibility and the alternative sources. availability of loan funds. Estimate of Burden: Public reporting window for funding during fiscal year burden for this collection of information (FY) 1999. For FY 1999, $12.5 million Applications for financial assistance is estimated to average 15 minutes per in grants and $150 million in loans will must be submitted in accordance with 7 response. be made available for distance learning CFR part 1703, which establishes the Respondents: Local cooperatives and telemedicine projects serving rural policies and procedures for submitting involved in grain or feed marketing or America. The funding will be provided an application for financial assistance. handling. in three categories: (1) $7.5 million will This document and an application guide Estimated Number of Respondents: be available for grants; (2) $100 million to assist in the preparation of 700. will be available for loans; and (3) $55 applications are available on the
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Internet at the following address: ‘‘http:/ acres)—Bollinger Marine Fabricators, DEPARTMENT OF COMMERCE /www.usda.gov/rus/dlt/dlml.htm’’. LLC, 816 Bollinger Lane, Amelia (St. Applications guides may also be Mary’s Parish); proposed Site 4 (101 Foreign-Trade Zones Board requested from RUS by contacting one acres)—Bollinger Morgan City, LLC, 806 [Docket 16±99] of the following Area Offices: Bollinger Lane, Amelia; and, proposed Eastern Area, USDA–RUS, Phone: (202) Site 5 (50 acres)—Bollinger Amelia Foreign-Trade Subzone 59AÐLincoln, 690–4673 Repair, LLC, 606 Ford Industrial Road, NE; Request for Removal of Board Northwest Area, USDA–RUS, Phone: Amelia. The Bollinger Lockport facility Order Condition; Kawasaki Motors (202) 720–1025 is used for the construction and repair Manufacturing Corp., U.S.A. (Utility Southwest Area, USDA ‘‘ RUS, Phone: of commercial and government vessels Work Trucks) (202) 720–0800 under FTZ procedures for domestic and An application has been submitted to Each application will be reviewed for international customers. the Foreign-Trade Zones Board (the completeness in accordance with 7 CFR Board) by Kawasaki Motors part 1703. The applicant will be notified This proposal does not request any Manufacturing Corp., U.S.A. (KMM), within 15 working days of receipt of the new authority under FTZ procedures in operator of FTZ 59A, requesting results of this review, citing any terms of products or components, but it removal of the time limit in Board Order information needed to complete the does involve a potential increase in the 744 (60 FR 30518, 6–9–95), which application. It is suggested that grant facility’s level of production under FTZ authorized the manufacture of utility applications be submitted prior to the procedures. Bollinger will operate the work trucks (MulesTM) under FTZ deadline to ensure they can be reviewed proposed sites as an integral part of procedures for an initial period ending and considered complete by the Subzone 124H. July 1, 1999, subject to extension. The deadline. The proposed expanded application was formally filed on April Dated: May 6, 1999. manufacturing activity conducted under 29, 1999. Wally Beyer, FTZ procedures would be subject to the Subzone 59A was approved by the Administrator, Rural Utilities Service. ‘‘standard shipyard restriction’’ Board in 1980 with authority granted for [FR Doc. 99–11856 Filed 5–11–99; 8:45 am] applicable to foreign-origin steel mill the manufacture of motorcycles, jet skis, BILLING CODE 3410±15±P products (e.g., angles, pipe, plate), and four wheel all-terrain vehicles which requires that Customs duties be (Board Order 163, 45 FR 58637, 9–4– paid on such items. 80). The subzone was subsequently expanded in 1994 (Board Order 712, 59 DEPARTMENT OF COMMERCE In accordance with the Board’s FR 66891, 12–28–94). The Board later regulations, a member of the FTZ Staff Foreign-Trade Zones Board approved the manufacture of off-road, has been designated examiner to utility work trucks and industrial robots [Docket 17±99] investigate the application and report to with 6 or more axes of motion under the Board. Foreign-Trade Zone 124ÐLaPlace, LA, FTZ procedures for the U.S. market and Foreign-Trade Subzone 124H± Public comment on the application is export (Board Orders 744 and 745, 60 Bollinger Shipyards Lockport, LLC; invited from interested parties. FR 30517, 6–9–95) . Application for Expansion Submissions (original and three copies) KMM is now requesting that the FTZ (Shipbuilding) shall be addressed to the Board’s manufacturing authority for utility work Executive Secretary at the address trucks be extended on a permanent An application has been submitted to below. The closing period for their basis. Foreign-sourced components for the Foreign-Trade Zones Board (the receipt is July 12, 1999. Rebuttal the work trucks comprise approximately Board) by the South Louisiana Port comments in response to material 53 percent of the value of finished Commission, grantee of FTZ 124, submitted during the foregoing period vehicles’ materials and include: engines, requesting authority to expand Subzone may be submitted during the subsequent transmissions, calipers/brake parts, and 124H, at the Bollinger Shipyards tires (duty rate range: free–9.0%). Lockport, LLC (Bollinger) shipbuilding 15-day period (to July 26, 1999). FTZ procedures exempt KMM from facility located in Lockport, Louisiana, A copy of the application will be Customs duty payments on the foreign to include four new sites in Lafourche available for public inspection at the components used in export production. and St. Mary Parishes. The application following locations: On its domestic sales, the company is was submitted pursuant to the able to choose the duty rate that applies Office of the Port Director, U.S. Customs provisions of the Foreign-Trade Zones to finished work trucks (HTSUS Service, 110 North Airline Avenue, Act, as amended (19 U.S.C. 81a–81u), 8709.19.0030, duty free) for the foreign and the regulations of the Board (15 CFR Gramercy, LA 70052 components noted above. The request Part 400). It was formally filed on April Office of the Executive Secretary, indicates that the savings from FTZ 29, 1999. Foreign-Trade Zones Board, Room procedures will continue to help Subzone 124H was approved on July 3716, U.S. Department of Commerce, improve the facility’s international 10, 1998 (Board Order 993, 63 FR 39069, 14th Street & Pennsylvania Avenue, competitiveness. In accordance with the 7–21–98). The subzone currently NW, Washington, DC 20230 Board’s regulations, a member of the consists of one site (250 acres) is located Dated: April 30, 1999. FTZ Staff has been designated examiner at 8365 Louisiana Highway 308, about 4 to investigate the application and report miles south of Lockport (Lafourche Dennis Puccinelli, to the Board. Parish), Louisiana. The applicant is now Acting Executive Secretary. Public comment on the application is requesting authority to expand the [FR Doc. 99–12016 Filed 5–11–99; 8:45 am] invited from interested parties. subzone to include four additional sites: BILLING CODE 3510±DS±P Submissions (original and three copies) proposed Site 2 (168 acres)—Bollinger shall be addressed to the Board’s Larose, LLC, 1515 Highway 24, Larose Executive Secretary at the address (Lafourche Parish); proposed Site 3 (67 below. The closing period for their
VerDate 06-MAY-99 16:05 May 11, 1999 Jkt 183247 PO 00000 Frm 00004 Fmt 4703 Sfmt 4703 E:\FR\FM\12MYN1.XXX pfrm02 PsN: 12MYN1 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Notices 25477 receipt is July 12, 1999. Rebuttal data processing equipment (controllers), Nueces County, Texas. The application comments in response to material optical readers, valves and switches, was submitted pursuant to the submitted during the foregoing period electric motors and transformers, provisions of the Foreign-Trade Zones may be submitted during the subsequent transmissions/gear boxes, diodes, Act, as amended (19 U.S.C. 81a-81u), 15-day period (to July 26, 1999). transistors, semiconductors, liquid and the regulations of the Board (15 CFR A copy of the application and the crystal devices, and measuring part 400). It was formally filed on April accompanying exhibits will be available instruments (duty rate range: free– 27, 1999. for public inspection at the following 9.0%). The petrochemical complex and location: Office of the Executive FTZ procedures exempt KMM from connecting pipelines (1,700 acres) are Secretary, Foreign-Trade Zones Board, Customs duty payments on the foreign located at four sites in Nueces County, U.S. Department of Commerce, Room components used in export production. Texas (Corpus Christi area): Site 1 3716, 14th Street & Pennsylvania On its domestic sales, the company can (1,600 acres)—main petrochemical Avenue, NW., Washington, DC 20230– choose the duty rate that applies to complex, located at 1501 McKinzie 0002. finished industrial robots (HTSUS Road; Site 2 (3 leased tanks on 51.26 acres, 141,600 barrel capacity )—dock Dated: April 29, 1999. 8479.50.0000, 2.5%) for the foreign facility located adjacent to the Corpus Dennis Puccinelli, components noted above. The request indicates that the savings from FTZ Christi inner harbor; Site 3 (10 leased Acting Executive Secretary. procedures will continue to help tanks, 1.4 million barrel capacity) at the [FR Doc. 99–12015 Filed 5–11–99; 8:45 am] improve the facility’s international Hess storage facility and, and Site 4 (2 BILLING CODE 3510±DS±P competitiveness. In accordance with the leased tanks, 166,000 barrel capacity) Board’s regulations, a member of the located at the CITGO Corpus Christi FTZ Staff has been designated examiner refinery located at 1802 Nueces Bay DEPARTMENT OF COMMERCE to investigate the application and report Blvd. The complex (253 employees) produces a variety of petrochemical Foreign-Trade Zones Board to the Board. Public comment on the application is feedstocks and fuel products, including [Docket 18±99] invited from interested parties. ethylene (1.7 billion lb. capacity), Submissions (original and three copies) propylene (800 million lb. capacity), Foreign-Trade Subzone 59AÐLincoln, shall be addressed to the Board’s benzene (600 million lb. capacity), NE, Request for Removal of Board Executive Secretary at the address butadiene (200 million lb. capacity), Order Condition; Kawasaki Motors below. The closing period for their propane, toluene, butylenes, Manufacturing Corp., U.S.A. (Industrial receipt is July 12, 1999. Rebuttal piperylenes, resin oils, Robots) comments in response to material dicylcopentadiene, isoprene, methanol, submitted during the foregoing period and fuel oils. The complex also An application has been submitted to produces MTBE, biphenyl, hydrogen, the Foreign-Trade Zones Board (the may be submitted during the subsequent 15-day period (to July 26, 1999). and certain gasoline blendstocks, which Board) by Kawasaki Motors will not be produced under zone Manufacturing Corp., U.S.A. (KMM), A copy of the application and the accompanying exhibits will be available procedures. Some 54 percent of the operator of FTZ 59A, requesting inputs, including gas oil, naphtha, removal of the time restriction on for public inspection at the following location: Office of the Executive condensate, and natural gasoline, are manufacturing authority for industrial sourced abroad. Secretary, Foreign-Trade Zones Board, robots pursuant to Board Order 745 (60 Zone procedures would exempt the U.S. Department of Commerce, Room FR 30517, 6–9–95), which authorized refinery from Customs duty payments the manufacture of industrial robots 3716, 14th Street & Pennsylvania on the foreign products used in its under FTZ procedures for an initial Avenue, NW, Washington, DC 20230– exports. On domestic sales, the period ending July 1, 1999, subject to 0002. company would be able to choose the extension. It was formally filed on May Dated: May 3, 1999. Customs duty rates that apply to certain 3, 1999. Dennis Puccinelli, petrochemical feedstocks by admitting Subzone 59A was approved by the Acting Executive Secretary. incoming foreign inputs in non- Board in 1980 with authority granted for [FR Doc. 99–12017 Filed 5–11–99; 8:45 am] privileged foreign status. The duty rates the manufacture of motorcycles, jet skis, ¢ BILLING CODE 3510±DS±P on inputs range from 5.25 /barrel to and four wheel all-terrain vehicles 10.5¢/barrel. Under the FTZ Act, certain (Board Order 163, 45 FR 58637, 9–4– merchandise in FTZ status is exempt 80). The subzone was subsequently DEPARTMENT OF COMMERCE from ad valorem inventory-type taxes. expanded in 1994 (Board Order 712, 59 The application indicates that the FR 66891, 12–28–94). The Board later Foreign-Trade Zones Board savings from zone procedures would approved the manufacture of off-road, [Docket 15±99] help improve the refinery’s utility work trucks and industrial robots international competitiveness. with 6 or more axes of motion under Foreign-Trade Zone 122ÐCorpus In accordance with the Board’s FTZ procedures for the U.S. market and Christi, TX; Application for Subzone regulations, a member of the FTZ Staff export (Board Orders 744 and 745, 60 Equistar Chemicals LP (Oil Refinery); has been designated examiner to FR 30517, 6–9–95) . KMM is now Nueces County, TX investigate the application and report to requesting that the manufacturing the Board. authority for industrial robots be An application has been submitted to Public comment is invited from extended on a permanent basis. Foreign- the Foreign-Trade Zones Board (the interested parties. Submissions (original sourced components comprise Board) by the Port of Corpus Christi and 3 copies) shall be addressed to the approximately 60 percent of the Authority, grantee of FTZ 122, Board’s Executive Secretary at the finished robots’ FOB value and include: requesting special-purpose subzone address below. The closing period for plastic parts, rubber belts, fasteners, status for the petrochemical complex of their receipt is July 12, 1999. Rebuttal metal fittings, air pumps/compressors, Equistar Chemicals LP, located in comments in response to material
VerDate 06-MAY-99 16:18 May 11, 1999 Jkt 183247 PO 00000 Frm 00005 Fmt 4703 Sfmt 4703 E:\FR\FM\12MYN1.XXX pfrm01 PsN: 12MYN1 25478 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Notices submitted during the foregoing period SUPPLEMENTARY INFORMATION: The criteria; and 1999 Award criteria may be submitted during the subsequent Assistant Secretary for Administration, changes and future criteria evolution. 15-day period (to July 26, 1999). with the concurrence of the General DATES: The meeting will convene June A copy of the application and Counsel, formally determined on April 2, 1999, at 8:30 a.m. and adjourn at 4:00 accompanying exhibits will be available 26, 1999, that the meeting of the Judges p.m. on June 2, 1999. for public inspection at each of the Panel will be closed pursuant to section ADDRESSES: The meeting will be held at following locations: 10(d) of the Federal Advisory the National Institute of Standards and Office of the Port Director, U.S., Committee Act, 5 U.S.C. app. 2, as Technology, Administration Building Customs Service, 400 Mann St., amended by section 5(c) of the Tenth Floor Conference Room, Corpus Christi, Texas 78401 Government in the Sunshine Act, Public Gaithersburg, Maryland 20899. Office of the Executive Secretary, Law 94–409. The meeting, which Foreign-Trade Zones Board, Room involves examination of records and FOR FURTHER INFORMATION CONTACT: Dr. 3716, U.S. Department of Commerce, discussion of Award applicant data, Harry Hertz, Director, National Quality 14th & Pennsylvania Avenue, NW., may be closed to the public in Program, National Institute of Standards Washington, DC 20230 accordance with section 552b(c)(4) of and Technology, Gaithersburg, Title 5, United States Code, since the Maryland 20899, telephone number Dated: May 3, 1999. (301) 975–2361. Dennis Puccinelli, meeting is likely to disclose trade Acting Executive Secretary. secrets and commercial or financial Dated: May 4, 1999. [FR Doc. 99–12014 Filed 5–11–99; 8:45 am] information obtained from a person and Karen H. Brown, privileged or confidential. BILLING CODE 3510±DS±P Deputy Director. Dated: May 4, 1999. [FR Doc. 99–11894 Filed 5–11–99; 8:45 am] Karen H. Brown, BILLING CODE 3510±13±M DEPARTMENT OF COMMERCE Deputy Director. [FR Doc. 99–11893 Filed 5–11–99; 8:45 am] National Institute of Standards and DEPARTMENT OF COMMERCE Technology BILLING CODE 3510±13±M National Oceanic and Atmospheric Judges Panel of the Malcolm Baldrige Administration National Quality Award DEPARTMENT OF COMMERCE [I.D. 031899A] AGENCY: National Institute of Standards National Institute of Standards and and Technology, Department of Technology Fisheries of the Exclusive Economic Commerce. Zone off Alaska; Groundfish of the ACTION: Notice of closed meeting. Malcolm Baldrige National Quality Gulf of Alaska; Groundfish of the Award Board of Overseers Bering Sea and Aleutian Islands Area; SUMMARY: Pursuant to the Federal IFQ Halibut Fisheries Off Alaska; AGENCY: National Institute of Standards Advisory Committee Act, 5 U.S.C. app. Experimental Fishing Permit 2, notice is hereby given that there will and Technology, Department of be a closed meeting of the Judges Panel Commerce. AGENCY: National Marine Fisheries of the Malcolm Baldrige National ACTION: Notice of public meeting. Service (NMFS), National Oceanic and Quality Award on Tuesday, June 1, Atmospheric Administration (NOAA), 1999. The Judges Panel is composed of SUMMARY: Pursuant to the Federal Commerce. nine members prominent in the field of Advisory Committee Act, 5 U.S.C. app. ACTION: Issuance of an experimental quality management and appointed by 2, notice is hereby given that there will fishing permit. the Secretary of Commerce. The purpose be a meeting of the Board of Overseers of this meeting is to review the 1999 of the Malcolm Baldrige National SUMMARY: NMFS announces the Baldrige Award cycle, final judging Quality Award on Wednesday, June 2, issuance of experimental fishing permit interaction, survey of applicants and 1999. The Board of Overseers is 99–01 (EFP) to the Washington Sea judging process improvement composed of eleven members prominent Grant Program (WSGP). The EFP discussions. The applications under in the field of quality management and authorizes the WSGP to conduct an review contain trade secrets and appointed by the Secretary of experiment in the Gulf of Alaska (GOA) proprietary commercial information Commerce, assembled to advise the and the Bering Sea and Aleutian Islands submitted to the Government in Secretary of Commerce on the conduct Area (BSAI) that would test the confidence. of the Baldrige Award. The purpose of effectiveness of seabird avoidance DATES: The meeting will convene June this meeting is to discuss and review measures. NMFS could use results from 1, 1999, at 11:00 a.m. and adjourn at information received from the National the EFP to establish more effective 4:30 p.m. on June 1, 1999. The entire Institute of Standards and Technology regulatory measures to reduce meeting will be closed. with the members of the Judges Panel of incidental take of seabirds in these ADDRESSES: The meeting will be held at the Malcolm Baldrige National Quality fisheries. This EFP is necessary to the National Institute of Standards and Award. The agenda will include provide information not otherwise Technology, Administration Building reviewing roles and responsibilities of available through research or Tenth Floor Conference Room, Judges and Overseers; information commercial fishing operations. The Gaithersburg, Maryland 20899. transfer through QE XI, regional intended effect of this action is to FOR FURTHER INFORMATION CONTACT: Dr. conferences, state, local and promote the purposes and policies of Harry Hertz, Director, National Quality international networks; discussion of the Magnuson-Stevens Fishery Program, National Institute of Standards proposed program changes including Conservation and Management Act. and Technology, Gaithersburg, three award/category cap; health care ADDRESSES: Copies of the EFP are Maryland 20899, telephone number and education efforts including first available from Lori Gravel, Sustainable (301) 975–2361. year progress, fund-raising, and 2000 Fisheries Division, Alaska Region,
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NMFS, P.O. Box 21668, Juneau, AK WGSP designed and NMFS reviewed The Regional Administrator approved 99802. the experimental protocol for testing on the EFP application and has issued EFP FOR FURTHER INFORMATION CONTACT: Kim smaller-sized vessels [less than 124 ft 99–01 to the WSGP. The EFP authorizes S. Rivera, 907–586–7424. (37.8 meters) length overall (LOA)]. The WSGP to conduct experimental SUPPLEMENTARY INFORMATION: The prorocol will require a minimum of operations without the use of otherwise Fishery Management Plan for 640,000 to 1 million deployed hooks required seabird avoidance measures Groundfish of the Gulf of Alaska and the and 150 observer days over 2 years to during the course of the experiment Fishery Management Plan for the address adequately the efficacy of during designated periods of 1999 and Groundfish Fishery of the Bering Sea seabird avoidance measures relative to a 2000. No additional harvest amounts of and Aleutian Islands Area authorize the control of no measure. To achieve this target or incidental catch are authorized. issuance of EFPs for fishing for sample size objective, three vessels per Failure of the permit holder to comply groundfish in a manner that would year in the IFQ and groundfish fisheries with the terms and conditions of the otherwise be prohibited under existing will be required, with seabird observer EFP may be grounds for revocation, regulations. The procedures for issuing coverage for a total of 45 days per year suspension, or modification of the EFP EFPs are set out at 50 CFR 679.6 and (approximately three trips), assuming a under 15 CFR part 904 with respect to 600.745(b). total hook retrieval observation rate of any or all persons and vessels On March 29, 1999, NMFS announced 40 percent. WSGP has estimated that for conducting activities under the EFP. in the Federal Register the receipt of an testing on larger-sized vessels [longer Failure to comply with applicable laws application for an EFP from the WSGP than 124 ft LOA (37.8 meters)] in the also may result in sanctions imposed (64 FR 14885). The application BSAI, a minimum of 3 million deployed under those laws. hooks and 150 observer days over 2 requested authorization for WSGP to Classification test the effectiveness of seabird years will be needed to adequately avoidance measures in two fisheries, (1) address the efficacy of seabird The Regional Administrator the Individual Fishing Quota (IFQ) avoidance measures relative to a control determined that fishing activities sablefish and Pacific halibut fisheries in of no measure. To achieve this sample conducted under this action would not the GOA and the BSAI and (2) the size objective two vessels per year in the affect endangered and threatened Pacific cod and Greenland turbot hook- Pacific cod fishery will be required, species or critical habitat in any manner and-line fisheries in the BSAI. WGSP with seabird observer coverage for a not considered in prior consultations on will conduct the experiment as a part of total of 40 days per year (approximately the groundfish or IFQ fisheries. The its research project funded under the 2 trips), assuming a total hook retrieval USFWS has issued a section 10 permit NMFS Saltonstall-Kennedy program (SK observation rate of 40 percent. The to WSGP under the Endangered Species Project). WGSP will compare two experiment is scheduled to take place in Act. Such a permit authorizes the seabird avoidance measures to a control the GOA and BSAI for approximately 45 incidental take of a short-tailed albatross (no measures) in each fishery. An EFP to 60 days during May 1999 through in the unlikely event that one were is necessary because the SK Project’s July 1999, and for approximately 45 to taken during the course of the experimental procedure calls for testing 60 days during April 2000 through July experiment. seabird avoidance measures relative to a 2000, and in the BSAI for approximately This notice is exempt from review control of no seabird avoidance 40 to 50 days during July 1999 through under E.O. 12866 and the Regulatory measure, and possibly, the testing of October 1999, and for approximately 40 Flexibility Act (RFA) because prior new seabird bycatch avoidance to 50 days during July 2000 through notice and opportunity for public technologies that are not included in the October 2000. The effective period for comment are not required for this current NMFS regulations. The purpose the EFP may be revised for other months notice. The analytical requirements of of this research is to assess the in 1999 and 2000, pending agreement the RFA are inapplicable. effectiveness of alternative seabird between the permit holder and the Authority: 16 U.S.C. 1801 et seq. Administrator, Alaska Region, NMFS avoidance measures for hook-and-line Dated: May 6, 1999. (Regional Administrator). fisheries off Alaska. The objectives of Bruce C. Morehead, the SK Project are to: (1) Work WSGP established an industry Acting Director, Office of Sustainable cooperatively with the fishing industry, advisory committee in consultation with Fisheries, National Marine Fisheries Service. NMFS, and the U.S. Fish and Wildlife NMFS and the USFWS. This committee [FR Doc. 99–12030 Filed 5–11–99; 8:45 am] Service (USFWS) to select and then test will select the participating vessels and the effectiveness of seabird avoidance the seabird avoidance measures to be BILLING CODE 3510±22±F measures in hook-and-line fisheries off tested. The EFP authorizes three vessels Alaska; (2) characterize the species- per year in the GOA and BSAI specific behavioral interactions of groundfish fisheries and/or the Pacific COMMISSION OF FINE ARTS seabirds with hook-and-line gear on halibut fishery, and two vessels per year Notice of Meeting active fishing vessels, with and without in the BSAI groundfish fishery. The seabird avoidance measures; (3) work performance of seabird avoidance gear The Meeting of the Commission of the cooperatively with the fishing industry, will be tested against a standard control Fine Arts is scheduled for 20 May 1999 NMFS, and the USFWS to develop gear. The control gear will be identical at 10:00 AM in the Commission’s offices recommendations for revisions to hook and-line gear, although configured at the National Building Museum existing seabird avoidance regulations without the seabird avoidance gear. (Pension Building), Suite 312, Judiciary and performance standards based on the Fishing with experimental and control Square, 441 F Street, N.W., Washington, results of this research; and (4) gear will be conducted with procedures D.C., 20001. Items of discussion will recommend future research, and and sites similar to those used during include designs for projects affecting the research protocols. Issuance of this EFP the commercial fishery for sablefish and appearance of Washington, D.C., will provide information not otherwise halibut in the GOA and for groundfish including buildings and parks. available through research or (Pacific cod and Greenland turbot) in Inquiries regarding the agenda and commercial fishing operations. the BSAI. requests to submit written or oral
VerDate 06-MAY-99 12:38 May 11, 1999 Jkt 183247 PO 00000 Frm 00007 Fmt 4703 Sfmt 4703 E:\FR\FM\A12MY3.144 pfrm07 PsN: 12MYN1 25480 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Notices statements should be addresses to Written requests for copies of the DEPARTMENT OF DEFENSE Charles H. Atherton, Secretary, information collection proposal should Commission of Fine Arts, at the above be sent to Mr. Cushing, WHS/DIOR, Department of Navy address or call 202–504–2220. 1215 Jefferson Davis Highway, Suite Notice of Intent to Prepare an Individuals requiring sign language 1204, Arlington, VA 22202–4302. interpretation for the hearing impaired Environmental Impact Statement for a should contact the Secretary at least 10 Dated: May 6, 1999. Deep Draft Power Intensive (DDPI) days before the meeting date. Patricia L. Toppings, Ship Berthing, Logistics, and Maintenance Pier at Naval Station, San Dated in Washington, D.C., 3 May 1999. Alternate OSD Federal Register Liaison Officer, Department of Defense. Diego, California Charles H. Atherton, [FR Doc. 99–11901 Filed 5–11–99; 8:45 am] Secretary. AGENCY: Department of Navy, DOD. [FR Doc. 99–11909 Filed 5–11–99; 8:45 am] BILLING CODE 5001±10±M ACTION: Notice. BILLING CODE 6330±01±M SUMMARY: Pursuant to Section 102(2)(c) DEPARTMENT OF DEFENSE of the National Environmental Policy DEPARTMENT OF DEFENSE Act (NEPA) of 1969, as implemented by Office of the Secretary of Defense the Council on Environmental Quality Regulations (40 CFR Parts 1500–1508), Office of the Secretary Department of Defense Wage the Department of the Navy announces Submission for OMB Review; Committee; Notice of Closed Meetings its intent to prepare an Environmental Comment Request Impact Statement (EIS) to evaluate the Pursuant to the provisions of section effects of constructing and operating a ACTION: Notice. 10 of Pub. L. 92–463, the Federal Deep Draft Power Intensive (DDPI) ship Advisory Committee Act, notice is The Department of Defense has berthing, logistics and maintenance pier submitted to OMB for clearance, the hereby given that closed meetings of the at Naval Station (NAVSTA), San Diego, following proposal for collection of Department of Defense Wage Committee California. information under the provisions of the will be held on June 1, 1999, June 8, The proposed action is to demolish Paperwork Reduction Act (44 U.S.C. 1999, June 15, 1999, June 22 , 1999 and two existing piers, Piers 10 and 11, at Chapter 35). June 29, 1999 at 10:00 a.m. in Room Naval Station San Diego and construct Title, Form Number, and OMB A105, The Nash Building, 1400 Key and operate a replacement berthing, Number: Pre-Candidate Procedures; Boulevard, Rosslyn, Virginia. logistics and maintenance pier for DDPI USMA Forms 375, 723, 450, 21–12, 21– Under the provisions of section 10(d) ships. To accommodate the DDPI ships, 27, 381; OMB Number 0702–0060. of Pub. L. 92–463, the Department of construction would include dredging to Type of Request: Reinstatement. Defense has determined that the 37 feet below Mean Lower Low Water Number of Respondents: 65,100. meetings meet the criteria to close (MLLW) and removal of approximately Responses Per Respondent: 1. 536,000 cubic yards of sediment (of Annual Responses: 65,100. meetings to the public because the matters to be considered are related to which approximately 268,000 cubic Average Burden Per Response: 8 yards is believed to be unsuitable for internal rules and practices of the minutes. ocean disposal). The replacement pier Department of Defense and the detailed Annual Burden Hours: 8,258. would be approximately 120 feet wide Needs and Uses: Student information wage data to be considered were and 1500 feet long with power intensive is obtained through the use of business obtained from officials of private utilities (4000 amps or more). This pier reply cards on posters and in establishments with a guarantee that the would be similar to Pier 13, an existing publications, permitting potential data will be held in confidence. pier constructed at Naval Station San candidates to request information on the However, members of the public who Diego in 1989 to support DDPI ships. U.S. Military Academy. This initial The purpose of the proposed action is student information received is retained may wish to do so are invited to submit to provide for berthing, logistics, in a file until an additional response is material in writing to the chairman maintenance, and utility requirements received by potential candidates. The concerning matters believed to be of DDPI ships moored at the San Diego purpose of this activity is to obtain a deserving of the Committee’s attention. Naval Complex. The need for the group of applicants who eventually may Additional information concerning proposed action is to address the be evaluated for admission to West the meetings may be obtained by writing current shortfall in pier infrastructure/ Point. to the Chairman, Department of Defense Affected Public: Individuals or capacity for DDPI ships in the San Diego Wage Committee, 4000 Defense Naval Complex. The range of households. Pentagon, Washington, DC 20301–4000. Frequency: On occasion. alternatives to be considered include: Respondent’s Obligation: Required to May 6, 1999. (1) The proposed action, demolition obtain or retain benefits. L.M. Bynum, of Piers 10 and 11 at Naval Station San OMB Desk Officer: Mr. Edward C. Alternate OSD Federal Register, Liaison Diego and construction of a new DDPI Springer. Officer Department of Defense. pier with associated dredging; (2) Written comments and [FR Doc. 99–11902 Filed 5–11–99; 8:45 am] demolition of Piers 11 and 12 at Naval recommendations on the proposed Station San Diego and construction of a information collection should be sent to BILLING CODE 5001±10±M new DDPI pier with associated Mr. Springer at the Office of dredging; (3) demolition of Pier 14 at Management and Budget, Desk Officer Naval Station San Diego and for DoD, Room 10236, New Executive construction of a new DDPI pier with Office Building, Washington, DC 20503. associated dredging; and, (4) DOD Clearance Officer: Mr. Robert construction of a new pier or utilization Cushing. of other available piers with associated
VerDate 06-MAY-99 16:05 May 11, 1999 Jkt 183247 PO 00000 Frm 00008 Fmt 4703 Sfmt 4703 E:\FR\FM\12MYN1.XXX pfrm02 PsN: 12MYN1 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Notices 25481 dredging within the San Diego Naval 556–8296; e-mail Department of Energy, 1000 Complex. The EIS will also consider the [email protected] Independence Avenue, SW, No-Action Alternative: no demolition, Saundra K. Melancon, Washington, D.C. 20585, (202) 586–1709 replacement or new pier construction to Paralegal Specialist, Office of the Judge or (202) 586–6279 (fax). accommodate the DDPI ships. Advocate General, Alternate Federal Liaison SUPPLEMENTARY INFORMATION: The Officer. The EIS will evaluate the purpose of the Task Force on Fusion environmental effects associated with [FR Doc. 99–12020 Filed 5–11–99; 8:45 am] Energy is to review the Department of each of the alternatives. Various options BILLING CODE 3810±FF±P Energy’s plans for research and for dredged sediment disposal will also development of four fusion related be evaluated. Issues to be addressed in technologies—pulsed-power, lasers, ion the EIS include, but are not limited to: DEPARTMENT OF ENERGY drivers, and magnetic fusion—and to provide advice to the Secretary of water resources; biological resources; Secretary of Energy Advisory Board topography/geology; air quality; health Energy Advisory Board on how to and safety; land use; noise; AGENCY: Department of Energy. structure the Department’s fusion energy programs, both inertial and magnetic. transportation (vessel and ground); ACTION: Notice of Open Teleconference The review is to focus on the scientific aesthetics; cultural resources; utilities; Meeting Supplemental. quality of the programs, the goals and socioeconomics; and environmental objectives of the programs, and the justice. Impacts analysis will include an On April 21, 1999, the Department of Energy published a notice of open energy potential of each technology. The evaluation of the direct, indirect, short- meeting announcing a meeting of the findings and recommendation of the term, and cumulative impacts. No Secretary of Energy Advisory Board 64 Task Force on Fusion Energy are to decision to implement any of the FR 19522. In that notice, the comment on the goals and objectives of alternatives will be made until the teleconference meeting was scheduled the Department’s fusion energy related NEPA process is complete. for May 12, 1999. Today’s notice is programs, provide a critique of the A public scoping meeting to receive announcing that the teleconference current development strategies, suggest oral and written comments from the meeting will take place on May 19, changes in the overall fusion energy public will be held on June 9, 1999 at 1999, from 1:45 p.m. to 3:00 p.m. roadmap, and recommended funding levels. the Holiday Inn, Terrace Ballroom, 700 Issued in Washington, D.C. on May 7, National City Boulevard (at 8th Street), 1999. Tentative Agenda National City. The meeting will begin at Rachel M. Samuel, Wednesday, May 26, 1999 7 p.m. A Spanish-language interpreter Deputy Advisory Committee Management will be available at the meeting. Officer. 8:30–8:45 AM—Opening Remarks, A brief presentation describing the [FR Doc. 99–11990 Filed 5–11–99; 8:45 am] Introductions & Objectives—Dr. proposed action, alternatives and the BILLING CODE 6450±01±P Richard Meserve, Task Force NEPA process will precede the request Chairman for public comments. It is important that 8:45–9:45 AM—Briefing & Discussion: federal, state, and local agencies, as well DEPARTMENT OF ENERGY Laser Fusion Concepts and Development Strategy as interested organizations and Secretary of Energy Advisory Board individuals, take this opportunity to 9:45–10:15 AM—Briefing & Discussion: identify environmental concerns they Notice of Open Meeting Average-Power Krypton-Fluoride feel should be addressed during Lasers AGENCY: preparation of the EIS. Agencies and the Department of Energy. 10:15–10:45 AM—Briefing & public are invited and encouraged to SUMMARY: Consistent with the Discussion: Average-Power Diode- provide written comments in addition provisions of the Federal Advisory Pumped Solid State Lasers to, or in lieu of, oral comments at the Committee Act (Pub. Law 92–463, 86 10:45–11:00 AM—Break public meeting. To be most helpful, Stat. 770), notice is hereby given of the 11:00–11:30 AM—Briefing & comments should clearly describe following advisory committee meeting: Discussion: Common Direct Drive specific issues or topics that the Name: Secretary of Energy Advisory Physics Issues commentator believes the EIS should Board—Task Force on Fusion Energy 11:30–12:00 PM—Briefing & Discussion: address. DATES AND TIMES: Wednesday, May 26, Target Fabrication and Injection 1999, 8:30 AM—5:00 PM and Thursday, ADDRESSES: Questions regarding the 12:00–1:30 PM—Lunch May 27, 1999, 8:30 AM–1:00 PM. scoping process AND written comments 1:30–2:00 PM—Briefing & Discussion: may be sent to South Bay Area Focus ADDRESSES: Lawrence Livermore Direct Drive Ignition on NIF Team, 2585 Callagan Highway, Bldg. 99, National Laboratory (LLNL), Conference 2:00–2:45 PM—Briefing & Discussion: Naval Station, San Diego, San Diego, CA Room A, Building 123, 7000 East Non-Proliferation Considerations & Avenue, Livermore, California 94551– 92136–5198, postmarked no later than International Collaboration 0808. Note: Public attendees are June 16, 1999. 2:45–3:30 PM—Briefing & Discussion: requested to contact Ms. Sherry Graham Linkages to Other Fields of Scientific FOR FURTHER INFORMATION CONTACT: Mr. (LLNL) in advance of the meeting to Research and Technology Spin-offs Patrick McCay (Code 5SPR.PM), South facilitate their access to the meeting site. Bay Area Focus Team, 2585 Callagan Ms. Graham may be reached at (925) 3:30–3:45 PM—Break Highway, Bldg. 99, Naval Station, San 422–4958 or via e-mail at 3:45–4:30 PM—Briefing & Discussion: Diego, San Diego, CA 92136–5198; [email protected]. Participation of Colleges and telephone (619) 556–8706; fax (619) FOR FURTHER INFORMATION CONTACT: Universities in Fusion Research Richard C. Burrow, Secretary of Energy 4:30–4:45 PM—Public Comment Period Advisory Board (AB–1), U.S. 4:45 PM—Adjourn
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Thursday, May 27, 1999 Issued at Washington, D.C., on May 7, DEPARTMENT OF ENERGY 1999. 8:30–8:35 AM—Opening Remarks & Rachel M. Samuel, Federal Energy Regulatory Objectives—Dr. Richard Meserve, Deputy Advisory Committee Management Commission Task Force Chairman Officer. [Docket No. RP99±298±000] 8:35–9:15 AM—Briefing & Discussion: [FR Doc. 99–11991 Filed 5–11–99; 8:45 am] Introduction to the Indirect Drive BILLING CODE 6450±01±P ANR Pipeline Company; Notice of Approach to Inertial Fusion Energy— Cashout Report Strategy and Connection to the May 6, 1999. Defense Program’s Inertial DEPARTMENT OF ENERGY Take notice that on April 30, 1999, Confinement Fusion Program Federal Energy Regulatory ANR Pipeline Company (ANR) tendered 9:15–10:00 AM—Briefing & Discussion: Commission for filing its annual system cashout Heavy Ion Drivers report. 10:00–10:30 AM—Briefing & [Docket No. ER99±2640±000] This filing represents ANR’s annual Discussion: Chambers report of the net revenues attributable to the operation of its cashout program, 10:30–10:45 AM—Break Alliant Energy Corporate Services, Inc., Notice of Filing and covers the period January 1, 1998 to 10:45–11:30 AM—Briefing & December 31, 1998. ANR has computed Discussion: Pulsed Power May 6, 1999. the cashout price surcharge of $0.2485 11:30–12:00 PM—Briefing & Discussion: Take notice that on April 28, 1999, per Dth pursuant to section 15.5(b) of NIF and X-Ray Driven Ignition Alliant Energy Corporate Services, Inc., the General Terms and Conditions of its tariff. However, ANR proposes not to 12:00–12:30 PM—Briefing & Discussion: tendered for filing an executed Service Agreement for Short-Term Firm Point- implement the charge of $0.2485, but Inertial Fusion Energy Development rather seeks a waiver of its tariff in order Plan Strategy to-Point transmission service, establishing British Columbia Power to leave the lower existing charge of 12:30–12:45 PM—Public Comment Energy Corporate Services, Inc., $0.1211 per Dth in place. Period transmission tariff. Any person desiring to be heard or to 12:45 PM—Adjourn protest said filing should file a motion Alliant Energy Corporate Services, to intervene or a protest with the This tentative agenda is subject to Inc., requests an effective date of April Federal Energy Regulatory Commission, change. The final agenda will be 8, 1999, and accordingly, seeks waiver 888 First Street, NE, Washington, DC available at the meeting. of the Commission’s notice 20426, in accordance with sections Public Participation: The Chairman of requirements. 385.214 or 385.211 of the Commission’s the Task Force is empowered to conduct A copy of this filing has been served Rules and Regulations. All such motions the meeting in a fashion that will, in the upon the Illinois Commerce or protests must be filed in accordance Chairman’s judgment, facilitate the Commission, the Minnesota Public with section 154.210 of the orderly conduct of business. During its Utilities Commission, the Iowa Commission’s Regulations. Protests will meeting in Livermore, California, the Department of Commerce, and the be considered by the Commission in Task Force welcomes public comment. Public Service Commission of determining the appropriate action to be Members of the public will be heard in Wisconsin. taken, but will not serve to make the order in which they sign up at the Any person desiring to be heard or to protestants parties to the proceedings. beginning of the meeting. The Task protest such filing should file a motion Any person wishing to become a party Force will make every effort to hear the to intervene or protest with the Federal must file a motion to intervene. Copies views of all interested parties. Written Energy Regulatory Commission, 888 of this filing are on file with the comments may be submitted to Skila First Street, NE, Washington, DC 20426, Commission and are available for public Harris, Executive Director, Secretary of in accordance with Rules 211 and 214 inspection in the Public Reference Energy Advisory Board, AB–1, U.S. of the Commission’s Rules of Practice Room. This filing may be viewed on the Department of Energy, 1000 and Procedure (18 CFR 385.211 and web at http://www.ferc.fed.us/online/ Independence Avenue, SW, 385.214). All such motions and protests rims.htm (call 202–208–2222 for Washington, DC 20585. This notice is should be filed on or before May 18, assistance). being published less than 15 days before 1999. Protests will be considered by the David P. Boergers, the date of the meeting due to the late Commission to determine the Secretary. resolution of programmatic issues. appropriate action to be taken, but will [FR Doc. 99–11966 Filed 5–11–99; 8:45 am] Minutes: Minutes and a transcript of not serve to make protestants parties to BILLING CODE 6717±01±M the meeting will be available for public the proceedings. Any person wishing to review and copying approximately 30 become a party must file a motion to DEPARTMENT OF ENERGY days following the meeting at the intervene. Copies of this filing are on Freedom of Information Public Reading file with the Commission and are available for public inspection. This Federal Energy Regulatory Room, 1E–190 Forrestal Building, 1000 Commission Independence Avenue, SW, filing may also be viewed on the Washington, D.C., between 9:00 AM and Internet at http://www.ferc.fed.us/ [Docket No. RP 99±301±000] 4:00 PM, Monday through Friday except online/rims.htm (call 202–208–2222 for ANR Pipeline Company; Notice of Federal holidays. Further information assistance). Proposed Changes in FERC Gas Tariff on the Task Force on Fusion Energy Linwood A. Watson, Jr., may be found at the Secretary of Energy Acting Secretary. Take notice that, on April 30, 1999, Advisory Board’s web site, located at [FR Doc. 99–11920 Filed 5–11–99; 8:45 am] ANR Pipeline Company (ANR) tendered http://www.hr.doe.gov/seab. BILLING CODE 6117±01±M for filing as part of its FERC Gas Tariff,
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Second Revised Volume No. 1, the become part of its FERC Gas Tariff, First 888 First Street, NE, Washington, DC following tariff sheets to be effective Revised Volume No. 1, the tariff sheets 20426, in accordance with Sections June 1, 1999. listed in the attached Appendix A to be 385.214 or 385.211 of the Commission’s Eighth Revised Sheet No. 2 effective June 1, 1999. Rules and Regulations. All such motions Fourth Revised Sheet No. 89 CIG states it is proposing to make or protests must be filed in accordance First Revised Sheet No. 118 certain minor changes to its tariff and with Section 154.210 of the Ninth Revised Sheet No. 120 certain administrative revisions and Commission’s Regulations. Protests will Second Revised Sheet No. 161A clarifications as follows: be considered by the Commission in Third Revised Sheet No. 188 • Update the system gap; determining the appropriate action to be Fourth Revised Sheet No. 189 • Remove Order No. 636 transition taken, but will not serve to make Third Revised Sheet No. 190 and other outdated language; protestants parties to the proceedings. ANR states that the above-referenced • Correct, add and make clarifications Any person wishing to become a party tariff sheets are being filed in order to to footnotes on the rate sheets; must file a motion to intervene. Copies make changes to ANR’s tariff to permit • Update the Payment, Notices, of this filing are on file with the it the opportunity to charge Negotiated Nominations and Points of Contact Commission and are available for public Rates as contemplated by the Federal Sheets; inspection in the Public Reference • Energy Regulatory Commission’s Policy Add language consistent with the Room. This filing may be viewed on the Statement on Alternative to Traditional Stipulation and Agreement in Docket web at http://www.ferc.fed.us/online/ Cost-of-Service Rate Making for Natural No. RP96–190 that allows shippers rims.htm (call 202–208–2222 for Gas Pipelines, issued January 31, 1996 requesting service under Rate Schedule assistance). in Docket No. RM95–6–000. NNT–2 and TF–4 to reduce their David P. Boergers, ANR states that copies of the filing entitlement during certain months up to Secretary. have been mailed to all affected a stated percentage of peak month MDQ; customers and state regulatory • Correct certain definitions in the [FR Doc. 99–11968 Filed 5–11–99; 8:45 am] commissions. General Terms and Conditions; BILLING CODE 6717±01±M Any person desiring to be heard or to • Modify the definition of ‘‘Spot protest said filing should file a motion Index Price’’ to make it an average price DEPARTMENT OF ENERGY to intervene or a protest with the throughout the month; • Federal Energy Regulatory Commission, Make changes and update the Federal Energy Regulatory 888 First Street, N.E., Washington, D.C. Request for Service information; Commission 20426, in accordance with Sections • Identify transporter retained storage 385.214 or 385.211 of the Commission’s inventory as part of system [Docket No. RP96±140±009] Rules and Regulations. All such motions requirements for scheduling and Columbia Gas Transmission or protests must be filed in accordance allocation; with Section 154.210 of the • Clarify Section 7.6 of the General Corporation; Notice of Proposed Commission’s Regulations. Protests will Terms and Conditions concerning use of Changes in FERC Gas Tariff be considered by the Commission in storage gas; May 6, 1999. • determining the appropriate action to be Clarify when payment of an invoice Take notice that on April 30, 1999, taken, but will not serve to make shall be considered timely and how Columbia Gas Transmission Corporation protestants parties to the proceedings. interest shall be charged for late (Columbia) filed the following revised Any person wishing to become a party payments; tariff sheets to its FERC Gas Tariff, • must file a motion to intervene. Copies Add a section concerning the Second Revised Volume No. 1 (Tariff) of this filing are on file with the normal commercial practice of bearing a proposed effective date of June Commission and are available for public collecting of costs and expenses 1, 1999: inspection in the Public Reference incurred in litigation upon favorable Room. This filing my be viewed on the outcome of such action; Second Revised Sheet No. 99O First Revised Sheet No. 99P web at http://www.ferc.fed.us/online/ • Make clarification and corrections rims.htm (cal 202–208–2222 for concerning points of delivery that are Columbia states that this filing is assistance). available under Rate Schedule NNT–1 being submitted pursuant to Article VII, David P. Boergers, and Points of Delivery subject to the Section C, Accrued-But-Not-Paid Gas Secretary. Hourly Flexibility Surcharge; Costs, of the ‘‘Customer Settlement’’ in • Docket No. GP94–02, et al., approved by [FR Doc. 99–11969 Filed 5–11–99; 8:45 am] Add a Memphis Clause to the form of TI–1 Service Agreement; the Commission on June 15, 1995 (71 BILLING CODE 6717±01±M • Revise the complaints section of the FERC 61,337 (1995)). The Customer General Terms and Conditions to Settlement became effective on DEPARTMENT OF ENERGY conform to the requirements in Rule 206 November 28, 1995, when the of FERC’s Rules of Practice and Bankruptcy Court’s November 1, 1995 Federal Energy Regulatory Procedure (18 CFR 385.206); order approving Columbia’s Plan of Commission • Capitalize defined terms and make Reorganization became final. Under the other minor corrections and terms of Article VII, Section C, [Docket No. RP99±300±000] clarifications throughout the tariff. Columbia is entitled to recover amounts Colorado Interstate Gas Company; CIG further states that copies of this for Accrued-But-Not-Paid Gas Costs. As Notice of Tariff Filing filing have been served on CIG’s directed by Article VII, Section C, the jurisdiction customers and public tariff sheets contained herein are being May 6, 1999. bodies. filed in accordance with Section 39 of Take Notice that on April 30, 1999, Any person desiring to be heard or to the General Terms and Conditions of the Colorado Interstate Gas Company (CIG), protest said filing should file a motion Tariff, to direct bill the Accrued-But- P.O. Box 1087, Colorado Springs, to intervene or a protest with the Not-Paid Gas Costs that have been paid Colorado 80944, tendered for filing to Federal Energy Regulatory Commission, subsequent to November 28, 1995.
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Columbia states that copies of its Conditions of Discovery’s FERC Gas Schedules GSS and LSS. The costs of filing are available for inspection at its Tariff, any difference in the costs and the above referenced storage services offices at 12801 Fair Lakes Parkway, revenues resulting from these comprise the rates and charges payable Fairfax, Virginia and 10 G Street, NE, transactions will be carried forward to under ESNG’s Rate Schedules GSS and Washington, DC; and have been mailed the subsequent reporting period if such LSS. This tracking filing is being made to all parties on the Commission’s difference is less than $400,000. pursuant to Section 3 of ESNG’s Rate service list in Docket No. RP96–140, et Discovery experienced a loss from Schedules GSS and LSS. al., and to each of Columbia’s firm cashout transactions for this reporting ESNG states that copies of the filing customers, interruptible customers, and period in the amount of $21,616.71. have been served upon its jurisdictional affected state commissions. Columbia This loss will be carried forward to the customers and interested State also agrees to make available for this subsequent reporting period. Commissions. filing the data that it was required to Discovery is serving copies of the Any person desiring to be heard or to provide in its June 13, 1996 compliance instant filing to shippers, State protest said filing should file a motion filing in Docket No. RP96–140–002 Commissions and other interested to intervene or a protest with the pursuant to a protective agreement. parties. Federal Energy Regulatory Commission, Any person desiring to protest this Any person desiring to be heard or to 888 First Street, NE, Washington, DC filing should file a protest with the protest said filing should file a motion 20426, in accordance with Sections Federal Energy Regulatory Commission, to intervene or a protest with the 385.214 or 385.211 of the Commission’s 888 First Street, NE, Washington, DC Federal Energy Regulatory Commission, Rules and Regulations. All such motions 20426, in accordance with Section 888 First Street, NE, Washington, DC or protests must be filed in accordance 385.211 of the Commission’s Rules and 20426, in accordance with Sections with Section 154.210 of the Regulations. All such protests must be 385.214 or 385.211 of the Commission’s Commission’s Regulations. Protests will filed as provided in Section 154.210 of Rules and Regulations. All such motions be considered by the Commission in the Commission’s Regulations. Protests or protests must be filed in accordance determining the appropriate action to be will be considered by the Commission with Section 154.210 of the taken, but will not serve to make Commission’s Regulations. Protests will in determining the appropriate action to protestants parties to the proceedings. be considered by the Commission in be taken, but will not serve to make Any person wishing to become a party determining the appropriate action to be protestants parties to the proceedings. must file a motion to intervene. Copies taken, but will not serve to make Copies of this filing are on file with the of this filing are on file with the protestants parties to the proceedings. Commission and are available for public Commission and are available for public Any person wishing to become a party inspection in the Public Reference inspection in the Public Reference must file a motion to intervene. Copies Room. This filing may be viewed on the Room. This filing may be viewed on the of this filing are on file with the web at http://www.ferc.fed.us/online/ web at http://www.ferc.fed.us/online/ Commission and are available for public rims.htm (call 202–208–2222 for rims.htm (Call 202–208–2222 for inspection in the Public Reference assistance). assistance). David P. Boergers, Room. This filing may be viewed on the David P. Boergers, Secretary. web at http://www.ferc.fed.us/online/ Secretary. [FR Doc. 99–11949 Filed 5–11–99; 8:45 am] rims.htm (call 202–208–2222 for [FR Doc. 99–11971 Filed 5–11–99; 8:45 am] BILLING CODE 6717±01±M assistance). David P. Boergers, BILLING CODE 6717±01±M Secretary. DEPARTMENT OF ENERGY [FR Doc. 99–11964 Filed 5–11–99; 8:45 am] DEPARTMENT OF ENERGY BILLING CODE 4410±05±M Federal Energy Regulatory Federal Energy Regulatory Commission Commission [Docket No. RP99±295±000] DEPARTMENT OF ENERGY [Docket No. GT99±22±000] Discovery Gas Transmission L.L.C.; Federal Energy Regulatory Notice of Cashout Report Commission El Paso Natural Gas Company; Notice [Docket No. TM99±8±23±000] of Proposed Changes in FERC Gas May 6, 1999. Tariff Take notice that on April 30, 1999, Eastern Shore Natural Gas Company; May 6, 1999. Discovery Gas Transmission L.L.C. Notice of Proposed Changes in FERC (Discovery) tendered for filing its annual Gas Tariff Take notice that on April 30, 1999, El system cashout report. Paso Natural Gas Company (El Paso) Discovery reports that in Appendix A May 6, 1999. tendered for filing and acceptance by the cashout transaction volumes and net Take notice that Eastern Shore the Federal Energy Regulatory amounts purchased from or sold to each Natural Gas Company (ESNG) tendered Commission an interruptible shipper during the reporting period. for filing on April 29, 1999 certain Transportation Service Agreement Discovery states that Appendix B revised tariff sheets in the above (TSA) between El Paso and Pemex Gas reports the total cashout transaction captioned docket as part of its FERC Gas y Petroquimica Basica (Pemex) and volumes and amounts purchased from Tariff, Second Revised Volume No. 1, Thirteenth Revised Sheet No. 1 to its and paid each Shipper under each bear a proposed effective date of April FERC Gas Tariff, Second Revised Service Agreement during the reporting 1, 1999. Volume No. 1–A. period. Discovery states that Appendix The purpose of this instant filing is to El Paso states that it is submitting the C reports the costs and revenues track rate changes attributable to storage TSA for Commission approval since the resulting from cash-out transactions for services purchased from TSA contains provisions which differ the reporting period. In accordance with Transcontinental Gas Pipe Line from El Paso’s Volume No. 1–A Tariff. Section 9 of the General Terms and Corporation (Transco) under its Rate The tariff sheet, which references the
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TSA, is proposed to become effective on 20426, in accordance with section protestants parties to the proceeding. May 31, 1999. 385.211 of the Commission’s Rules and Any person wishing to become a party Any person desiring to be heard or to Regulations. All such protests must be must file a motion to intervene. Copies protest said filing should file a motion filed as provided in section 154.210 of of this filing are on file with the to intervene or a protest with the the Commission’s Regulations. Protests Commission and are available for public Federal Energy Regulatory Commission, will be considered by the Commission inspection in the Commission’s Public 888 First Street, N.E., Washington, D.C. in determining the appropriate action to Reference Room. This filing may also be 20426, in accordance with Sections be taken, but will not serve to make viewed on the web at http:// 385.214 or 385.211 of the Commission’s protestants parties to the proceedings. www.ferc.fed.us/online/rims.htm (call Rules and Regulations. All such motions Copies of this filing are on file with the 202–208–2222 for assistance). or protests must be filed in accordance Commission and are available for public David P. Boergers, with Section 154.210 of the inspection in the Public Reference Secretary. Commission’s Regulations. Protests will Room. This filing may be viewed on the [FR Doc. 99–11939 Filed 5–11–99; 8:45 am] be considered by the Commission in web at http://www.ferc.fed.us/online/ BILLING CODE 6717±01±M determining the appropriate action to be rims.htm (call 202–208–2222 for taken, but will not serve to make assistance). protestants parties to the proceedings. David P. Boergers, DEPARTMENT OF ENERGY Any person wishing to become a party Secretary. must file a motion to intervene. Copies [FR Doc. 99–11951 Filed 5–11–99; 8:45 am] Federal Energy Regulatory of this filing are on file with the BILLING CODE 6717±01±M Commission Commission and are available for public inspection in the Public Reference [Docket No. ER99±2613±000] Room. This filing may be viewed on the DEPARTMENT OF ENERGY web at http://www.ferc.fed.us/online/ Indeck Pepperell Power Associates; rims.htm (call 202–208–2222 for Federal Energy Regulatory Notice of Filing assistance). Commission David P. Boergers, May 6, 1999. [Docket No. GT99±23±000] Secretary. Take notice that on April 27, 1999, [FR Doc. 99–11938 Filed 5–11–99; 8:45 am] Great Lakes Gas Transmission Limited Indeck Pepperell Power Associates, Inc. BILLING CODE 6717±01±M Partnership; Notice of Filing (Indeck Pepperell), tendered for filing with the Federal Energy Regulatory May 6, 1999. Commission a Power Purchase and Sale DEPARTMENT OF ENERGY Take notice that on April 30, 1999, Agreement (Service Agreement) Great Lakes Gas Transmission Limited between Indeck Pepperell and Aquila Federal Energy Regulatory Partnership (Great Lakes) tendered for Energy Marketing Corporation (Aquila), Commission filing as part of its FERC Gas Tariff, dated February 1, 1999, for service [Docket No. RP97±287±032] Second Revised Volume No. 1, the under Rate Schedule FERC No. 1. following tariff sheets, proposed to become effective January 1, 1999: Indeck Pepperell requests that the El Paso Natural Gas Company; Notice Service Agreement be made effective as of Proposed Changes in FERC Gas Fourth Revised Sheet No. 3 of April 1, 1999. Tariff Third Revised Sheet No. 3A Third Revised Sheet No. 3B Any person desiring to be heard or to May 6, 1999. Third Revised Sheet No. 3C protest such filing should file a motion Take notice that on April 30, 1999, El to intervene or protest with the Federal Great Lakes states that the tariff sheets Paso Natural Gas Company (El Paso) Energy Regulatory Commission, 888 listed above are being filed to revise the tendered for filing and acceptance by First Street, NE., Washington, DC 20426, system and zone maps included in Great the Federal Energy Regulatory in accordance with Rules 211 and 214 Lakes’ tariff pursuant to Section Commission (Commission) the of the Commission’s Rules of Practice 154.106(c) of the Commission’s following tariff sheets to its FERC Gas and Procedure (18 CFR 385.211 and regulations. The revisions to the maps Tariff, Second Revised Volume No. 1–A, 385.214). All such motions and protests reflect the addition of the Duck Creek to become effective May 1, 1999: should be filed on or before May 17, and Solway meter stations to Great 1999. Protests will be considered by the Twenty-Fourth Revised Sheet No. 30 Lakes’ system, additions of loop line, Commission to determine the Fifteenth Revised Sheet No. 31 horsepower changes for two compressor appropriate action to be taken, but will El Paso states that the above tariff stations, and other minor corrections. not serve to make protestants parties to sheets are being filed to implement two Any person desiring to be heard or to the proceedings. Any person wishing to negotiated rate contracts pursuant to the protest said filing should file a motion become a party must file a motion to Commission’s Statement of Policy on to intervene or protest with the Federal intervene. Copies of this filing are on Alternatives to Traditional Cost-of- Energy Regulatory Commission, 888 file with the Commission and are Service Ratemaking for Natural Gas First Street, N.E., Washington, D.C. available for public inspection. This Pipelines and Regulation of Negotiated 20426, in accordance with Section filing may also be viewed on the Transportation Services of Natural Gas 385.214 and Section 385.211 of the Internet at http://www.ferc.fed.us/ Pipelines issued January 31, 1996 at Commission’s Rules and Regulations. online/rims.htm (call 202–208–2222 for Docket Nos. RM95–6–000 and RM96–7– All such motions or protests must be assistance). 000. filed as provided in section 154.210 of Any person desiring to protest this the Commission’s Regulations. Protests Linwood A. Watson, Jr., filing should file a protest with the will be considered by the Commission Acting Secretary. Federal Energy Regulatory Commission, in determining the appropriate action to [FR Doc. 99–11921 Filed 5–11–99; 8:45 am] 888 First Street, NE, Washington, DC be taken, but will not serve to make BILLING CODE 6717±01±M
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DEPARTMENT OF ENERGY Revised Volumes No. 1–A and 1–B, as KNW states that copies of this filing well as First Revised Volumes No. 1–C have been served upon all affected firm Federal Energy Regulatory and 1–D. KNI is submitting this filing to customers of KNW and applicable state Commission incorporate and/or modify tariff agencies. [Docket No. RP98±117±005] provisions to fit the operation and Any person desiring to be heard or to administration requirements of a new protest said filing should file a motion K N Interstate Gas Transmission Co.; computer system. Specifically, KNI’s to intervene or a protest with the Notice of Proposed Changes in FERC current interactive electronic system is Federal Energy Regulatory Commission, Gas Tariff being replaced by the Direct Access 888 First Street, N.E., Washington, D.C. Request and Tracking System (DART). 20426, in accordance with Sections May 6, 1999. KNI states that copies of this filing has 385.214 or 385.211 of the Commission’s Take notice that on April 30, 1999, been served upon all affected firm Rules and Regulations. All such motions KN Interstate Gas Transmission Co. customers of KNI and applicable state or protests must be filed in accordance (KNI) filed to move into effect certain agencies. with Section 154.210 of the rates and revised tariff sheets to its Any person desiring to be heard or to Commission’s Regulations. Protests will FERC Gas Tariff, Third Revised Volume protest said filing should file a motion be considered by the Commission in No. 1–A and First Revised Volume No. to intervene or a protest with the determining the appropriate action to be 1–C, as listed in Appendix B of its Federal Energy Regulatory Commission, taken, but will not serve to make filing. 888 First Street, NE, Washington, DC protestants parties to the proceedings. KNI states that such revised tariff 20426, in accordance with Sections Any person wishing to become a party sheets reflect changes in rates and tariff 385.214 or 385.211 of the Commission’s must file a motion to intervene. Copies provisions pursuant to the Rules and Regulations. All such motions of this filing are on file with the Commission’s order issued on March 3, or protests must be filed in accordance Commission and are available for public 1999, in this proceeding. with Section 154.210 of the inspection in the Public Reference KNI has served copies of this filing Commission’s Regulations. Protests will Room. This filing may be viewed on the upon all jurisdictional customers, be considered by the Commission in web at http://www.ferc.fed.us/online/ interested State Commissions, and other determining the appropriate action to be rims.htm (call (202) 208–2222 for interested parties. taken, but will not serve to make assistance). Any person desiring to protest this protestants parties to the proceedings. filing should file a protest with the Any person wishing to become a party David P. Boergers, Federal Energy Regulatory Commission, must file a motion to intervene. Copies Secretary. 888 First Street, NE, Washington, DC of this filing are on file with the [FR Doc. 99–11957 Filed 5–11–99; 8:45 am] 20426, in accordance with section Commission and are available for public BILLING CODE 6717±01±M 385.211 of the Commission’s Rules and inspection in the Public Reference Regulations. All such protests must be Room. This filing may be viewed on the filed as provided in section 154.210 of web at http://www.ferc.fed.us/online/ DEPARTMENT OF ENERGY the Commission’s Regulations. Protests rims.htm (call 202–208–2222 for Federal Energy Regulatory will be considered by the Commission assistance). Commission in determining the appropriate action to David P. Boergers, be taken, but will not serve to make Secretary. [Docket No. RP99±289±000] protestants parties to the proceedings. [FR Doc. 99–11967 Filed 5–11–99; 8:45 am] Copies of this filing are on file with the BILLING CODE 6717±01±M Natural Gas Pipeline Company of Commission and are available for public America; Notice of Proposed Change inspection in the Public Reference in FERC Gas Tariff Room. This filing may be viewed on the DEPARTMENT OF ENERGY web at http://www.ferc.fed.us/online/ May 6, 1999. rims.htm (call 202–208–2222 for Federal Energy Regulatory Take notice that on April 30, 1999, assistance). Commission Natural Gas Pipeline Company of America (Natural) tendered for filing as David P. Boergers, [Docket No. RP99±288±000] Secretary. part of its FERC Gas Tariff, Sixth Revised Volume No. 1, Twelfth Revised [FR Doc. 99–11952 Filed 5–11–99; 8:45 am] KN Wattenberg Transmission L.L.C.; Notice of Tariff Filing Sheet No. 22, to be effective June 1, BILLING CODE 6717±01±M 1999. May 6, 1999. Natural states that the filing is DEPARTMENT OF ENERGY Take notice that on April 30, 1999, submitted pursuant to Section 21 of the KN Wattenberg Transmission L.L.C. General Terms and Conditions of Federal Energy Regulatory (KNW) tendered for filing numerous Natural’s FERC Gas Tariff, Sixth Revised Commission Tariff Sheets listed on Appendix A to Volume No. 1 (Section 21), as the that filing of its FERC Gas Tariff First twelfth semiannual limited rate filing [Docket No. RP99±299±000] Revised Volume No. 1, proposed to be under Section 4 of the Natural Gas Act KN Interstate Gas Transmission Co.; effective June 1, 1999. KNW is and the Rules and Regulations of the Notice of Tariff Filing submitting this filing to incorporate Federal Energy Regulatory Commission and/or modify tariff provisions to fit the (Commission) promulgated thereunder. May 6, 1999. operation and administration The rate adjustments filed for are Take notice that on April 30, 1999, requirements of a new computer system. designed to recover Account No. 858 KN Interstate Gas Transmission Co. Specifically, KNW’s current interactive stranded costs incurred by Natural (KNI) tendered for filing numerous electronic system is being replaced by under contracts for transportation Tariff Sheets, listed on Appendix A to the Direct Access Request and Tracking capacity on other pipelines. Costs for the filing, of its FERC Gas Tariff, Third System (DART). any Account No. 858 contracts
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Natural requested specific waivers of Northern states that service will be Copies of the filing were served upon Section 21 and the Commission’s provided pursuant to currently effective the company’s customers and interested Regulations, including the requirements throughput service agreement(s) and State Commissions. of Section 154.63, to the extent that the peak day and annual deliveries Any person desiring to be heard or to necessary to permit Twelfth Revised for the small volume meter customers protest said filing should file a motion Sheet No. 22 to become effective June 1, will remain the same as presently being to intervene or a protest with the 1999. delivered. To minimize service Federal Energy Regulatory Commission, Natural states that copies of the filing interruption, as advised by Northern, 888 First Street, N.E., Washington, D.C. are being mailed to its customers and Northern will relocate these farm taps to 20426, in accordance with Sections interested state regulatory agencies. a parallel loop line before proceeding 385.214 or 385.211 of the Commission’s Any person desiring to be heard or to with the replacement project. The total Rules and Regulations. All such motions protest said filing should file a motion estimated cost to relocate the farm taps or protests must be filed in accordance to intervene or a protest with the delivery points is approximately with Section 154.210 of the Federal Energy Regulatory Commission, $20,000. Commission’s Regulations. Protests will 888 First Street, N.E., Washington, D.C. Any person or the Commission’s staff be considered by the Commission in 20426, in accordance with Sections may, within 45 days after issuance of determining the appropriate action to be 385.214 or 385.211 of the Commission’s the instant notice by the Commission, taken, but will not serve to make Rules and Regulations. All such motions file pursuant to rule 214 of the protestants parties to the proceedings. or protests must be filed in accordance Commission’s Procedural Rules (18 CFR Any person wishing to become a party with Section 154.210 of the 385.214) a motion to intervene or notice must file a motion to intervene. Copies Commission’s Regulations. Protests will of intervention and pursuant to section of this filing are on file with the be considered by the Commission in 157.205 of the Regulations under the Commission and are available for public determining the appropriate action to be Natural Gas Act (18 CFR 157.205) a inspection in the Public Reference taken, but will not serve to make protest to the request. If no protest is Room. This filing may be viewed on the protestants parties to the proceedings. filed within the time allowed therefor, web at http://www.ferc.fed.us/online/ Any person wishing to become a party the proposed activity shall be deemed to rims.htm (call 202–208–2222 for must file a motion to intervene. Copies be authorized effective the day after the assistance). of this filing are on file with the time allowed for filing a protest. If a David P. Boergers, Commission and are available for public protest is filed and not withdrawn Secretary. inspection in the Public Reference within 30 days after the time allowed Room. This filing may be viewed on the [FR Doc. 99–11961 Filed 5–11–99; 8:45 am] for filing a protest, the instant request web at http://www.ferc.fed.us/online/ BILLING CODE 6717±01±M shall be treated as an application for rims.htm (call 202–208–2222 for authorization pursuant to Section 7 of assistance). the Natural Gas Act. DEPARTMENT OF ENERGY David P. Boergers, David P. Boergers, Secretary. Secretary. Federal Energy Regulatory [FR Doc. 99–11958 Filed 5–11–99; 8:45 am] Commission [FR Doc. 99–11934 Filed 5–11–99; 8:45 am] BILLING CODE 6717±01±M BILLING CODE 6717±01±M [Docket No. TM99±3±59±000] Northern Natural Gas Company; Notice DEPARTMENT OF ENERGY DEPARTMENT OF ENERGY of Proposed Changes in FERC Gas Federal Energy Regulatory Tariff Commission Federal Energy Regulatory Commission May 6, 1999. [Docket No. CP99±454±000] Take notice that Northern Natural Gas [Docket No. RP99±292±000] Company (Northern), on April 30, 1999 Northern Natural Gas Company; Notice tendered for filing to become part of of Request Under Blanket Northern Natural Gas Company; Notice Northern’s F.E.R.C. Gas Tariff the Authorization of Proposed Changes in FERC Gas following tariff sheets proposed to Tariff become effective on June 1, 1999: May 6, 1999. Take notice that on May 4, 1999, May 6, 1999. Fifth Revised Volume No. 1 Northern Natural Gas Company Take notice that Northern Natural Gas Twelfth Revised Sheet No. 54 (Northern), 1111 South 103rd Street, Company (Northern), on April 30, 1999, Tenth Revised Sheet No. 61 Omaha, Nebraska 68124–1000, filed in tendered for filing to become part of Tenth Revised Sheet No. 62 Docket No. CP98–454–000 a request Northern’s F.E.R.C. Gas Tariff, the Tenth Revised Sheet No. 63 pursuant to sections 157.205, 157.216 following tariff sheets, proposed to be Tenth Revised Sheet No. 64 and 212 of the Commission’s effective June 1, 1999: The revised tariff sheets are being Regulations under the Natural Gas Act filed in accordance with Section 53 of Fifth Revised Volume No. 1 (18 CFR 157.205, 157.216, and 212) for Northern’s General Terms and authorization to relocate ten (10) small Third Revised Sheet No. 125D Conditions, which requires Northern to volume measurement meters (farm taps) Sixth Revised Sheet No. 144 adjust its fuel and Unaccounted for located in Minnesota, all as more fully The purpose of this filing is to modify (UAF) gas percentages each June 1, and set forth in the request that is on file Northern’s FDD and IDD Rate Schedules the fuel methodology set forth in the with the Commission and open to applicable to firm and interruptible Stipulation and Agreement of public inspection. This filing may be storage services by providing increased Settlement filed by Northern on April viewed on the web at http:ferc.fed.us/ service flexibility through the addition 16, 1999 in Docket Nos. RP98–203, et al.
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Copies of the filing were served upon addition, copies of this filing are being Federal Energy Regulatory Commission, Northern’s customers and interested served on all affected customers and 888 First Street, N.E., Washington, D.C. State Commissions. applicable state regulatory agencies. 20426, in accordance with Sections Copies of this filing are on file with Any person desiring to be heard or to 385.214 or Section 385.211 of the the Commission and are available for protest said filing should file a motion Commission’s Rules and Regulations. inspection. to intervene or a protest with the All such motions or protests must be Any person desiring to be heard or to Federal Energy Regulatory Commission, filed in accordance with Section protest said filing should file a motion 888 First Street, N.E., Washington, D.C. 154.210 of the Commission’s to intervene or a protest with the 20426, in accordance with Sections Regulations. Protests will be considered Federal Energy Regulatory Commission, 385.214 or 385.211 of the Commission’s by the Commission in determining the 888 First Street, N.E., Washington, D.C. Rules and Regulations. All such motions appropriate action to be taken, but will 20426, in accordance with Sections or protests must be filed in accordance not serve to make protestants parties to 385.214 or 385.211 of the Commission’s with Section 154.210 of the the proceedings. Any person wishing to Rules and Regulations. All such motions Commission’s Regulations. Protests will become a party must file a motion to or protests must be filed in accordance be considered by the Commission in intervene. Copies of this filing are on with Section 154.210 of the determining the appropriate action to be file with the Commission and are Commission’s Regulations. Protests will taken, but will not serve to make available for public inspection in the be considered by the Commission in protestants parties to the proceedings. Public Reference Room. This filing may determining the appropriate action to be Any person wishing to become a party be viewed on the web at http:// taken, but will not serve to make must file a motion to intervene. Copies www.ferc.fed.us/online/rims.htm (call protestants parties to the proceedings. of this filing are on file with the 202–208–2222 for assistance). Any person wishing to become a party Commission and are available for public David P. Boergers, must file a motion to intervene. Copies inspection in the Public Reference Secretary. of this filing are on file with the Room. This filing may be viewed on the [FR Doc. 99–11959 Filed 5–11–99; 8:45 am] Commission and are available for public web at http://www.ferc.fed.us/online/ BILLING CODE 6717±01±M inspection in the Public Reference rims.htm (call 202–208–2222 for Room. This filing may be viewed on the assistance). web at http://www.ferc.fed.us/online/ David P. Boergers, DEPARTMENT OF ENERGY rims.htm (call 202–208–2222 for Secretary. assistance). [FR Doc. 99–11940 Filed5–11–99; 8:45 am] Federal Energy Regulatory David P. Boergers, BILLING CODE 6717±01±M Commission Secretary. [FR Doc. 99–11970 Filed 5–11–99; 8:45 am] [Docket Nos. MT99±11±000 and MG99±19± BILLING CODE 6717±01±M DEPARTMENT OF ENERGY 000] Federal Energy Regulatory Pine Needle LNG Company, LLC; DEPARTMENT OF ENERGY Commission Notice of Filing [Docket No. RP99±290±000] Federal Energy Regulatory May 6, 1999. Commission Panhandle Eastern Pipe Line Take notice that on April 29, 1999, Pine Needle LNG Company, LLC (Pine [Docket No. GT99±24±000] Company; Notice of Proposed Changes in FERC Gas Tariff Needle) tendered for filing as part of its Panhandle Eastern Pipe Line FERC Gas Tariff, Original Volume No. 1, Company; Notice of Proposed May 6, 1999. the following tariff sheets to become Changes in FERC Gas Tariff Take notice that on April 30, 1999, effective May 29, 1999: Panhandle Eastern Pipe Line Company Substitute Original Sheet No. 40 May 6, 1999. (Panhandle) tendered for filing as part of Substitute Original Sheet No. 90 Take notice that on April 30, 1999, its FERC Gas Tariff, First Revised Original Sheet No. 91 Volume No. 1, the following revised Panhandle Eastern Pipe Line Company In addition, Pine Needle has filed its tariff sheet to be effective June 1, 1999: (Panhandle) tendered for filing as part of Code of Conduct under Order Nos. 497, its FERC Gas Tariff, First Revised Second Revised Sheet No. 16 et al. Volume No. 1, the following revised Pine Needle states that the purpose of tariff sheets to be effective June 1, 1999: Panhandle states that the purpose of this filing, made in accordance with the the instant filing is to add Section 30 to Third Revised Sheet No. 3 provisions of Section 154.204 of the the General Terms and conditions of Second Revised Sheet No. 3A Commission’s Regulations, is to Pine Needle’s FERC Gas Tariff to set Second Revised Sheet No. 3B eliminate the minimum rate for Rate forth the procedures used by Pine Panhandle states that the purpose of Schedule GPS, Gas Parking Service. Needle to address and resolve this filing, made in accordance with the Panhandle states that a copy of this complaints by customers and potential provisions of Section 154.106 of the filing is available for public inspection customers, as required by Section Commission’s Regulations, is to revise during regular business hours at 250.16(b)(2) of the regulations. The the system map to reflect changes in the Panhandle’s office at 5400 Westheimer instant filing also places on file with the pipeline facilities and the points at Court, Houston, Texas 77056–5310. In Commission Pine Needle’s Code of which service is provided. addition, copies of this filing are being Conduct, which sets forth procedures Panhandle states that a copy of this served on all affected customers and that will enable shippers and the filing is available for public inspection applicable state regulatory agencies. Commission to determine how Pine during regular business hours at Any person desiring to be heard or to Needle is complying with the standards Panhandle’s office at 5400 Westheimer protest said filing should file a motion of conduct set forth in Part 161 of the Court, Houston, Texas 77056–5310. In to intervene or a protest with the regulations.
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Any person desiring to be heard or to Room. This filing may be viewed on the Robin) tendered for filing as part of its protest said filing should file a motion web at http://www.ferc.fed.us/online/ FERC Gas Tariff, First Revised Volume to intervene or a protest with the rims.htm (call 202–208–2222 for No. 1, (Tariff) the following tariff sheets Federal Energy Regulatory Commission, assistance). to become effective April 1, 1999: 888 First Street, N.E. Washington, D.C. David P. Boergers, Sixth Revised Sheet No. 35 20426, in accordance with Sections Secretary. 385.214 of 385.211 of the Commission’s First Revised Sheet No. 93 [FR Doc. 99–11950 Filed 5–11–99; 8:45 am] First Revised Fourth Revised Sheet No. 95 Rules and Regulations. All such motions BILLING CODE 6717±01±M or protests must be filed in accordance Sea Robin states that the purpose of with Section 154.210 of the this filing is to comply with the Commission’s Regulations. Protests will DEPARTMENT OF ENERGY Commission’s letter order dated March be considered by the Commission in 31, 1999 in the above-referenced docket. Federal Energy Regulatory determining the appropriate action to be Such letter order generally approved taken, but will not serve to make Commission Sea Robin’s tariff filing made in protestants parties to the proceedings. [Docket No. RP99±282±000] compliance with Order No. 587–H. Any person wishing to become a party Such letter order required Sea Robin (i) must file a motion to intervene. Copies Reliant Energy Gas Transmission to incorporate by reference GISB of this filing are on file with the Company; Notice of Informal Technical Standard 1.3.2; (ii) to revise its tariff to Commission and are available for public Conference inspection in the Public Reference provide shippers notice of bumping Room. This filing may be viewed on the May 6, 1999. consistent with its OFO procedures; (iii) web at http://www.ferc.fed.us/online/ On April 12, 1999, Reliant Energy Gas to waive certain daily penalties for rims.htm (call 202–208–2222 for Transmission Company (Reliant) filed interruptible shippers whose scheduled assistance). pro forma tariff sheets reflecting a volumes are bumped; and (iv) to David P. Boergers, proposed new rate schedule providing reference version 1.3 as the correct hourly firm transportation service. This Secretary. version applying to the GISB standards filing was noticed on April 16, 1999, adopting by Order No. 587–H. Sea [FR Doc. 99–11943 Filed 5–11–99; 8:45 am] and various parties filed motions to BILLING CODE 6717±01±M Robin has requested that these sheets be intervene containing comments on the made effective as of April 1, 1999. Sea filing. One protest was filed. In order to Robin states that copies of the filing will DEPARTMENT OF ENERGY facilitate the resolution of the issues in be served upon its shippers and this proceeding, the Commission Staff is interested state commissions. Federal Energy Regulatory convening an informal conference Commission among the interested parties. Any person desiring to protest this Take notice that an informal technical filing should file a protest with the [Docket No. RP96±200±037] conference in the above-captioned Federal Energy Regulatory Commission, proceeding will be held on Thursday, 888 First Street, N.E., Washington, D.C. Reliant Energy Gas Transmission May 13, 1999, at 10:00 a.m. in a room 20426, in accordance with Section Company; Notice of Proposed to be designated at the offices of the 385.211 of the Commission’s Rules and Changes in FERC Gas Tariff Federal Energy Regulatory Commission, Regulations. All such protests must be May 6, 1999. 888 First Street, N.E., Washington, D.C. filed as provided in Section 154.210 of Take notice that on April 30, 1999, 20426. Reliant and interested parties the Commission’s Regulations. Protests Reliant Energy Gas Transmission should be prepared to discuss in detail will be considered by the Commission Company (REGT) tendered for filing as Reliant’s proposed hourly firm in determining the appropriate action to part of its FERC Gas Tariff, Fourth transportation service in order to resolve be taken, but will not serve to make Revised Volume No. 1, the following the specific concerns raised by the protestants parties to the proceedings. revised tariff sheet to be effective May parties in these proceedings. Copies of this filing are on file with the For additional information, please 1, 1999: Commission and are available for public contact Randy Adams at (202) 208– Original Sheet No. 70 inspection in the Public Reference 0102. Room. This filing may be viewed on the REGT states that the purpose of this David P. Boergers, web at http://www.ferc.fed.us/online/ filing is to reflect the implementation of Secretary. a new negotiated rate transaction. rims.htm (call 202–208–2222 for [FR Doc. 99–11956 Filed 5–11–99; 8:45 am] Any person desiring to protest this assistance). BILLING CODE 6717±01±M filing should file a protest with the David P. Boergers, Federal Energy Regulatory Commission, Secretary. 888 First Street, NE, Washington, DC DEPARTMENT OF ENERGY [FR Doc. 99–11955 Filed 5–11–99; 8:45 am] 20426, in accordance with section BILLING CODE 6717±01±M 385.211 of the Commission’s Rules and Federal Energy Regulatory Regulations. All such protests must be Commission filed as provided in section 154.210 of the Commission’s Regulations. Protests [Docket No. RP99±252±002] will be considered by the Commission Sea Robin Pipeline Company; Notice in determining the appropriate action to of Proposed Changes to FERC Gas be taken, but will not serve to make Tariff protestants parties to the proceedings. Copies of this filing are on file with the May 6, 1999. Commission and are available for public Take notice that on April 30, 1999, inspection in the Public Reference Sea Robin Pipeline Company (Sea
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DEPARTMENT OF ENERGY DEPARTMENT OF ENERGY (Tennessee), P.O. Box 2511, Houston, Texas 77252, tendered for filing: (1) A Federal Energy Regulatory Federal Energy Regulatory copy of the transportation service Commission Commission agreement pursuant to Tennessee’s Rate [Docket No. RP99±293±000] Schedule FT–A (Transportation Service [Docket No. GT99±21±000] Agreement) entered into by Tennessee TCP Gathering Co.; Notice of Tariff and Caledonia Power I, L.L.C., Southwest Gas Storage Company; Filing (Caledonia), (2) a copy of the balancing Notice of Proposed Changes in FERC agreement entered into by Tennessee Gas Tariff May 6, 1999. Take notice that on April 30, 1999, and Caledonia (Balancing Agreement), May 6, 1999. TCP Gathering Co. (TCP) tendered for (3) a copy of the Firm Transportation Take notice that on April 30, 1999, filing numerous Tariff Sheets listed in Discount Agreement entered into by Southwest Gas Storage Company Appendix A of its FERC Gas Tariff, Tennessee and Caledonia (‘‘Discount (Southwest) tendered for filing as part of Original Volume No. 1. TCP is Letter Agreement’’), and (4) Third its FERC Gas Tariff, Original Volume submitting this filing to incorporate Revised Sheet No. 413 of Tennessee’s No. 1, the following revised tariff sheets and/or modify tariff provisions to fit the FERC Gas Tariff, Fifth Revised Volume to be effective June 1, 1999: operation and administration No. 1 (Volume No. 1 Tariff). Tennessee requests an effective date of June 1, First Revised Sheet No. 3 requirements of a new computer system. Original Sheet No. 3A Specifically, TCP’s current interactive 1999. Original Sheet No. 3B electronic system is being replaced by Tennessee states that the the Direct Access Request and Tracking Transportation Service Agreement and Southwest states that the purpose of System (DART). this filing, made in accordance with the TCP states that copies of this filing the Discount Letter Agreement reflect a provisions of Section 154.106 of the has been served upon all affected firm negotiated rate arrangement between Commission’s Regulations, is to revise customers of TCP and applicable state Tennessee and Caledonia for the system map to reflect the acquisition agencies. transportation under Rate Schedule FT– by transfer from Panhandle Eastern Pipe Any person desiring to be heard or to A to be effective June 1, 1999 through Line Company of the Howell, Waverly protest said filing should file a motion May 31, 2009. Tennessee also states that and North Hopeton storage fields as to intervene or a protest with the it is submitting the Transportation authorized in Docket No. CP97–237–000 Federal Energy Regulatory Commission, Service Agreement and the Discount (85 FERC ¶ 61,328). 888 First Street, N.E., Washington, D.C. Letter Agreement for Commission Southwest states that a copy of this 20426, in accordance with Sections approval because the Discount Letter filing is available for public inspection 385.214 or 385.211 of the Commission’s Agreement contains language which during regular business hours at Rules and Regulations. All such motions modifies the provisions of the Gas Southwest’s office at 5400 Westheimer or protests must be filed in accordance Transportation Agreement contained in Court, Houston, Texas 77056–5310. In with Section 154.210 of the Tennessee’s Volume No. 1 Tariff. Commission’s Regulations. Protests will addition, copies of this filing are being Any person desiring to be heard or to be considered by the Commission in served on all affected customers and protest said filing should file a motion applicable state regulatory agencies. determining the appropriate action to be taken, but will not serve to make to intervene or a protest with the Any person desiring to be heard or to Federal Energy Regulatory Commission, protest said filing should file a motion protestants parties to the proceedings. Any person wishing to become a party 888 First Street, N.E., Washington, D.C. to intervene or a protest with the 20426, in accordance with §§ 385.214 or Federal Energy Regulatory Commission, must file a motion to intervene. Copies of this filing are on file with the 385.211 of the Commission’s Rules and 888 First Street, NE, Washington, DC Regulations. All such motions or 20426, in accordance with Sections Commission and are available for public protests must be filed in accordance 385.214 or 385.211 of the Commission’s inspection in the Public Reference with § 154.210 of the Commission’s Rules and Regulations. All such motions Room. This filing may be viewed on the or protests must be filed in accordance web at http://www.ferc.fed.us/online/ Regulations. Protests will be considered with Section 154.210 of the rims.htm (call 202–208–2222 for by the Commission in determining the Commission’s Regulations. Protests will assistance). appropriate action to be taken, but will be considered by the Commission in David P. Boergers, not serve to make protestants parties to determining the appropriate action to be Secretary. the proceedings. Any person wishing to taken, but will not serve to make [FR Doc. 99–11962 Filed 5–11–99; 8:45 am] become a party must file a motion to protestants parties to the proceedings. BILLING CODE 6717±01±M intervene. Copies of this filing are on Any person wishing to become a party file with the Commission and are must file a motion to intervene. Copies available for public inspection in the of this filing are on file with the DEPARTMENT OF ENERGY Public Reference Room. This filing may Commission and are available for public be viewed on the web at http:// Federal Energy Regulatory inspection in the Public Reference www.ferc.fed.us/online/rims.htm (call Commission Room. This filing may be viewed on the 202–208–2222 for assistance). web at http://www.ferc.fed.us/online/ [Docket No. GT99±26±000] David P. Boergers, rims.htm (call 202–208–2222 for Secretary. assistance). Tennessee Gas Pipeline Company; [FR Doc. 99–11942 Filed 5–11–99; 8:45 am] David P. Boergers, Notice of Filing BILLING CODE 6717±01±M Secretary. May 6, 1999. [FR Doc. 99–11937 Filed 5–11–99; 8:45 am] Take notice that on April 30, 1999, BILLING CODE 6717±01±M Tennessee Gas Pipeline Company
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DEPARTMENT OF ENERGY DEPARTMENT OF ENERGY Commission and are available for public inspection in the Public Reference Federal Energy Regulatory Federal Energy Regulatory Room. This filing may be viewed on the Commission Commission web at http://www.ferc.fed.us/online/ [Docket No. RP99±294±000] rims.htm (call 202–208–2222 for [Docket No. RP91±203±069] assistance). Texas Eastern Transmission David P. Boergers, Tennessee Gas Pipeline Company; Corporation; Notice of Tariff Filing Secretary. Notice of Tariff Filing [FR Doc. 99–11963 Filed 5–11–99; 8:45 am] May 6, 1999. BILLING CODE 6717±01±M May 6, 1999. Take notice that on April 30, 1999, Texas Eastern Transmission Corporation Take notice that on April 30, 1999, (Texas Eastern) tendered for filing as DEPARTMENT OF ENERGY Tennessee Gas Pipeline Company part of its FERC Gas Tariff, Sixth (Tennessee), P.O. Box 2511, Houston, Revised Volume No. 1, the following Federal Energy Regulatory Texas 77252, filed Twentieth Revised tariff sheets, to become effective June 1, Commission Sheet No. 20, Twenty-first Revised 1999: [Docket No. RP99±106±003] Sheet No. 21A, Twenty-seventh Revised First Revised Sheet No. 702 Sheet No. 22, Twenty-first Revised First Revised Sheet No. 717 TransColorado Gas Transmission Sheet No. 22A, Sixteenth Revised Sheet First Revised Sheet No. 732 Company; Notice of Tariff Filing No. 23, Eighth Revised Sheet No. 23A, First Revised Sheet No. 763 Eleventh Revised Sheet No. 23B, Sixth First Revised Sheet No. 766J May 6, 1999. Revised Sheet No. 23C, Twenty-second First Revised Sheet No. 801 Take notice that on April 30, 1999, First Revised Sheet No. 814 Revised Sheet No. 24, Sixteenth Revised pursuant to 18 CFR 154.7 and 154.203, Sheet No. 25 and Eighth Revised Sheet Texas Eastern states that the purpose and in compliance with Commission No. 27 to be included in its FERC Gas of this filing is to revise, on a letter order issued April 5, 1999, in Tariff. prospective basis, the forms of firm Docket No. RP99–106–002, service agreement for Rate Schedules TransColorado Gas Transmission Tennessee states that this filing is in CDS, FT–1, SCT, LLFT, VKFT, SS–1 and Company (TransColorado) tender for compliance with the Commission’s FSS–1 to provide for a reduced filing and acceptance, to be effective April 16, 1999 order in Docket Nos. minimum prior written notice March 31, 1999, Substitute Second RP91–203–68, et al. Tennessee Gas requirement for termination of at least Revised Sheet No. 247 and Substitute Pipeline Co., 87 FERC (61,086 (1999). one (1) year for long-term service Original Sheet No. 247A to Original Tennessee requests an effective date of agreements. Texas Eastern proposes Volume No. 1 of its FERC Gas Tariff. May 1, 1999, for these tariff sheets. The these changes to its firm forms of service TransColorado states that the April 5 tariff sheets will put into place rates agreement to be effective on a order directed it to revise its tariff sheets reflecting the Commission’s decision prospective basis, with such changes to to reflect that TransColorado will file regarding the proper allocation of the be available on and after the effective with the Commission by March 1 of New England lateral costs. Tennessee date of the tariff sheets filed herein, for each year an annual fuel-reimbursement requests all waivers of the Commission’s new service agreements executed in report fully detailing the operation of its regulations that may be necessary to all connection with remarketing turnback fuel reimbursement mechanism for the this filing to become effective on May 1, capacity subsequent to the termination 12-month period ending December 31 of 1999. of existing long-term contracts as well as each year. superseding service agreements TransColorado states that the April 5 Any person desiring to protest this executed in connection with the order directed it to revise § 12.8(a) of its filing should file a protest with the renegotiation and extension of existing Fuel-Reimbursement provision to state Federal Energy Regulatory Commission, service agreements. that the monthly fuel-gas- 888 First Street, NE, Washington, DC Texas Eastern states that copies of the reimbursement factor will be calculated 20426, in accordance with Section filing were served on all affected using the most recent available actual 385.211 of the Commission’s Rules and customers and interested state data and is computed by adding (1) the Regulations. All such protests must be commissions. Projected Monthly System Gas filed as provided in Section 154.210 of Any person desiring to be heard or to Consumption to (2) the Projected the Commission’s Regulations. Protests protest said filing should file a motion Monthly Lost and Unaccounted-For will be considered by the Commission to intervene or a protest with the Quantities plus the Prior Month’s in determining the appropriate action to Federal Energy Regulatory Commission, Variance Adjustment divided by be taken, but will not serve to make 888 First Street, N.E., Washington, D.C. projected transportation receipts. protestants parties to the proceedings. 20426, in accordance with Sections Further, the April 5 order directed Copies of this filing are on file with the 385.214 or 385.211 of the Commission’s TransColorado to eliminate the first Commission and are available for public Rules and Regulations. All such motions proposed sentence in § 12.8(b) and inspection in the Public Reference or protests must be filed in accordance substitute a revised sentence. Room. This filing may be viewed on the with Section 154.210 of the TransColorado states that a copy of web at http://www.ferc.fed.us/online/ Commission’s Regulations. Protests will this filing has been served upon its rims.htm (call 202–208–2222 for be considered by the Commission in customers, the official service list in assistance). determining the appropriate action to be Docket No. RP99–106, the New Mexico taken, but will not serve to make Public Utilities Commission and the David P. Boergers, protestants parties to the proceedings. Colorado Public Utilities Commission. Secretary. Any person wishing to become a party Any person desiring to protest this [FR Doc. 99–11948 Filed 5–11–99; 8:45 am] must file a motion to intervene. Copies filing should file a protest with the BILLING CODE 6717±01±M of this filing are on file with the Federal Energy Regulatory Commission,
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888 First Street, N.E., Washington, D.C. to Transco’s Compressor Station 90 at City of Sugar Hill, Georgia—2,277 dt per 20426, in accordance with Section milepost 811.26 in Marengo County, day 385.211 of the Commission’s Rules and Alabama, which will include City of Toccoa, Georgia—3,105 dt per Regulations. All such protests must be installation of a pig launcher at milepost day filed as provided in Section 154.210 of 764.66 (upstream of the loop) and City of Winder, Georgia—1,035 dt per the Commission’s Regulations. Protests installation of a pig receiver and liquid day will be considered by the Commission scrubber at Station 90. Transco points out that the capacity in determining the appropriate action to 2. 13.94 miles of 48-inch pipeline covered by these precedent agreements be taken, but will not serve to make loop from milepost 837.52 on Transco’s totals 204,099, which is the capacity of protestants parties to the proceedings. mainline in Marengo County, Alabama SouthCoast. Copies of this filing are on file with the to milepost 851.46 on Transco’s Transco states that the firm Commission and are available for public mainline in Dallas County, Alabama, transportation service under SouthCoast inspection in the Public Reference which will include relocation of an will be rendered under Transco’s Rate Room. This filing may be viewed on the existing pig receiver from milepost Schedule FT and Part 284(G) of the web at http://www.ferc.fed.us/online/ 837.52 to milepost 851.46. A pig Commission’s regulations. Additionally, rims.htm (call (202) 208–2222 for launcher for the loop already exists at Transco states that the SouthCoast assistance). Station 90. shippers will pay Transco’s Rate David P. Boergers, 3. 19.01 miles of 24-inch pipeline Schedule FT rate and will also be Secretary. loop from milepost 0.00 on Transco’s charged any applicable charges and [FR Doc. 99–11953 Filed 5–11–99; 8:45 am] North Georgia Extension in Walton surcharges under Rate Schedule FT. BILLING CODE 6717±01±M County, Georgia to milepost 19.01 on Transco requests that the Commission the North Georgia Extension in make a determination that the costs Gwinnette County, Georgia, which will associated with the SouthCoast facilities DEPARTMENT OF ENERGY include installation of a pig launcher at may be rolled into Transco’s cost of milepost 0.00 and installation of a pig service in Transco’s first Section 4 rate Federal Energy Regulatory receiver at milepost 19.01. proceeding which becomes effective Commission 4. A new 15,000 horsepower gas following the in-service of the project. [Docket No. CP99±392±000] turbine-powered compressor unit at Transco claims that a presumption to Station 105 in Coosa County, Alabama. roll-in the SouthCoast costs applies Transcontinental Gas Pipe Line 5. A new 16,500 horsepower electric because the rate impact on its existing Corporation; Notice of Application motor-driven compressor unit at Station customers under each firm rate schedule 115 in Coweta County, Georgia. Also, at May 6, 1999. is less than five percent which is the station 115 gas coolers will be installed level set forth in the Commission’s Take notice that on April 29, 1999, which will cool the total station gas Transcontinental Gas Pipe Line Statement of Policy for a presumption of flow. rolled-in rate treatment on the pricing of Corporation (Transco), Post Office Box 6. Unit 16 will be rewheeled at new pipeline construction. Transco also 1396, Houston, Texas 77251, filed an Station 120. application pursuant to sections 7(c) of 7. Suction piping at Station 100 will claims that the subject facilities will the Natural Gas Act and subpart A of be modified to allow sufficient gas flow produce significant system benefits and part 157 of the Commission’s to Unit 10. will be fully integrated physically and regulations for a certificate of public Transco states that the facilities, for operationally with Transco’s existing convenience and necessity authorizing the most part, will be installed either system. Transco to construct and operate entirely within or immediately adjacent Transco requests that the Commission facilities which will provide 204,099 to Transco’s existing right-of-way and issue a preliminary determination dekatherms per day (dt per day) of new compressor station yards. approving all aspects of the subject firm transportation capacity on Transco indicates that it held an open application other than environmental Transco’s system, all as more fully set season from July 22, 1998, to August 24, matters by August 1, 1999, and a final forth in the application which is on file 1998, during which it accepted requests order granting all certification by with the Commission and open to for firm service under SouthCoast. December 1, 1999. public inspection. This filing may be Transco states that as result of the open Any person desiring to participate in viewed on the web at http:// season, Transco executed precedent the hearing process or to make any www.ferc.fed.us/online/rims.htm (call agreements with the following twelve protest with reference to said 202 208–2222 for assistance). shippers: application should on or before May 27, 1999, file with the Federal Energy Transco seeks authorization of its Atlanta Gas Light Company—61,160 dt Regulatory Commission, 888 First SouthCoast Expansion Project per day (SouthCoast), an incremental expansion Georgia Power Company—40,000 dt per Street, NE, Washington, DC 20426, a of Transco’s pipeline system in its day motion to intervene or a protest in southern market area which will Santee Cooper—80,000 dt per day accordance with the requirements of the provide 204,099 dt per day of new firm Sylacaugh Utilities Board—4,000 dt per Commission’s Rules of Practice and transportation capacity on its system, by day Procedure (18 CFR 385.214 or 385.211) a proposed in-service date of November Visy Paper, Inc—4,500 dt per day and the Regulations under the Natural 1, 2000. City of Buford, Georgia—3,105 dt per Gas Act (18 CFR 157.10). All protests Specifically, Transco proposes to day filed with the Commission will be construct and operate the following City of Covington, Georgia—1,294 dt per considered by it in determining the facilities which Transco estimates will day appropriate action to be taken, but will cost $108,354,725: East Central Alabama Gas District—518 not serve to make the protestants parties 1. 11.31 miles of 42-inch pipeline dt per day to the proceedings. Any person wishing loop from milepost 799.95 on Transco’s City of Lawrenceville, Georgia—3,105 dt to become a party to a proceeding or to mainline in Choctaw County, Alabama per day participate as a party in any hearing
VerDate 06-MAY-99 12:38 May 11, 1999 Jkt 183247 PO 00000 Frm 00020 Fmt 4703 Sfmt 4703 E:\FR\FM\A12MY3.124 pfrm07 PsN: 12MYN1 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Notices 25493 therein must file a motion to intervene unnecessary for Transco to appear or be DEPARTMENT OF ENERGY in accordance with the Commission’s represented at the hearing. Rules. David P. Boergers, Federal Energy Regulatory Commission A person obtaining intervenor status Secretary. will be placed on the service list [FR Doc. 99–11933 Filed 5–11–99; 8:45 am] [Docket No. RP99±291±000] maintained by the Secretary of the BILLING CODE 6717±01±M Transcontinental Gas Pipe Line Commission and will receive copies of Corporation; Notice of Proposed all documents filed by the applicant and Changes in FERC Gas Tariff by every one of the intervenors. An DEPARTMENT OF ENERGY intervenor can file for rehearing of any May 6, 1999. Commission order and can petition for Federal Energy Regulatory Take notice that on April 30, 1999 court review of any such order. Commission Transcontinental Gas Pipe Line However, an intervenor must submit Corporation (Transco) tendered for copies of comments or any other filing [Docket No. GT99±25±000] filing tariff sheets to its FERC Gas Tariff, it makes with the Commission to every Third Revised Volume No. 1, which other intervenor in the proceeding, as Transcontinental Gas Pipe Line tariff sheets are enumerated in well as 14 copies with the Commission. Corporation; Notice of Refund Report Appendix A attached to the filing. Such tariff sheets are proposed to be effective A person does not have to intervene, May 6, 1999. November 1, 1999. however, in order to have comments Take notice that on April 28, 1999, On September 25, 1998, as amended considered. A person, instead, may Trancontinental Gas Pipe Line on October 5, 1998, Transco filed an submit two copies of comments to the Corporation (Transco) filed a report application to abandon Rate Schedule Secretary of the Commission. reflecting the flow through of refund LG–A service provided to PG Energy, Commenters will be placed on the received from CNG Transmission Inc. and Philadelphia Gas Works and to Commission’s environmental mailing Corporation (CNG). provide increased service under Rate list, will receive copies of Schedule LG–A to NUI Corporation. On environmental documents and will be On February 12, 1999, in accordance October 30, 1998, the Commission able to participate in meetings with Section 4 of its Rate Schedule granted approval of the abandonment of associated with the Commission’s FTNT, Transco states that it refunded to service to PGE and PGW, but dismissed environmental review process. its FTNT customer, New York Power Transco’s request to provide increased Commenters will not be required to Authority, $133,300 resulting from the service to NUI. On November 6, 1998, serve copies of filed documents on all estimated refund of CNG Transmission Transco filed a petition requesting that other parties. However, commenters Corporation’s Docket No. RP97–406, et the Commission grant authorization to provide service to NUI on a temporary will not receive copies of all documents al and on April 1, 1999 Transco basis. The Commission issued an order filed by other parties or issued by the refunded $35,334.25 to the same customer which is a true-up for this on November 12, 1998 granting Commission and will not have the right Transco’s request for a limited-term to seek rehearing or appeal the refund. The refund covers the period from January 1998 to January 1999. certificate. In compliance with the Commission’s final order to a federal November 12 Order, Transco is filing to Any person desiring to be heard or to court. (1) implement two new Part 284 protest said filing should file a motion The Commission will consider all services, Rate Schedule LNG (Liquefied to intervene or a protest with the comments and concerns equally, Natural Gas Storage Service) and Rate Federal Energy Regulatory Commission, whether filed by commenters or those Schedule LNG–R (Released Liquefied 888 First Street, N.E., Washington, D.C. requesting intervenor status. Natural Gas Storage Services) and (2) 20426, in accordance with Sections Take further notice that, pursuant to modify the rate and the General Terms 385.214 or 385.211 of the Commission’s and Conditions tariff sheets to the authority contained in and subject to Rules and Regulations. All such motions incorporate these new services. the jurisdiction conferred upon the or protests must be filed in accordance In accordance with the provisions of Federal Energy Regulatory Commission with Section 154.210 of the Section 154.2(d) of the Commission’s by sections 7 and 15 of the Natural Gas Commission’s Regulations. Protests will Regulations, copies of this filing are Act and Commission’s Rules of Practice be considered by the Commission in available for public inspection, during and Procedure, a hearing will be held determining the appropriate action to be regular business hours, in a convenient without further notice before the taken, but will not serve to make form and place at Transco’s main offices Commission or its designee on this protestants parties to the proceedings. at 2800 Post Oak Boulevard in Houston, application if no motion to intervene is Any person wishing to become a party Texas. In addition, Transco is serving filed within the time required herein, if must file a motion to intervene. Copies copies of the instant filing to its affected the Commission on its own review of of this filing are on file with the customers and interested State the matter finds that a grant of the Commission and are available for public Commissions. certificate is required by the public inspection in the Public Reference Any person desiring to be heard or to convenience and necessity. If a motion Room. This filing may be viewed on the protest said filing should file a motion for leave to intervene is time filed, or if web at http://www.ferc.fed.us/online/ to intervene or a protest with the the Commission on its own motion rims.htm (call 202–208–2222 for Federal Energy Regulatory Commission, believes that a formal hearing is assistance). see First Street, N.E., Washington, D.C. 20426, in accordance with Sections required, further notice of such hearing David P. Boergers, will be duly given. 385.214 or 385.211 of the Commission’s Secretary. Rules and Regulations. All such motions Under the procedure herein provided [FR Doc. 99–11941 Filed 5–11–99; 8:45 am] or protests must be filed in accordance for, unless otherwise advised, it will be BILLING CODE 6717±01±M with Section 154.210 of the
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Commission’s Regulations. Protests will intervene. Copies of this filing are on Comment date: May 18, 1999, in be considered by the Commission in file with the Commission and are accordance with Standard Paragraph E determining the appropriate action to be available for public inspection in the at the end of this notice. taken, but will not serve to make Public Reference Room. This filing may 4. FirstEnergy Corp., and Pennsylvania protestants parties to the proceedings. be viewed on the web at http:// Power Company Any person wishing to become a party www.ferc.fed.us/online/rims.htm (call must file a motion to intervene. Copies 202–208–2222 for assistance). [Docket No. ER99–2632–000] of this filing are on file with the David P. Boergers, Take notice that on April 28, 1999, Commission and are available for public Secretary. FirstEnergy Corp. (FirstEnergy), inspection in the Public Reference [FR Doc. 99–11965 Filed 5–11–99; 8:45 am] tendered for filing on behalf of itself and Room. This filing may be viewed on the BILLING CODE 6717±01±M Pennsylvania Power Company, a web at http://www.ferc.fed.us/online/ Service Agreement for Network rims.htm (call 202–208–2222 for Integration Service and an Operating assistance). DEPARTMENT OF ENERGY Agreement for the Network Integration David P. Boergers, Transmission Service under the Secretary. Federal Energy Regulatory Pennsylvania Electric Choice Program [FR Doc. 99–11960 Filed 5–11–99; 8:45 am] Commission with Public Service Electric and Gas BILLING CODE 6717±01±M [Docket No. ER99±2631±000, et al.] Company pursuant to the FirstEnergy System Open Access Tariff. These Northeast Utilities Service Company, et agreements will enable the parties to DEPARTMENT OF ENERGY al. Electric Rate and Corporate obtain Network Integration Service Regulation Filings under the Pennsylvania Electric Choice Federal Energy Regulatory Program in accordance with the terms of May 3, 1999. Commission the Tariff. Take notice that the following filings [Docket No. RP99±296±000] have been made with the Commission: The proposed effective date under these agreements is April 1, 1999. Trunkline Gas Company; Notice of 1. Northeast Utilities Service Company Proposed Changes in FERC Gas Tariff Comment date: May 18, 1999, in [Docket No. ER99–2631–000] accordance with Standard Paragraph E May 6, 1999. Take notice that on April 28, 1999, at the end of this notice. Northeast Utilities Service Company Take notice that on April 30, 1999, 5. Public Service Company of New (NUSCO), tendered for filing a Service Trunkline Gas Company (Trunkline) Mexico tendered for filing as part of its FERC Agreement with Constellation Power Gas Tariff, First Revised Volume No. 1, Source, Inc. (Constellation), under the [Docket No. ER99–2633–000 ] the following revised tariff sheet to be NU System Companies’ System Power Take notice that on April 28, 1999, effective June 1, 1999. Sales/Exchange Tariff No. 6. Public Service Company of New Mexico Ninth Revised Sheet No. 13 NUSCO requests that the Service (PNM), tendered for filing two executed Agreement become effective March 31, Trunkline states that the purpose of service agreements, dated April 21, 1999. 1999, with the Incorporated County of this filing, made in accordance with the NUSCO states that a copy of this filing provisions of Section 154.204 of the Los Alamos (County), under the terms of has been mailed to Constellation. PNM’s Open Access Transmission Commission’s Regulations, is to Comment date: May 18, 1999, in Service Tariff (OATT). One agreement is eliminate the minimum rate for Rate accordance with Standard Paragraph E for firm point-to-point transmission Schedule GPS, Gas Parking Service. at the end of this notice. Trunkline states that a copy of this service, and supersedes an existing filing is available for public inspection 2. Delmarva Power & Light Company service agreement between PNM and during regular business hours at [Docket Nos. ER97–3189–022 and OA97– County, dated December 1, 1996. Under Trunkline’s office at 5400 Westheimer 586–001] the service agreement PNM provides Court, Houston, Texas 77056–5310. In Take notice that on April 28, 1999, County with firm point-to-point addition, copies of this filing are being Delmarva Power & Light Company transmission service from PNM’s San served on all affected customers and (Delmarva), tendered for filing a revised Juan Generating Station 345 kV applicable state regulatory agencies. compliance refund report for the City of Switchyard (point of receipt) to PNM’s Any person desiring to be heard or to Easton, Maryland (Easton), to correct a Norton or ETA points of interconnection protest said filing should file a motion miscalculation in the original with County. The other agreement is a to intervene or a protest with the compliance refund report. Control Area Service Agreement, which Federal Energy Regulatory Commission, Comment date: May 18, 1999, in incorporates certain sections of PNM’s 888 First Street, NE., Washington, DC accordance with Standard Paragraph E OATT, and replaces Service Schedule H 20426, in accordance with Sections at the end of this notice. (SS H), of the Interconnection 385.214 and 385.211 of the Agreement between PNM and County. Commission’s Rules and Regulations. 3. Delmarva Power & Light Company Both agreements are to take effect on the All such motions or protests must be [Docket Nos. ER97–3189–023 and OA97– same date that the Notice of filed in accordance with Section 586–002] Termination for SS H (which is being 154.210 of the Commission’s Take notice that on April 28, 1999, filed concurrently under separate cover) Regulations. Protests will be considered Delmarva Power & Light Company takes effect. PNM’s filings are available by the Commission in determining the (Delmarva), tendered for filing a revised for public inspection at PNM’s offices in appropriate action to be taken, but will compliance refund report for the City of Albuquerque, New Mexico. not serve to make protestants parties to Dover, Delaware (Dover) to correct a Comment date: May 18, 1999, in the proceedings. Any person wishing to miscalculation in the original accordance with Standard Paragraph E become a party must file a motion to compliance refund report. at the end of this notice.
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6. Public Service Company of New Comment date: May 18, 1999, in NUSCO requests that the Service Mexico accordance with Standard Paragraph E Agreement become effective April 1, [Docket No. ER99–2634–000] at the end of this notice. 1999. NUSCO states that a copy of this filing Take notice that on April 28, 1999, 9. Northeast Utilities Service Company has been mailed to MSCG. Public Service Company of New Mexico [Docket No. ER99–2639–000] (PNM), tendered for filing a Notice of Take notice that on April 28, 1999, Comment date: May 18, 1999, in Termination of Service Schedule H, Northeast Utilities Service Company accordance with Standard Paragraph E Area Control Services and Metering (NUSCO), tendered for filing a Service at the end of this notice. (Supplement No. 7 to PNM Rate Agreement with Merchant Energy Group 13. New England Power Company Schedule FERC No. 60), to the of the Americas, Inc. (MEGA), under the Interconnection Agreement between NU System Companies’ Sale for Resale [Docket No. ER99–2644–000] PNM and Incorporated County of Los Tariff No. 7. Take notice that on April 28, 1999, Alamos (County), dated November 26, NUSCO requests that the Service New England Power Company (NEP), 1984. Termination of the Service Agreement become effective May 1, tendered for filing a Notice of Schedule is to be effective on the same 1999. Cancellation of the Unit Power Contract date as PNM’s new service agreements NUSCO states that a copy of this filing between NEP and Holden Municipal (under PNM’s Open Access has been mailed to MEGA. Light Department, FERC Electric Rate Transmission Tariff) for firm point-to- Comment date: May 18, 1999, in Schedule No. 408. point transmission and control area accordance with Standard Paragraph E NEP requests that cancellation be service with County take effect. PNM’s at the end of this notice. effective the April 30, 1999. filing is available for public inspection 10. NYSEG Solutions, Inc. at its offices in Albuquerque, New Comment date: May 18, 1999, in Mexico. [Docket No. ER99–2641–000] accordance with Standard Paragraph E Comment date: May 18, 1999, in Take notice that on April 28, 1999, at the end of this notice. NYSEG Solutions, Inc., tendered for accordance with Standard Paragraph E 14. American Transmission Systems, filing a Summary of Quarterly Activity at the end of this notice. Inc. for the calendar year quarter ending 7. Northeast Utilities Service Company March 31, 1999, pursuant to Section 205 [Docket No. ER99–2647–000] [Docket No. ER99–2636–000] of the Federal Power Act, 16 U.S.C. Take notice that on April 28, 1999, § 824d (1985), and Part 35 of the American Transmission Systems, Inc., Take notice that on April 28, 1999, Commission’s Rules of Practice and Northeast Utilities Service Company tendered for filing an application to Procedure, 18 CFR 35, and in establish initial rates charged for (NUSCO), on behalf of The Connecticut accordance with Ordering Paragraph J of Light and Power Company, and Public transmission service under the the Federal Energy Regulatory American Transmission Systems, Inc’s Service Company of New Hampshire, Commission’s December 14, 1998, order Open Access Tariff. Included as part of tendered for filing pursuant to Section in Docket No. ER99–220–000. the filing is an amendment to the Joint 205 of the Federal Power Act and Comment date: May 18, 1999, in Section 35.13 of the Commission’s accordance with Standard Paragraph E Dispatch Agreement among the Regulations, a rate schedule change for at the end of this notice. FirstEnergy Operating Companies and sales of electric energy to Town of American Transmission Systems, Inc. Danvers Electric Division (Danvers). 11. South Glens Falls Energy, LLC This filing is made pursuant to Section 205 of the Federal Power Act. NUSCO states that a copy of this filing [Docket No. ER99–2642–000] has been mailed to Danvers. Take notice that on April 28, 1999, Comment date: May 18, 1999, in accordance with Standard Paragraph E NUSCO requests that the rate South Glens Falls Energy, LLC, tendered at the end of this notice. schedule change become effective on for filing a Summary of Quarterly May 1, 1999. Activity for the calendar year quarter 15. Mid-Continent Area Power Pool ending March 31, 1999, pursuant to Comment date: May 18, 1999, in Section 205 of the Federal Power Act, [Docket No. ER99–2649–000] accordance with Standard Paragraph E 16 U.S.C. § 824d (1985), and Part 35 of at the end of this notice. Take notice that on April 28, 1999, the Commission’s Rules of Practice and the Mid-Continent Area Power Pool 8. Central Power and Light Company Procedure, 18 CFR 35, and in (MAPP), on behalf of its members that West Texas Utilities Company Public accordance with Ordering Paragraph H are subject to Commission jurisdiction Service Company of Oklahoma of the Federal Energy Regulatory as public utilities under Section 201(e) Southwestern Electric Power Company Commission’s March 11, 1999, order in of the Federal Power Act, tendered for Docket No. ER99–1261–000. [Docket No. ER99–2638–000] filing MAPP’s amended Line Loading Comment date: May 18, 1999, in Relief procedure, incorporating Take notice that on April 28, 1999, accordance with Standard Paragraph E procedures to curtail generation to load Central and South West Services, Inc., at the end of this notice. deliveries and amending procedures to as agent for Central Power and Light 12. Northeast Utilities Service Company curtail non-firm point-to-point Company, West Texas Utilities transmission service. Company, Public Service Company of [Docket No. ER99–2643–000] Oklahoma, and Southwestern Electric Take notice that on April 28, 1999, MAPP requests an effective date of Power Company (collectively, the CSW Northeast Utilities Service Company June 1, 1999, with regard to the changes Operating Companies), tendered for (NUSCO), tendered for filing a Service to implement generation to load filing a quarterly report under the CSW Agreement with Morgan Stanley Capital curtailments. Operating Companies’ market-based Group, Inc. (MSCG), under the NU Comment date: May 18, 1999, in sales tariff. The report is for the period System Companies’ System Power accordance with Standard Paragraph E January 1, 1999 through March 31, 1999. Sales/Exchange Tariff No. 6. at the end of this notice.
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16. Niagara Mohawk Power longer operates as a power marketer. DEPARTMENT OF ENERGY Corporation Excell Energy Services, Inc., requests termination of Power Rate Schedule 1. Federal Energy Regulatory [Docket No. ER99–2664–000] Commission Take notice that on April 28, 1999, Comment date: May 18, 1999, in Niagara Mohawk Power Corporation accordance with Standard Paragraph E [Project No. 8083±005] (NMPC), tendered for filing with the at the end of this notice. George and Arminda Briggs; Notice of Federal Energy Regulatory Commission 19. Central Illinois Light Company Availability of Environmental an executed Transmission Service Assessment Agreement between NMPC and the New [Docket No. ER99–2667–000] York Power Authority to serve 2.0 MW Take notice that on April 28, 1999, May 6, 1999. of New York Power Authority power to Central Illinois Light Company (CILCO), In accordance with the National Encore Paper. This Transmission Environmental Policy Act of 1969 and 300 Liberty Street, Peoria, Illinois Service Agreement specifies that the the Federal Energy Regulatory 61602, tendered for filing with the New York Power Authority has signed Commission’s (Commission’s) Commission a revised substitute Index on to and has agreed to the terms and regulations, the Office of Hydropower conditions of NMPC’s Open Access of Point-To-Point Transmission Service Licensing has reviewed the application Transmission Tariff as filed in Docket Customers under its Open Access for the proposed Surrender of No. OA96–194–000. This Tariff, filed Transmission Tariff and a revised Exemption for the Briggs Hydroelectric with FERC on July 9, 1996, will allow service agreement with one customer, Project, located in Fremont County, NMPC and the New York Power Corn Belt Electric Cooperative, Inc. Idaho, and has prepared an Authority to enter into separately CILCO requested an effective date of Environmental Assessment (EA) for the scheduled transactions under which April 1, 1999. proposed action. NMPC will provide transmission service In the EA, the Commission’s staff Copies of the filing were served on the for the New York Power Authority as analyzed the potential environmental affected customer and the Illinois the parties may mutually agree. impacts of the proposed action. The NMPC requests an effective date of Commerce Commission. staff concluded that approval of the April 1, 1999. NMPC has requested Comment date: May 18, 1999, in subject surrender of exemption would waiver of the notice requirements for accordance with Standard Paragraph E not produce any adverse environmental good cause shown. at the end of this notice. impacts; consequently, the proposal NMPC has served copies of the filing would not constitute a major federal upon the New York State Public Service Standard Paragraphs action significantly affecting the quality Commission and the New York Power E. Any person desiring to be heard or of the human environment. Authority. The EA was written by staff in the Comment date: May 18, 1999, in to protest such filing should file a motion to intervene or protest with the Office of Hydropower Licensing, accordance with Standard Paragraph E Federal Energy Regulatory Commission. Federal Energy Regulatory Commission, at the end of this notice. Copies of the EA can be viewed at the 888 First Street, N.E., Washington, D.C. 17. Wisconsin Electric Power Company Commission’s Public Reference Room, 20426, in accordance with Rules 211 Room 2A, 888 First Street, NE, [Docket No. ER99–2665–000] and 214 of the Commission’s Rules of Washington, DC 20426, or by calling Take notice that on April 28, 1999, Practice and Procedure (18 CFR 385.211 (202) 208–1371. The EA also may be Wisconsin Electric Power Company and 385.214). All such motions or viewed on the Web at www.ferc.fed.us/ (Wisconsin Electric ), tendered for filing protests should be filed on or before the online/rims.htm. Call (202) 208–2222 revisions to its market-based rate tariff comment date. Protests will be for assistance. (FERC Electric Tariff, Original Volume considered by the Commission in For further information, please No. 8). The revisions are being made to determining the appropriate action to be contact Jim Haimes at (202) 219–2780. reflect the consummation of the merger taken, but will not serve to make David P. Boergers, involving Wisconsin Electric and protestants parties to the proceeding. Secretary. Edison Sault Electric Company (Edison Any person wishing to become a party [FR Doc. 99–11947 Filed 5–11–99; 8:45 am] Sault), to treat Wisconsin Electric and must file a motion to intervene. Copies BILLING CODE 6717±01±M Edison Sault as operating companies, of these filings are on file with the and apply the code of conduct to Commission and are available for public transactions between them and non- inspection. This filing may also be DEPARTMENT OF ENERGY operating affiliates. viewed on the Internet at http:// Copies of the filing have been served www.ferc.fed.us/ online/rims.htm (call Federal Energy Regulatory on customers under the market-based 202–208–2222 for assistance). Commission rate tariff, the Michigan Public Service Commission, and the Public Service David P. Boergers, [Project No. 2232±364] Commission of Wisconsin. Secretary. Duke Energy Corporation; Notice of Comment date: May 18, 1999, in [FR Doc. 99–11922 Filed 5–11–99; 8:45 am] Availability of Draft Environmental accordance with Standard Paragraph E BILLING CODE 6717±01±P Assessment at the end of this notice. May 6, 1999. 18. Excell Energy Services, Inc. A draft environmental assessment [Docket No. ER99–2666–000] (DEA) is available for public review. Take notice that on April 28, 1999, The DEA analyzes the environmental Excell Energy Services, Inc., tendered impacts of constructing 130 boat slips for filing notice that the company was and a boat access ramp on 3.627 acres dissolved in 1995 and advises that it no of land within the Catawba-Wateree
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Hydroelectric project boundary. Duke staff will conduct a limited site visit at k. Description of Proposed Project: Energy Corporation, licensee for the a few locations between approximate The proposed run-of-river project will project, proposes to lease the land to Mt. mileposts 242 and 243.5 of the proposed consist of a 13-foot-high, 80-foot-wide Isle Harbor Boat Slip Association. The Millennium Pipeline Project. A diversion dam; a penstock consisting of site of the proposed boat slips and ramp memorandum summarizing locations a 1,060-foot-long, 28-inch HDPE pipe; a is in the Paw Creek Township on visited and issues discussed during the 16-foot-by-18-foot powerhouse, Mountain Island Lake in Mecklenburg inspection will be filed in the public containing a 271 kW cross-flow turbine; County, North Carolina. The slips and record for these dockets. and appurtenant facilities. ramp would be constructed to Participants on the site visit will meet When a Declaration of Intention is accommodate residents of Mt. Isle at 8:30 a.m. at: Days Inn, 1000 Front filed with the Federal Energy Regulatory Harbor Subdivision. Street, Binghamton, NY 13905, (607) Commission, the Federal Power Act The DEA was written by staff in the 724–3297. requires the Commission to investigate Office of Hydropower Licensing, For further information, call Paul and determine if the interests of Federal Energy Regulatory Commission. McKee, Office of External Affairs, at interstate or foreign commerce would be Copies of the EA are available for (202) 208–1088. affected by the project. The Commission inspection and reproduction at the David P. Boergers, also determines whether or not the Commission’s Public Reference Room, Secretary project: (1) Would be located on a located at 888 First Street, NE, Room [FR Doc. 99–11932 Filed 5–11–99; 8:45 am] navigable waterway; (2) would occupy 2A, Washington, DC 20426, or by calling or affect public lands or reservations of BILLING CODE 6717±01±M (202) 208–1371. The DEA may be the United States; (3) would utilize viewed on the web at http:// surplus water or water power from a www.ferc.fed.us/online/rims.htm DEPARTMENT OF ENERGY government dam; or (4) if applicable, (please call (202) 208–2222 for has involved or would involve any assistance). Federal Energy Regulatory construction subsequent to 1935 that Please submit any comments on the Commission may have increased or would increase DEA within 30 days from the date of the project’s head or generating this notice. Any comments, conclusions, Notice of Declaration of Intention and capacity, or have otherwise significantly or recommendations that draw upon Soliciting Comments, Motions to modified the project’s pre-1935 design studies, reports, or other working papers Intervene, and Protests or operation. of substance should be supported by l. Locations of the Application: A May 6, 1999. appropriate documentation. Comments copy of the application is available for Take notice that the following should be addressed to: The Secretary, inspection and reproduction at the application has been filed with the Federal Energy Regulatory Commission, Commission’s Public Reference Room, Commission and is available for public 888 First Street NE, Washington, DC located at 888 First Street, NE, Room inspection: 2A, Washington, D.C. 20426, or by 20426. Please affix Project No. 2232–364 a. Applicaton Type: Declaration of to all comments. calling (202) 208–1371. This filing may Intention. be viewed on http://www.ferc.fed.us/ David P. Boergers, b. Docket No: DI99–3–000. Secretary. c. Date Filed: April 2, 1999. online/rims.htm (call (202) 208–2222 for assistance). A copy is also available for [FR Doc. 99–11945 Filed 5–11–99; 8:45 am] d. Applicant: City of Atka, Alaska. inspection and reproduction at the BILLING CODE 6717±01±M e. Name of Project: Chuniisax Creek Hydropower Project. address in item h above. f. Location: On Chuniisax Creek, one- m. Individuals desiring to be included DEPARTMENT OF ENERGY half mile southwest of the old town on the Commission’s mailing list should portion of the City of Atka, 1,100 miles so indicate by writing to the Secretary of Federal Energy Regulatory southwest of Anchorage on Atka Island, the Commission. Commission Alaska, T92S R176W, Seward Meridian. Comments, Protests, or Motions to The proposed project does not utilize Intervene—Anyone may submit [Docket No. CP98±150±000 and CP98±151± comments, a protest, or a motion to 000] federal lands. It will be located on native corporation lands. intervene in accordance with the Millennium Pipeline Company, L.P. and g. Filed Pursuant to: Federal Power requirements of Rules of Practice and Columbia Gas Transmission Act, 16 U.S.C. § 791(a)–825(r). Procedure, 18 CFR 385.210, .211 and Corporation; Notice of Change of h. Applicant Contact: Mrs. Julie Dirks, .214. In determining the appropriate Location for Scoping Meeting and City Administrator, City of Atka, Post action to take, the Commission will Notice of Site Visit Office Box 765, Unalaska, Alaska 99685 consider all protests or other comments (907) 581–6226. filed, but only those who file a motion May 6, 1999. i. FERC Contact: Any questions on to intervene in accordance with the The location for the following draft this notice should be addressed to Commission’s Rules may become a environmental impact statement Henry Ecton at (202) 219–2678, or e- party to the proceeding. Any comments, comment meeting for the Millennium mail address: [email protected]. us. protests, or motions to intervene must Pipeline Project has been changed. The j. Deadline for filing comments and or be received on or before the specified meeting to be held in Yonkers, New motions: June 17, 1999. comment date for the particular York, on Tuesday, May 18, 1999, has All documents (original and eight application. been changed from the Mark Twain copies) should be filed with: David P. Filing and Service of Responsive Junior High School to the following Boergers, Secretary, Federal Energy Documents—Any filings must bear in facility: Yonkers Public Library, 1500 Regulatory Commission, 888 First all capital letters the title Central Park Avenue, Yonkers, New Street, N.E., Washington D.C. 20426. ‘‘COMMENTS’’, York 10710, (914) 337–1500. Please include the docket number ‘‘RECOMMENDATIONS FOR TERMS On Thursday, May 20, 1999, the (DI99–3–000) on any comments or AND CONDITIONS’’, ‘‘PROTESTS’’, or Federal Energy Regulatory Commission motions filed. ‘‘MOTION’’ TO INTERVENE’’, as
VerDate 06-MAY-99 12:38 May 11, 1999 Jkt 183247 PO 00000 Frm 00025 Fmt 4703 Sfmt 4703 E:\FR\FM\A12MY3.132 pfrm07 PsN: 12MYN1 25498 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Notices applicable, and the Project Number of Please include the docket number all capital letters the title the particular application to which the (DI99–4–000) on any comments or ‘‘COMMENTS’’, filing refers. Any of the above-named motions filed. ‘‘RECOMMENDATIONS FOR TERMS documents must be filed by providing k. Description of Project: The existing AND CONDITIONS’’, ‘‘PROTEST’’, OR the original and the number of copies run-of-river project consists of a 248- ‘‘MOTION TO INTERVENE’’, as provided by the Commission’s acre-foot reservoir; a 24-foot-high, 280- applicable, and the Project Number of regulations to: The Secretary at the foot-wide concrete and stone-masonry the particular application to which the above-mentioned address. A copy of any gravity dam, with 1.7-foot-high filing refers. Any of the above-named motion to intervene must also be served flashboards; a 35-foot-long, 45-foot-high documents must be filed by providing upon each representative of the reinforced concrete powerhouse the original and the number of copies Applicant specified in the particular containing two generators rated at 250 provided by the Commission’s application. kW and 125 kW; and appurtenant regulations to: The Secretary at the Agency Comments—Federal, state, facilities. above-mentioned address. A copy of any and local agencies are invited to file When a Declaration of Intention is motion to intervene must also be served comments on the described application. filed with the Federal Energy Regulatory upon each representative of the A copy of the application may be Commission, the Federal Power Act Applicant specified in the particular obtained by agencies directly from the requires the Commission to investigate application. Applicant. If an agency does not file and determine if the interests of Agency Comments—Federal, state, comments within the time specified for interstate or foreign commerce would be and local agencies are invited to file filing comments, it will be presumed to affected by the project. The Commission comments on the described application. have no comments. One copy of an also determines whether or not the A copy of the application may be agency’s comments must also be sent to project: (1) Would be located on a obtained by agencies directly from the the Applicant’s representatives. navigable waterway; (2) would occupy Applicant. If any agency does not file David P. Boergers, or affect public lands or reservations of comments within the time specified for Secretary. the United States; (3) would utilize filing comments, it will be presumed to [FR Doc. 99–11935 Filed 5–11–99; 8:45 am] surplus water or water power from a have no comments. One copy of an government dam; or (4) if applicable, agency’s comments must also be sent to BILLING CODE 6717±01±M has involved or would involve any the Applicant’s representatives. construction subsequent to 1935 that David P. Boergers, DEPARTMENT OF ENERGY may have increased or would increase Secretary. the project’s head or generating [FR Doc. 99–11936 Filed 5–11–99; 8:45 am] capacity, or have otherwise significantly Federal Energy Regulatory BILLING CODE 6717±01±M Commission modified the project’s pre-1935 design or operation. Notice of Declaration of Intention and l. Location of the Application: A copy DEPARTMENT OF ENERGY Soliciting Comments, Motions to of the application is available for Intervene, and Protests inspection and reproduction at the Federal Energy Regulatory Commission’s Public Reference Room, Commission May 6, 1999. located at 888 First Street, NE, Room Take notice that the following 2A, Washington, D.C. 20426, or by Notice of Public Meetings and Site application has been filed with the calling (202) 208–1371. This filing may Visit Commission and is available for public be viewed on http://www.ferc.fed.us/ May 6, 1999. inspection: online/rims.htm (call (202) 208–2222 for Take notice that the following a. Application Type: Declaration of assistance). A copy is also available for hydroelectric application has been filed Intention. inspection and reproduction at the b. Docket No: DI99–4–000. with the Commission and is available c. Date Filed: March 15, 1999. address in item h above. m. Individuals desiring to be included for public inspection: d. Applicant: Bruce Cox. a. Type of Application: New Major on the Commission’s mailing list should e. Name of Project: Cox Lake Hydro License. Project. so indicate by writing to the Secretary of b. Project No.: 1864. f. Location: On Deep River, near Cedar the Commission. c. Date Filed: March 5, 1985. Falls, in Randolph County, North Comments, Protests, or Motions to d. Applicant: Upper Peninsula Power Carolina. The project does not utilitize Intervene—Anyone may submit Company. federal or tribal lands. comments, a protest, or a motion to e. Name of Project: Bond Falls Project. g. Filed Pursuant to: Federal Power intervene in accordance with the f. Location: On the west branches of Act, 16 U.S.C. § 791(a)–825 (r). requirements of Rules of Practice and the Ontonagon River, a tributary of h. Applicant Contact: Mr. Bruce Cox, Procedure, 18 CFR 385.210, .211 and western Lake Superior, in Ontonagon 5666 Hinshaw Town Road, Ramseur, .214. In determining the appropriate and Gogebic Counties, Michigan, and a NC 27316, (336) 879–4267. action to take, the Commission will small portion of Vilas County in i. FERC Contact: Any questions on consider all protests or other comments northern Wisconsin. The project is this notice should be addressed to Etta filed, but only those who file a motion partially located on the Ottawa National Foster at (202) 219–2679, or e-mail to intervene in accordance with the Forest, which is federal land address: [email protected]. Commission’s Rules may become a administered by the U.S. Forest Service. j. Deadline for filing comments and or party to the proceeding. Any comments, g. Filed Pursuant to: Federal Power motions: June 16, 1999. protests, or motions to intervene must Act, 16 U.S.C. 791(a)–825(r). All documents (original and eight be received on or before the specified h. Applicant Contact: Max O. Curtis, copies) should be filed with: David P. comment date for the particular Upper Peninsula Power Company, 600 Boergers, Secretary, Federal Energy application. Lakeshore Drive, P.O. Box 130, Regulatory Commission, 888 First Filing and Service of Responsive Houghton, MI 49931–0130, (906) 487– Street, NE, Washington DC 20426. Documents—Any filings must bear in 5063.
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i. FERC Contact: Frankie Green, e- k. Status of Environmental Analysis: Affairs, Great Northern Paper, Inc., One mail address: [email protected], This application has been accepted for Katahdin Avenue, Millinocket, ME (202) 501–7704. filing and is ready for environmental 04462, (207) 723–2664. j. Parties to this relicensing analysis at this time. i. FERC Contact: Any questions on proceeding recently provided l. Description of Project: The Bond this notice should be addressed to John Commission staff with a draft Offer of Falls project consists of four Costello, E-Mail address, Settlement for this project. The parties developments on the Middle Cisco [email protected], or telephone anticipate finalizing the Offer of (South), and West branches of the (202) 219–2914. Settlement by mid-1999. Commission Ontonagon River. Each project j. Deadline for filing scoping staff and parties to the settlement will development consists of a storage comments: August 3, 1999. host a site visit and two public meetings reservoir or lake, a main dam or dams, All documents (original and eight to discuss the draft Offer of Settlement and appurtenant facilities. The four copies) should be filed with: David P. for the Bond Falls Project. All interested project water bodies are Bond Falls Boergers, Secretary, Federal Energy individuals, organizations, and agencies flowage, Lake Gogebic (Bergland Regulatory Commission, 888 First are invited to attend the site visit and development), Cisco Chair-of-Lakes, and Street, NE, Washington, DC 20426. either of the meetings and discuss any Victoria reservoir. The Bond Falls, The Commission’s Rules of Practice issues or concerns with the draft Offer Bergland, and Sisco Developments and Procedure require all intervenors of Settlement. provide seasonal reservoir storage and filing documents with the Commission The site visit by Commission staff and diverson of the river flow to the Victoria to serve a copy of that document on other interested parties is planned for development, where the flow is used to each person whose name appears on the May 25, 1999, to familiarize staff and generate power. official service list for the project. other parties with elements included in m. Locations of the Application: A Further, if an intervenor files comments the draft offer of Settlement. The visit copy of the application is available for or documents with the Commission will begin at 9:00 AM, EDT, at the inspection and reproduction at the relating to the merits of an issue that Forest Service’s Watersmeet, MI office Commission’s Public Reference Room, may affect the responsibilities of a parking lot. Any one wishing to located at 888 First Street, N.E., Room particular resource agency, they must accompany Commission staff as invited 2A, Washington, D.C. 20426, or by also serve a copy of the document on to attend. calling (202) 208–1371. A copy is also that resource agency. Both meetings will be held on available for inspection and k. Status of environmental analysis: Wednesday, May 26, 1999. The first reproduction at the address in item h This application is not ready for meeting will be held at the Best Western above and may be viewed on the web environmental analysis at this time. Porcupine Mountain Lodge in Silver at http://WWW.ferc.fed.us/online/ l. Description of the Project: The City, MI from 1:00 PM to 4:00 PM, EDT. rims.htm (please call (202) 208–2222 for Storage Project consists of four dams The second meeting will be held at the assistance). and associated storage reservoirs Sylvania Visitor Center in Watersmeet, David P. Boergers, including Canada Falls Lake, MI from 8:00 PM to 11:00 PM, EDT. Secretary. Seboomook Lake, Caucomgomoc Lake, The meetings will be recorded by a [FR Doc. 99–11944 Filed 5–11–99; 8:45 am] and Ragged Lake, located in the West stenographer, and the transcripts will BILLING CODE 6717±01±M Branch of the Penobscot River drainage become part of the Commission’s public basin. There are no hydroelectric record of this proceeding. Anyone generating facilities at the Storage wishing to receive a copy of the DEPARTMENT OF ENERGY Project developments. transcript of the meetings may contact m. Locations of the application: A Ace Federal Reporting Company by Federal Energy Regulatory copy of the application is available for calling (202) 347–3700 or by writing to Commission inspection and reproduction at the 1120 G Street, N.W., Washington, D.C. Commission’s Public Reference Room, 20005. Notice of Scoping Meetings and Site located at 888 First Street, NE, Room Any comments on the draft Offer of Visit and Soliciting Scoping Comments 2A, Washington, DC 20426, or by calling Settlement or any other concerns with May 6, 1999. (202) 208–1371. This filing may be the Bond Falls project should be Take notice that the following viewed on the web at http:// submitted to the Commission no later hydroelectric application has been filed www.ferc.fed.us/online/rims.htm (call than June 18, 1999. with the Commission and is available 202–208–2222 for assistance). A copy is All written comments (original and also available for inspection and eight copies) should be filed with: David for public inspection: a. Type of Application: New Major reproduction at the address shown in P. Boergers, Secretary, Federal Energy License. item h. Regulatory Commission, 888 First b. Project No.: 2634–007. h. Scoping Process: The Commission Street, N.E., Washington, DC 20426. c. Date Filed: April 28, 1998. intends to prepare an Environmental The Commission’s Rules of Practice d. Applicant: Great Northern Paper, Assessment (EA) for the proposed and Procedure require all intervenors Inc. relicensing of the Storage Project (FERC filing documents with the Commission e. Name of Project: Storage Project. No. 2634) in accordance with the to serve a copy of that document on f. Location: The four-reservoir project National Environmental Policy Act. The each person whose name appears on the is located on Ragged Stream, EA will consider both site-specific and official service list for the project. Caucomgomoc Stream, the West Branch, cumulative environmental impacts and Further, if an intervenor files comments and the South Branch of the Penobscot reasonable alternatives to the proposed or documents with the Commission River in Somerset and Piscataquis actions. relating to the merits of an issue that Counties, Maine. may affect the responsibilities of a g. Filed Pursuant to: Federal Power Scoping Meetings particular resource agency, they also Act, 16 U.S.C. §§ 791(a)–825(r). The Commission will hold scoping serve a copy of the document on that h. Applicant Contact: Mr. Brian R. meetings for the Storage Project, one in resource agency. Stetson, Manager, Environmental the daytime and one in the evening, to
VerDate 06-MAY-99 16:05 May 11, 1999 Jkt 183247 PO 00000 Frm 00027 Fmt 4703 Sfmt 4703 E:\FR\FM\12MYN1.XXX pfrm02 PsN: 12MYN1 25500 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Notices help us identify the scope of issues to meeting starts and to identify professionals on a National Roster for be addressed in the EA. themselves clearly for the record. Environmental Dispute Resolution and The daytime scoping meeting will Individuals, organizations, and Consensus-Building Professionals focus on resource agency concerns, agencies with environmental expertise (‘‘roster’’). This information will be while the evening scoping meeting is and concerns are encouraged to attend collected by the U.S. Institute for primarily for public input. All the meetings and to assist the staff in Environmental Conflict Resolution of interested individuals, organizations, defining and clarifying the issues to be the Morris K. Udall Foundation and agencies are invited to attend one addressed in the EA. (‘‘Institute’’). The EPA is funding the or both of the meetings, and to assist the All questions concerning the scoping initial development of the roster which staff in identifying the scope of the process should be directed to John will be managed by the Institute. environmental issues that should be Costello E-mail address, Submittal of an application form is analyzed in the EA. The times and [email protected], or telephone voluntary and not required for ultimate locations of these meetings are as at (202) 219–2914. selection by the government as a neutral follows: David P. Boergers, in any specific case. The application form will collect Daytime Meeting Secretary. [FR Doc. 99–11946 Filed 5–11–99; 8:45 am] information about the experience and Thursday, June 3, 1999, 1:00 p.m., Trail education of professionals engaged in BILLING CODE 6717±01±M Side Restaurant at the Leisure Life assisting disputants in reaching Resort, Leisure Life Resort Road, consensus, agreements or settlements of Greenville, Maine environmental and natural resource ENVIRONMENTAL PROTECTION conflicts. The information needed to Evening Meeting AGENCY complete the roster application is Thursday, June 3, 1999, 7:00 p.m., Trail [FRL±6341±4] generally what would be found on a Side Restaurant at the Leisure Life resume or curriculum vita or provided Resort, Leisure Life Resort Road, Agency Information Collection in reply to a request for proposal. The Greenville, Maine Activities: Submission for OMB form does not collect any confidential To help focus discussions, we will Review; Comment Request; National information. distribute a Scoping Document (SD1) Roster of Environmental Dispute The roster will be used by Federal outlining the subject areas to be Resolution and Consensus Building agencies to identify qualified addressed in the EA to parties on the Professionals individuals with whom to contract for Commission’s mailing list. Copies of the neutral consensus building and dispute AGENCY: Environmental Protection SD1 also will be available at the scoping resolution services. Other parties such Agency (EPA). meetings. as state government agencies, private ACTION: Notice. companies and public interest Site Visit SUMMARY: In compliance with the organizations may use the Roster to The applicant and Commission staff Paperwork Reduction Act (44 U.S.C. identify appropriate qualified will conduct a project site visit on 3501 et seq.), this document announces individuals for cases. Collecting the information on a form Wednesday, June 2, 1999. We will meet that the following Information will standardize the responses received at the public boat launch on Route 16 Collection Request (ICR) has been from numerous applicants into a located approximately 2 miles west of forwarded to the Office of Management computer database which may then be Greenville, Maine at 7 a.m. If you would and Budget (OMB) for review and searched on a number of fields like to attend, please call Ed Speer, approval: The National Roster of important to potential clients of dispute Great Northern Paper, Inc. at (207) 723– Environmental Dispute Resolution and 2698, no later than May 28, 1999. resolution services. Such searchable Consensus Building Professionals, EPA fields would include, among other Objectives ICR No. 1888.01, new collection. The things, geographic location, specialized At the scoping meetings, the staff will: ICR describes the nature of the past experience and skill in languages. (1) summarize the environmental issues information collection and its expected We expect that a computerized database tentatively identified for analysis in the burden and cost; where appropriate, it of experienced neutrals will reduce the EA; (2) solicit from the meeting includes the actual data collection time necessary for Federal agencies to participants all available information, instrument. identify and contract with dispute especially quantifiable data, on the DATES: Comments must be submitted on resolution service providers. resources at issue; (3) encourage or before June 11, 1999. An agency may not conduct or statements from experts and the public FOR FURTHER INFORMATION CONTACT: sponsor, and a person is not required to on issues that should be analyzed in the Sandy Farmer at EPA by phone at (202) respond to, a collection of information EA, including viewpoints in opposition 260–2740, by email at unless it displays a currently valid OMB to, or in support of, the staff’s [email protected], or download a control number. The OMB control preliminary views; (4) determine the copy of the ICR off the Internet at http:/ numbers for EPA’s regulations are listed resource issues to be addressed in the /www.epa.gov/icr and refer to EPA ICR in 40 CFR part 9 and 48 CFR Chapter EA; and (5) identify those issues that No. 1888.01. 15. The Federal Register document require a detailed analysis, as well as SUPPLEMENTARY INFORMATION: required under 5 CFR 1320.8(d), those issues that do not require a Title: National Roster of soliciting comments on this collection detailed analysis. Environmental Dispute Resolution and of information was published on 11/23/ The meetings will be recorded by a Consensus Building Professionals ( EPA 98 (63 FR 64699); 6 comments were stenographer and will become part of ICR No. 1888.01. ). This is a new received. the formal record of the Commission’s collection. Burden Statement: The annual public proceeding on the project. individuals Abstract: This ICR pertains to the reporting and recordkeeping burden for presenting statements at the meetings application form for listing facilitators, this collection of information is will be asked to sign in before the mediators and other similar estimated to average 0.9 hours per
VerDate 06-MAY-99 12:38 May 11, 1999 Jkt 183247 PO 00000 Frm 00028 Fmt 4703 Sfmt 4703 E:\FR\FM\A12MY3.137 pfrm07 PsN: 12MYN1 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Notices 25501 respondent. Burden means the total notice is hereby given that the Science or group making an oral presentation at time, effort, or financial resources Advisory Board’s (SAB) Executive will be limited to a total time of ten expended by persons to generate, Committee (EC) will conduct a public minutes. For teleconference meetings, maintain, retain, or disclose or provide teleconference meeting on Thursday, opportunities for oral comment will information to or for a Federal agency. May 27, 1999, between the hours of usually be limited to no more than three This includes the time needed to review 12:00 noon and 2:00 p.m., Eastern Time. minutes per speaker and no more than instructions; develop, acquire, install, The meeting will be coordinated fifteen minutes total. Written comments and utilize technology and systems for through a conference call connection in (at least 35 copies) received in the SAB the purposes of collecting, validating, Room 3709 of the Waterside Mall, U.S. Staff Office sufficiently prior to a Environmental Protection Agency, 401 and verifying information, processing meeting date (usually one week before and maintaining information, and M Street SW, Washington, DC 20460. the meeting), may be mailed to the disclosing and providing information; The public is welcome to attend the adjust the existing ways to comply with meeting physically or through a relevant SAB committee or any previously applicable instructions telephonic link. Additional instructions subcommittee; comments received too and requirements; train personnel to be about how to participate in the close to the meeting date will normally able to respond to a collection of conference call can be obtained by be provided to the committee at its information; search data sources; calling Ms. Priscilla Tillery-Gadson at meeting, or mailed soon after receipt by complete and review the collection of (202) 260–4126, and via e-mail at: the Agency. information; and transmit or otherwise [email protected] by May 21, Additional information concerning disclose the information. 1999. the Science Advisory Board, its Respondents/Affected Entities: During this meeting the Executive structure, function, and composition, Facilitators, Mediators, including Committee plans to review draft reports may be found on the SAB Website attorney-mediators; Arbitrators; Retired from its Committees. Anticipated drafts (http://www.epa.gov/sab) and in The judges; Other consensus building include: (a) Review of Data from the Annual Report of the Staff Director professionals. Testing of Human Subjects (SAB/SAP Estimated Number of Respondents: which is available from the SAB Joint Subcommittee); (b) Review of the Publications Staff at (202) 260–4126 or 500. Cancer Risk Assessment Guidelines (EC via fax at (202) 260–1889. Frequency of Response: Once, with Subcommittee); (c) Advisory on the voluntary updates. Estimated Total Annual Hour Burden: Charter for Environmental Regulatory Meeting Access Monitoring (EC Subcommittee); (d) 458 hours. Individuals requiring special Estimated Total Annualized Cost Advisory on Addressing Risks from accommodation at this teleconference (non-labor costs) Burden: $ 0. Indoor Radon (Radiation Advisory Send comments on the Agency’s need Committee); (e) Commentary on meeting, including wheelchair access to for this information, the accuracy of the Environmental Risks of Natural Hazards the conference room, should contact Dr. provided burden estimates, and any (Environmental Engineering Barnes at least five business days prior suggested methods for minimizing Committee); and (f) Commentary on the to the meeting so that appropriate respondent burden, including through Need to Address Source Reduction and arrangements can be made. the use of automated collection Control Technology in PM2.5 Research Dated: May 5, 1999. techniques to the following addresses. Plans (Environmental Engineering Donald G. Barnes, Please refer to EPA ICR No. 1888.01 in Committee). It is possible that other any correspondence. draft reports may be available for review Staff Director, Science Advisory Board. Ms. Sandy Farmer, U.S. Environmental at this meeting as well. Please check [FR Doc. 99–12009 Filed 5–11–99; 8:45 am] Protection Agency, Office of Policy, with Ms. Tillery-Gadson prior to the BILLING CODE 6560±50±P Regulatory Information Division meeting to confirm any changes in the (2137), 401 M Street, SW, planned review schedule. Washington, DC 20460; FOR FURTHER INFORMATION: Any member ENVIRONMENTAL PROTECTION and of the public wishing further AGENCY Office of Information and Regulatory information concerning the meeting or Affairs, Office of Management and wishing to submit comments should [OPP±00595; FRL±6076±3] Budget, Attention: Desk Officer for contact Dr. Donald G. Barnes, EPA, 725 17th Street, NW, Designated Federal Officer for the Ecological Committee for FIFRA Risk Washington, DC 20503. Executive Committee, Science Advisory Assessment Methods Scientific Peer Dated: May 6, 1999. Board (1400), U.S. Environmental Input Workshop on Probabilistic Methods Richard T. Westlund, Protection Agency, Washington DC Acting Director, Regulatory Information 20460; telephone (202) 260–4126; FAX AGENCY: Environmental Protection Division. (202) 260–9232; and via e-mail at: Agency (EPA). [FR Doc. 99–12010 Filed 5–11–99; 8:45 am] [email protected]. Copies of the draft reports are available from the same BILLING CODE 6560±50±P ACTION: Notice. source, or from the SAB Website (http:/ /www.epa.gov/sab) at least one week SUMMARY: EPA’s Office of Pesticide ENVIRONMENTAL PROTECTION prior to the meeting. Programs (OPP) will hold a public AGENCY General Information on Providing Oral workshop to review The Ecological [FRL±6341±3] or Written Comments at SAB Meetings Committee for FIFRA Risk Assessment The Science Advisory Board expects Methods’ (ECOFRAM) proposed Science Advisory Board; Notification that public statements presented at its probabilistic tools and methods for of Public Advisory Committee Meeting meetings will not be repetitive of Pursuant to the Federal Advisory previously submitted oral or written Committee Act, Public Law 92–463, statements. In general, each individual
VerDate 06-MAY-99 16:05 May 11, 1999 Jkt 183247 PO 00000 Frm 00029 Fmt 4703 Sfmt 4703 E:\FR\FM\12MYN1.XXX pfrm02 PsN: 12MYN1 25502 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Notices evaluating the impact of pesticides on The workshop will focus on the 3261; facsimile; 202–565–0050. If you aquatic and terrestrial non-target technical reviews by the invited are requesting a paper copy, please organisms. participants. Outside observers provide your name, mailing address, DATES: The Aquatic workshop will be (interested parties who were not part of and the document titles, Extrapolation held on Tuesday, 22 June 1999, from the technical review) will have an of the Benzene Inhalation Unit Risk 8:30 a.m. to 5:00 p.m. and Wednesday, opportunity to comment on scientific Estimate to the Oral Route of Exposure 23 June l999, from 8:00 a.m. to 12:00 and technical issues related to the (NCEA–W–0517) and IRIS Summary for p.m. The Terrestrial workshop will be document after the initial presentations. Benzene. Additional comments may also be made held on Wednesday, 23 June 1999, from Comments may be mailed to the at the closing discussions, after the 1:00 pm to 5:00 p.m. and Thursday, 24 Technical Information Staff (8623D), June 1999, from 8:00 a.m. to 4:00 p.m.. reviewers have discussed the issues raised. OPP plans to discuss the results NCEA–W, U.S. Environmental ADDRESSES: The meeting will be held at: Protection Agency, 401 M Street, S.W., the Old Town Holiday Inn Select, 480 of this peer review workshop and related issues with the Federal Washington, DC 20460, or delivered to King Street (corner of King and Royal the Technical Information Staff at 808 Streets), Alexandria, Virginia 22314. Insecticide, Fungicide, and Rodenticide (FIFRA) Scientific Advisory Panel at a 17th Street, N.W., 5th Floor, FOR FURTHER INFORMATION CONTACT: By later date. Washington, DC 20074; telephone mail: Ingrid Sunzenauer (7507C), or Gail number 202–564–3261; facsimile: 202– Maske (7507C), Office of Pesticide List of Subjects 565–0050. Comments should be in Programs, Environmental Protection writing and must be postmarked by June Environmental protection. Agency, 401 M St., SW., Washington, 11, 1999. Please submit one unbound DC 20460. Telephone numbers and e- Dated: April 19, 1999. original with pages numbered mail addresses are as follows: Ingrid consecutively, and three copies. For Sunzenauer (703) 305–5196, Elizabeth Leovey, attachments, provide an index, number [email protected]; Acting Director, Environmental Fate and pages consecutively with the comments, and Gail Maske (703) 305–5245, Effects Division, Office of Pesticide Programs. and submit an unbound original and [email protected]. [FR Doc. 99–11715 Filed 5–11–99; 8:45 am] three copies. Electronic comments may SUPPLEMENTARY INFORMATION: BILLING CODE 6560±50±F be sent to [email protected]. I. Electronic Availability Please note that all technical comments received in response to this Electronic Availability: Electronic ENVIRONMENTAL PROTECTION notice will be placed in a public record. copies of this document and various AGENCY support documents are available from For that reason, commentors should not [FRL±6341±5] the EPA home page at the Federal submit personal information (such as Register-Environmental Documents medical data or home address), Extrapolation of the Benzene Confidential Business Information, or entry for this document under ‘‘Laws Inhalation Unit Risk Estimate to the and Regulations’’ (http://www.epa.gov/ information protected by copyright. Due Oral Route of Exposure and IRIS to limited resources, acknowledgments fedrgstr/). Summary for Benzene A copy of the prepared ECOFRAM will not be sent. draft reports can be obtained from the AGENCY: Environmental Protection FOR FURTHER INFORMATION CONTACT: For information contacts or electronically Agency. information on the public comment from OPP’s Home Page under Pesticide ACTION: Notice of availability and public period, contact Bob Sonawane (202– Science, Ecological Risk Assessment comment period. 564–3292) or David Bayliss, (202–564– Page, (http://www.epa.gov/oppefed1/ 3294); mailing address: NCEA–W ecorisk/index.htm) after May 20, 1999. SUMMARY: The U. S. Environmental Protection Agency (EPA) is announcing (8623D), U. S. Environmental Protection II. Purpose and Scope of the Scientific a 30-day public comment period to Agency, 401 M. Street, S.W., Workshop review the draft documents entitled, Washington, DC 20460; facsimile: 202– Extrapolation of the Benzene Inhalation 565–0078; e-mail: The purpose of the workshop is to [email protected]. discuss the scientific aspects of the Unit Risk Estimate to the Oral Route of probabilistic tools and methods for Exposure (NCEA–W–0517) and the IRIS SUPPLEMENTARY INFORMATION: The evaluating effects of pesticides to non- [Integrated Risk Information System] National Center for Environmental target species developed by the Summary for Benzene. The documents Assessment-Washington Division, Terrestrial and Aquatic ECOFRAM were prepared by the EPA’s National Office of Research and Development, Workgroups. Peer input reviews and Center for Environmental Assessment- prepared this document on the comments will be presented by an Washington Office (NCEA–W) of the Extrapolation of the Benzene Inhalation invited group of scientists followed by Office of Research and Development. Unit Risk Estimate to the Oral Route of a discussion session with ECOFRAM EPA will use comments and Exposure. This document will serve as workgroup members. These participants recommendations from the public to a source for updating the oral cancer in the workshop will include OPP’s assist in revising the document. unit risk estimate for benzene in the Environmental Fate and Effects DATES: The comment period begins May Integrated Risk Information System Division, EPA’s Office of Research and 12, 1999 and ends June 11, 1999. (IRIS). Development, members of some state ADDRESSES: The documents are Dated: April 29, 1999. governments and academia, and other available on the Internet at http:// stakeholders (some international www.epa.gov/ncea under the What’s Arthur Payne, interested parties). All have prepared New and Publications menus. A limited Acting Director, National Center for reviews of the ECOFRAM’s Draft number of paper copies are available Environmental Assessment. Reports on probabilistic tools and from the Technical Information Staff [FR Doc. 99–12004 Filed 5–11–99; 8:45 am] methods for ecological risk assessment. (8623D), NCEA–W, telephone: 202–564– BILLING CODE 6560±50±P
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ENVIRONMENTAL PROTECTION with a locked gate across the roadway; CERCLA, 42 U.S.C. 9622(i). Comments AGENCY however, the perimeter of the site is not should be sent to the addressee fenced. The Site is bordered by a section identified in this notice. [42 U.S.C. Section 122(i) FRL±6340±8] of the Chicago and Northwestern William E. Muno, Director, Proposed Administrative Agreement Railroad and commercial property to the Superfund Division, U.S. Environmental and Covenant Not To Sue north. The remainder of the Site is Protection Agency, Region 5. bordered by a heavily vegetated field [FR Doc. 99–12008 Filed 5–11–99; 8:45 am] AGENCY: U.S. Environmental Protection and wetlands areas, with the Big Rib BILLING CODE 6560±50±P Agency (U.S. EPA). River located approximately 1⁄4 mile to ACTION: Proposal of Administrative the southwest along the property Agreement and Covenant Not to Sue boundary. A shallow wetlands area is ENVIRONMENTAL PROTECTION Under Section 122(h) of CERCLA for the located approximately 1⁄8 mile AGENCY Murray Machinery, Inc. Superfund Site. southwest of the Site. Murray Machinery, Inc. (‘‘MMI’’) [FRL±6341±1] SUMMARY: U.S. EPA is proposing to operated a foundry at the Site from 1972 Proposed Settlement Under Section execute an Administrative Agreement through 1988, which consisted of the and Covenant Not to Sue (Agreement) ferrous casting of ductile iron, nihard, 122(g) of the Comprehensive under Section 122 of CERCLA for the and hi-chrome metals. Although never Environmental Response, Murray Machinery Superfund Site. licensed as a waste disposal facility, Compensation and Liability Act; Respondent has agreed to pay MMI disposed of lead contaminated Tulalip Landfill Superfund Site $24,028.58 out of total response costs of wastes in a surface impoundment AGENCY: Environmental Protection approximately $2.4 million, and in during its years of operation. MMI is Agency (EPA). return will receive a covenant not to sue now dissolved. Hazardous substances ACTION: Notice of proposed and contribution protection from U.S. within the definition of Section 101(14) administrative settlement and EPA. U.S. EPA today is proposing to of CERCLA, 42 U.S.C. 9601(14), were opportunity for public comment. execute this Agreement because it released into the environment at or from achieves a benefit for the community the Site, posing a risk to human health SUMMARY: The U.S. Environmental where the site is located by encouraging or the environment. Protection Agency (‘‘EPA’’) is proposing the reuse or redevelopment of property In July 1993, the U.S. EPA and the to enter into an administrative at which the fear of Superfund liability Technical Assistance Team (‘‘TAT’’) settlement to resolve claims under the may have been a barrier. The Murray conducted a removal site assessment on Comprehensive Environmental Machinery Site would likely have the surface impoundment at the request Response, Compensation and Liability remained an abandoned lot had U.S. of the Wisconsin Department of Natural Act of 1980, as amended (‘‘CERCLA’’). EPA not entered into this Agreement Resources (‘‘WDNR’’). Concurrently, the Notice is being published to inform the and Covenant Not to Sue with the WDNR conducted a groundwater and public of the proposed settlement and of Prospective Purchasers. Therefore, this area surface water investigation on and the opportunity to comment. The Agreement, although one which does around the MMI property. On October settlement is intended to resolve past not recover a significant amount of past 12, 1994, U.S. EPA and TAT mobilized and estimated future liabilities of one de response costs, does provide for the to the Site to conduct a time critical minimis party for costs incurred, or to reuse and redevelopment of the Site. removal action. As of March 11, 1995, be incurred, by EPA at the Tulalip DATES: Comments on this proposed approximately 13,000 cubic yards of Landfill Superfund Site in Marysville, settlement must be received by June 11, sediment were excavated and 11,500 Washington. 1999. cubic yards were stabilized. On June 30, DATES: Comments must be provided on 1995, U.S. EPA requested an emergency ADDRESSES: A copy of the proposed or before June 11, 1999. exemption from the One Year & $2 Agreement is available for review at ADDRESSES: Comments should be million statutory limit and a ceiling U.S. EPA, Region 5, 77 West Jackson addressed to Docket Clerk, U.S. increase to complete the time critical Boulevard, Chicago, Illinois 60604. Environmental Protection Agency, removal action for the Site. Additional Please contact Ms. Allison S. Gassner at Region 10, ORC–158, 1200 Sixth funding was requested to complete the (312) 886–2250, prior to visiting the Avenue, Seattle, Washington 98101, and necessary removal activities not Region 5 office. should refer to In Re Tulalip Landfill anticipated in the September 12, 1994 Comments on the proposed Superfund Site, Marysville, Action Memorandum. The additional Agreement should be addressed to Washington, U.S. EPA Docket No. 10– funding was needed to stabilize the Allison S. Gassner, Office of Regional 99–0002–CERCLA. remaining 1500 cubic yards of lead Counsel, U.S. EPA, Region 5, 77 West contaminated waste and to place a clay FOR FURTHER INFORMATION CONTACT: Jackson Boulevard (Mail Code C–14J), cap over the stabilized material. Elizabeth McKenna, Office of Regional Chicago, Illinois 60604. In performing response actions at the Counsel (ORC–158), 1200 Sixth Avenue, FOR FURTHER INFORMATION CONTACT: Site, U.S. EPA incurred response costs Seattle, Washington 98101, (206) 553– Allison S. Gassner at (312) 886–2250, of at or in connection with the Site. U.S. 0016. the U.S. EPA, Region 5, Office of EPA incurred approximately $2.4 SUPPLEMENTARY INFORMATION: Regional Counsel. million in conducting the removal In accordance with section 122(i)(1) of SUPPLEMENTARY INFORMATION: The action at the Site. CERCLA, notice is hereby given of a Murray Machinery Site is located at 901 The Settling Parties are purchasers of proposed administrative settlement South 60th Street and is comprised of the property who intend to reuse, concerning the Tulalip Landfill approximately 140 acres. The Site is redevelop, and resell the property. hazardous waste site located on Ebey located in a light commercial area A 30-day period, commencing on the Island between Steamboat Slough and approximately three miles west of date of publication of this notice, is Ebey Slough in the Snohomish River Wausau, Wisconsin. The site is located open for comments on the proposed delta system between Everett and at the end of a semi-secluded dirt road Agreement pursuant to Section 122(i) of Marysville, Washington. The Site was
VerDate 06-MAY-99 12:38 May 11, 1999 Jkt 183247 PO 00000 Frm 00031 Fmt 4703 Sfmt 4703 E:\FR\FM\A12MY3.146 pfrm07 PsN: 12MYN1 25504 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Notices listed on the National Priorities List that selected the final remedial action ENVIRONMENTAL PROTECTION (‘‘NPL’’) on April 25, 1995. 60 FR 20350 for the source and off-source areas. The AGENCY (April 25, 1995). Subject to review by selected final remedy requires [FRL±6340±9] the public pursuant to this document, completion of the cover over the source the agreement has been approved by the area and placement of signs in the off- New Jersey State Prohibition on United States Department of Justice. The source area. The estimated cost of the Marine Discharges of Vessel Sewage; party who has executed the proposed signs is approximately $15,000. Receipt of Petition and Tentative Administrative Order on Consent is Fog- Determination Tite, Inc. The proposed settlement is based on The EPA is entering into this the Final Allocation Report issued by AGENCY: Environmental Protection agreement under the authority of the allocator in the allocation process Agency. sections 122(g), 106 and 107 of conducted for the Site. Fog-Tite was the ACTION: Notice. CERCLA, 42 U.S.C. 9622(g), 9606 and only de minimis party to actively 9607. Section 122(g) authorizes participate in the allocation and the SUMMARY: Notice is hereby given that a settlements with de minimis parties to only de minimis party to accept a petition was received from the State of allow them to resolve their liabilities at settlement based on the allocation New Jersey on April 3, 1998 requesting Superfund sites without incurring report. a determination by the Regional Administrator, Environmental substantial transaction costs. Under this The proposed settlement requires the authority, the agreement proposes to Protection Agency (EPA), pursuant to settling party to pay a fixed sum of settle with a party in the Tulalip section 312(f) of Public Law 92–500, as Landfill case who is responsible for less money based on its volumetric share. amended by Public Law 95–217 and than 0.2% of the volume of hazardous The total amount to be recovered from Public Law 100–4 (the Clean Water Act), substances at the site. the proposed settlement is $2,471. The that adequate facilities for the safe and In February and March 1988, EPA amount paid will be deposited in the sanitary removal and treatment of contractor Ecology & Environment, Inc. Tulalip Landfill Special Account within sewage from all vessels are reasonably (‘‘E&E’’) performed a site inspection of the EPA Hazardous Substances available for the waters of the Navesink the landfill for NPL evaluation. The Superfund to be used for the cover over River, County of Monmouth, State of inspection revealed groundwater the source area at the landfill. Upon full New Jersey. contamination with unacceptably high payment, the settling party will receive This petition was made by the New levels of arsenic, barium, cadmium, a release from further civil or Jersey Department of Environmental chromium, lead, mercury, and silver. administrative liabilities for the Site and Protection (NJDEP) in cooperation with Water samples taken in the wetlands statutory contribution protection under the Navesink Regional Environmental Council. Members of the Council adjacent to the site showed exceedences section 122(g)(5) of CERCLA, 42 U.S.C. include the Borough of Fair Haven, the of marine chronic criteria for cadmium, 9622(g)(5). chromium, and lead, as well as Township of Middletown, the Borough exceedences in marine acute criteria for EPA will receive written comments of Red Bank, the Borough of Rumson, copper, nickel, and zinc. In addition, a relating to this proposed settlement for the Borough of Tinton Falls, the variety of metals were found in on-site a period of thirty (30) days from the date Township of Holmdel, the Township of pools and leachate. The study of this publication. Colts Neck, the Township of Freehold concluded that contamination was The proposed agreement may be and the Township of Marlboro. The migrating off site. On July 29, 1991, EPA obtained from Cindy Colgate, Office of Council worked in conjunction with proposed adding the Tulalip Landfill to Environmental Cleanup (ECL–113), Clean Ocean Action, Marine the NPL, and on April 25, 1995, with 1200 Sixth Avenue, Seattle, Washington Development USA, Inc.; Marine Trade the support of the Governor of the State 98101, (206) 553–1815. The Association of New Jersey, Monmouth County Health Department, Monmouth of Washington and the Tulalip Tribes of Administrative Record for this County Planning Board, New Jersey Washington, EPA published the final settlement may be examined at the Marine Sciences Consortium, New rule adding the Site to the NPL. EPA’s Region 10 office located at 1200 EPA performed a Remedial Jersey Sea Grant Advisory Service, New Investigation (‘‘RI’’) and Feasibility Sixth Avenue, Seattle, Washington Jersey State Police Marine Division, U.S. Study (‘‘FS’’) in two parts pursuant to 98101, by contacting Bob Phillips, Coast Guard Auxiliary and the U.S. an Administrative Order on Consent Superfund Records Manager, Office of Coast Guard. Upon receipt of an with several potentially responsible Environmental Cleanup (ECL–110), affirmative determination in response to parties. The first part evaluated various 1200 Sixth Avenue, Seattle, Washington this petition, NJDEP would completely containment alternatives for the landfill 98101, (206) 553–6699. prohibit the discharge of sewage, source area, which includes Authority: The Comprehensive whether treated or not, from any vessel approximately 147 acres in which waste Environmental Response, Compensation and in Navesink River in accordance with was deposited. The second part Liability Act, as amended, 41 U.S.C. 9601– section 312(f)(3) of the Clean Water Act evaluated the off-source areas, which 9675. and 40 CFR 140.4(a). include the wetlands and tidal channels Jane Moore, The Navesink River, located in central that surround the landfill source area. New Jersey, is part of the Hudson- On March 1, 1996, EPA issued a Acting Regional Administrator, Region 10. Raritan Bay Estuary and drains Record of Decision that selected an [FR Doc. 99–12006 Filed 5–11–99; 8:45 am] approximately 95 square miles of urban/ interim remedial action for the source BILLING CODE 6560±50±P suburban residential development and area. The selected interim remedy agricultural lands. The Navesink River requires installation of an engineered, runs easterly from Red Bank, New Jersey low-permeability cover over the source and then joins the Shrewsbury River area of the landfill, at an estimated cost and empties into Sandy Hook Bay. The of $25.1 million. On September 29, tidal waters of the Navesink River 1998, EPA issued a Record of Decision extend from the Shrewsbury River, near
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Sea Bright, upstream to the Swimming the waters of Navesink River is Matters concerning participation in River Reservoir dam. The Navesink approximately 1,122 vessels. This civil actions or proceedings or River has been identified as a waterbody estimate is based on (1) vessels docked arbitration. of national significance and is part of at marinas and yacht clubs (866 vessels), Internal personnel rules and the New York-New Jersey Harbor (2) vessels docked at non-marina procedures or matters affecting a Estuary Program. The proposed No facilities (227 vessels) and (3) transient particular employee. Discharge Area (NDA) would include all vessels (29 vessels). The vessel DATE & TIME: Thursday, May 20, 1999 at tidal waters of the Navesink River population based on length is 915 10:00 a.m. which extend from the Shrewsbury vessels less than 26 feet in length, 193 PLACE: 999 E Street, N.W., Washington, River, near Sea Bright, upstream to the vessels between 26 feet and 40 feet in D.C. (Ninth Floor). Swimming River Reservoir dam. The length and 14 vessels greater than 40 STATUS: This meeting will be open to the eastern boundary of the NDA is a line feet in length. Based on number and size public. from Lat./Long. 73°58′45′′, 40°22′40′′ to of boats, and using various methods to ° ′ ′′ ° ′ ′′ ITEMS TO BE DISCUSSED: Lat./Long. 73 58 58 , 40 23 04 . The estimate the number of holding tanks, it Correction and Approval of Minutes. western boundary of the NDA is at Lat./ is estimated that one pumpout is needed Advisory Opinion 1999–9: Bill ° ′ ′′ ° ′ ′′ Long. 74 06 48 , 40 19 12 . for the Navesink River. As previously Bradley for President, Inc., by Robert F. Information submitted by the State of stated, five pumpout facilities are Bauer, counsel. New Jersey and the Navesink Regional currently available to service the boating Advisory Opinion 1999–11: Mary Kay Environmental Planning Council states population. Additionally, four marinas Scullion, Counsel for Ms. Dianne that there are five existing pump-out have applied for pumpout grants to Byrum. facilities available to service vessels install a total of five new pumpouts. Proposed Final Rules on Matching which use the Navesink River. Sea Land The EPA hereby makes a tentative Credit Card and Debit Card Marina, located at 261 West Front affirmative determination that adequate Contributions in Presidential Street, Red Bank, operates a portable facilities for the safe and sanitary Campaigns. pumpout. The pumpout is available removal and treatment of sewage from Administrative Matters. from 7:00 a.m. to 5:00 p.m. beginning all vessels are reasonably available for PERSON TO CONTACT FOR INFORMATION: April 15 until October 15 and is the Navesink River in the county of Mr. Ron Harris, Press Officer, operated by the marina staff. A $5.00 fee Monmouth, New Jersey. A final Telephone: (202) 694–1220. is charged for the use of the pumpout. determination on this matter will be Marjorie W. Emmons, Irwin’s Boat Works, located at 1 Marine made following the 30-day period for Park, Red Bank, operates a stationary Secretary of the Commission. public comment and will result in a [FR Doc. 99–12148 Filed 5–10–99; 2:54 pm] pumpout. The pumpout is available New Jersey State prohibition of any BILLING CODE 6715±01±M from 8:00 a.m. to 5:00 p.m. beginning sewage discharges from vessels in May until October 31 and is operated by Navesink River. the marina staff. A fee of $5.00 is Comments and views regarding this charged for the use of the pumpout. Red petition and EPA’s tentative FEDERAL MARITIME COMMISSION Bank Municipal Basin, located at determination may be filed on or before Notice of Agreement(s) Filed Marine Park, Red Bank, operates a June 11, 1999. Comments or requests for stationery pumpout. The pumpout is information or copies of the applicant’s The Commission hereby gives notice available 24 hours a day year round and petition should be addressed to Walter of the filing of the following is self-operated. No fee is charged for E. Andrews, U.S. Environmental agreement(s) under the Shipping Act of use of the pumpout. Fair Haven Yacht Protection Agency, Region II, Water 1984. Interested parties can review or Works, located at 75 DeNormandie Programs Branch, 290 Broadway, 24th obtain copies of agreements at the Avenue, Fair Haven, operates a portable Floor, New York, New York 10007– Washington, DC offices of the pumpout. The pumpout is available 1866. Telephone: (212) 637–3880. Commission, 800 North Capitol Street, from 8:00 a.m. to 5:00 p.m. and is Dated: April 27, 1999. NW, Room 962. Interested parties may operated by the marina staff. A $5.00 fee submit comments on an agreement to William J. Muszynski, is charged for the use of the pumpout. the Secretary, Federal Maritime Molly Pitcher Inn and Marina, located at Acting Regional Administrator, Region 2. Commission, Washington, DC 20573, 88 Riverside Avenue, Red Bank, [FR Doc. 99–12005 Filed 5–11–99; 8:45 am] within 10 days of the date this notice operates a stationary pumpout. The BILLING CODE 6560±50±P appears in the Federal Register pumpout is available upon request for Agreement No.: 202–010168–013. customers of the marina. One facility, Title: New Caribbean Service Rate Sea Land Marina, located in Red Bank FEDERAL ELECTION COMMISSION Agreement. has a restriction which would exclude Parties: Thos. & Jas. Harrison, Ltd., boats greater than 26 feet in length. This Sunshine Act Meeting Compagnie Generale Maritime, Hapag- restriction impacts approximately 18% Lloyd Container Linie GmbH, P&O DATE & TIME: of the vessel fleet and there are three Tuesday, May 18, 1999 at 10:00 a.m. Nedlloyd B.V., Columbus Line. facilities available for their needs. Synopsis: The proposed amendment Vessel waste generated from the PLACE: 999 E Street, N.W., Washington, restates the Agreement and makes pump-out facilities within the proposed D.C. revisions consistent with the Ocean NDA is discharged into municipal sewer STATUS: This meeting will be closed to Shipping Reform Act of 1998 and lines and is conveyed to the Northeast the public. applicable European Union directives. Monmouth Regional Sewage Authority ITEMS TO BE DISCUSSED: The parties request expedited review. (NJPDES Permit No. NJ0024520) at 1 Compliance matters pursuant to 2 Agreement No.: 202–011259–017. Highland Avenue in Monmouth Beach U.S.C. § 437g. Title: United States/Southern Africa for treatment. Audits conducted pursuant to 2 Conference Agreement. According to the State’s petition, the U.S.C. § 437g, § 438(b), and Title 26, Parties: A.P. Moller-Maersk Line maximum daily vessel population for U.S.C. Lykes Lines Limited, LLC
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Mediterranean Shipping Company S.A. Fleetwood Shipping Inc., 5990 North Belt this proceeding is extended to July 6, Safbank Line, Ltd. Wilhelmsen Lines A/ East, Suite 601, Humble, TX 77396, 1999. S (associate member) Officer: Dennis Jay Summers, President, Replies shall consist of an original (Qualifying Individual). and 15 copies, be directed to the Synopsis: The proposed notification Pan Star Express (Chicaog) Corporation, 228 deletes any reference to loyalty Howard Street, Des Plaines, IL 60018, Secretary, Federal Maritime contracts; reduces the notice Officers: Ivy Wang, Chief Financial Commission, Washington, D.C. 20573– requirement for independent action; Officer, Ken Chen, Secretary. 0001, and be served on counsel for permits members to enter into J.F. Hillebrand USA, Inc., 1600 St. Georges Petitioner, Richard D. Gluck, Esq., individual service contracts, to discuss Avenue, Suite 301, Rahway, NJ 07065, Garvey, Schubert & Barer, 1000 Potomac and exchange service contract Officers: Jean-Jacques Francoulon, Street, N.W., Washington, D.C. 20007. information and data, and to adopt President, Dorothee Filbinger-Maier, Copies of the petition are available for voluntary service contract guidelines; Vice President, (Qualifying Individual). examination at the Washington, D.C. Murphy International Corporation d/b/a, office of the Secretary of the and makes other administrative changes Murphy Overseas Corporation, as well as restating the agreement. The International, Transport & Logistics Commission, 800 North Capitol Street, parties request expedited review. Corporation, 249 E. Ocean Blvd., Suite N.W., Room 1046. By Order of the Federal Maritime 400, Long Beach, CA 90802, Officers: Bryant L. VanBrakle, Commission Robert Murphy, President, Drew Secretary. Reynolds, Vice President, Joseph Velez, Dated: May 6, 1999. [FR Doc. 99–11992 Filed 5–11–99; 8:45 am] (Qualifying Individual). Bryant L. VanBrakle, Four Winds International Group, Inc., 1500 BILLING CODE 6730±01±M Secretary. S. W. First Avenue, Suite 850, Portland, [FR Doc. 99–11905 Filed 5–11–99; 8:45 am] OR 87201, Officers: Jerome Rose, BILLING CODE 6730±01±M President, Kevin M. Griffin, Vice DEPARTMENT OF HEALTH AND President, (Qualifying Individual). HUMAN SERVICES Mid West Orient (New York) Ltd., 151 FEDERAL MARITIME COMMISSION Summer Avenue, Kenilworth, NJ 07033, Centers for Disease Control and Officer: Mariko Semba, President, Prevention Ocean Freight Forwarder License (Qualifying Individual). First Air Express, Inc. d/b/a FAE [Program Announcement 99116] Applicants Transportation, Bison Warehouse and Distributing, 11800 Stonehollow Drive, Cooperative Agreement for Applied Notice is hereby given that the Suite 200, Austin, TX 78758, Officers: Research on New Vaccines; Notice of following applicants have filed with the Allen T. Love, President, Lisa D. Counts, Availability of Funds Federal Maritime Commission Vice President, James C. Savage, applications for licenses as Ocean (Qualifying Individual). A. Purpose Freight Forwarder—Ocean Dated: May 7, 1999. The Centers for Disease Control and Transportation Intermediaries pursuant Bryant L. VanBrakle, Prevention (CDC), National to section 19 of the Shipping Act of Secretary. Immunization Program in cooperation 1984 as amended (46 U.S.C. app. 1718 [FR Doc. 99–11929 Filed 5–11–99; 8:45 am] with the Office of Prevention Research, and 46 CFR 515). BILLING CODE 6730±01±M announces the availability of fiscal year Persons knowing of any reason why (FY) 1999 funds for a cooperative any of the following applicants should agreement program for Applied not receive a license are requested to FEDERAL MARITIME COMMISSION Research on New Vaccines. This contact the Office of Freight Forwarders, program addresses the ‘‘Healthy People Federal Maritime Commission, [Petition P3±99] 2000’’ priority area of Immunization and Washington, D.C. 20573. Infectious Diseases. The purpose of the Bittner Shipping, Inc., 6613 Backlick Road, Petition of China Ocean Shipping program is to initiate an extramural Springfield, VA 22150, Officers: Claudio (Group) Company for a Partial applied research program focused on A. Bittner, President, (Qualifying Exemption From the Controlled Carrier new vaccines. Individual), Marta A. Bittner, Secretary/ Act; Extension of Time Treasurer. B. Eligible Applicants Waldo’s Multi-Service, 3462 Golden Gate On April 8, 1999, the Commission Applications may be submitted by Way, Lafayette, CA 94549, Renate H. published notice of the filing of a public and private non-profit and for Omania, Sole Proprietor. petition by China Ocean Shipping Kallista Shipping Corporation, 4345 NW 97th profit organizations and by governments Company (COSCO) seeking a partial and their agencies; that is, universities, Avenue, Miami, FL 33178, Officers: exemption from the controlled carrier Israel Garcia, President, Irene Chizmar, colleges, research institutions, hospitals, (Qualifying Individual). provisions of the Shipping Act of 1984, managed care organizations, other Stephenson International Shipping, Inc., as amended. (64 FR 17181) Replies to public and private nonprofit and profit 16110 Armistead, Odessa, FL 33556, the COSCO petition are due on May 7, organizations, State and local Officer: Robert Stephenson, President, 1999. Sea-Land Service, Inc. and governments or their bona fide agents, (Qualifying Individual). American President Lines, Ltd., seek a and federally recognized Indian tribal Tatsumi Intermodal (U.S.A.), Inc., 19780 90-day extension of the comment governments, Indian tribes, or Indian Pacific Gateway Drive, Torrance, CA period. COSCO opposes the requested tribal organizations. 90502, Officers: Hideki Yoshimura, extension. President, (Qualifying Individual), Due to the press of other business, Note: Public Law 104–65 states that an Kazuhisa Goko, Exec. Vice President. organization described in section 501(c)(4) of All Freight Services International, Inc., 8240 there will be some delay before the the Internal Revenue Code of 1986 that N.W. 52nd Terrace, Suite 518, Miami, FL Commission considers the petition; engages in lobbying activities is not eligible 33166, Officers: Murray Norkin, thus, there appears to be no valid reason to receive Federal funds constituting an President, Elizabeth Garcia, Exec. Vice to deny a reasonable extension. award, grant, cooperative agreement, President, (Qualifying Individual). Accordingly, the date set for replies to contract, loan, or any other form.
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C. Availability of Funds c. Clinical or epidemiologic topics (b) Assist in executing the study: CDC Approximately $725,000 is available about new vaccines expected to be scientists may collaborate as appropriate in FY 1999 to fund 2 to 3 awards. It is licensed for universal use (including in each phase of the study including expected that the average award will conjugate pneumococcal, live influenza design, implementation, analysis, and range from $225,000 to $350,000 to vaccines). For example, there is interest publication. CDC may provide begin on or about September 30, 1999, in assessing correlates of protection for laboratory support, depending on the and will be made for a 12-month budget pneumococcal vaccine and determining project funded and the availability of period within a project period of up to optimal approaches to preventing services. 3 years. Funding estimates may change. pneumococcal infection among high (c) Assist in the development of a Continuation awards within an risk groups such as those with sickle research protocol for Institutional approved project period will be made cell disease. Review Board (IRB) review by all on the basis of satisfactory progress as d. Clinical or epidemiologic topics cooperating institutions participating in evidenced by required reports and the about the diseases prevented by new the research project. availability of funds. vaccines (including disease burden, The CDC IRB will review and approve impact of vaccination, risk factors for the protocol initially and on at least an D. Programmatic Interests disease). For example, there is interest annual basis until the research project is Cooperative agreement applications in defining the impact of pneumococcal completed. for research projects that address vaccine on health care utilization and Application Content clinical, epidemiologic, or health on diagnostic and management practices services delivery questions about new for children with high fever or common Use the information in the Program vaccines are being sought. The focus of respiratory infections. Priorities, Cooperative Activities, Other Requirements, and Evaluation Criteria the cooperative agreement is to 2. Health Services Research eliminate gaps in the available sections to develop the application information about new vaccines or their Health services delivery topics about content. Your application will be use which is impeding the fullest the implementation of new vaccine evaluated on the criteria listed, so it is application of vaccines and their policies and recommendations. important to follow them in laying out maximum impact on disease. Such gaps For example, there is interest in what your program plan. may exist for numerous reasons factors influence providers’ F. Submission and Deadline including the small size of populations implementation of new vaccines, studied in pre-licensure trials, or the including the insurance coverage, Letter of Intent (LOI) lack of diversity in the populations parental out-of-pocket costs, and factors Your letter of intent should identify studied. Applications which propose influencing decisions by purchasers of the announcement number, the research studies whose findings have a health care, insurers of health care, and intended submission deadline, name the high probability of being translated into managed care organizations about principal investigator, and specify the new recommendations for vaccine use coverage for new vaccines. study area addressed by the proposed by national advisory bodies or whose E. Program Requirements project. The letter of intent must be findings are likely to lead to decreases submitted on or before June 15, 1999, to: in vaccine preventable disease In conducting activities to achieve Sharron Orum, Grants Management morbidity or mortality are encouraged. this program, the recipient shall be Specialist, Grants Management Branch, Applications must address a responsible for the activities listed Procurement and Grants Office, programmatic interest area as noted under 1. Recipient Activities, and CDC Announcement 99116, Centers for below. Examples of possible projects are shall be responsible for conducting Disease Control and Prevention (CDC), also given below; these examples are not activities listed under 2. CDC Activities. 2920 Brandywine Road, Room 3000, to be considered as an exhaustive list 1. Recipient Activities Atlanta, GA 30341–4146. but include projects which NIP views as Application merely exemplifying the priority areas. (a) Design the study: Determine the approaches to take in addressing the Submit the original and five copies of 1. Clinical or Epidemiologic Research questions of interest in the study and PHS–398 (OMB Number 0925–0001) a. Clinical or epidemiologic topics develop a study protocol. (adhere to the instructions on the Errata about new vaccines (including varicella, (b) Implement the study protocol: Instruction Sheet for PHS 398) on or rotavirus). Conduct the study according to the before July 15, 1999, to: Sharron Orum, For example, there is programmatic protocol and resolve problems in study Grants Management Specialist, Grants interest in assessing the safety and implementation as they arise. Management Branch, Procurement and immunogenicity of varicella vaccine (c) Analyze data: Plan the analytic Grants Office, Announcement 99116, among asthmatic children and approach to be taken to understand and Centers for Disease Control and determining the best immunization interpret the principal findings from the Prevention (CDC), 2920 Brandywine regimen. Also, there is interest in study. Road, Room 3000, Atlanta, GA 30341– learning more about the safety and (d) Prepare manuscripts and publish 4146. immunogenicity of rotavirus vaccine results: Prepare written manuscript Deadline: Applications shall be among premature infants. describing the main study findings for considered as meeting the deadline if b. Clinical or epidemiologic topics publication in a peer reviewed journal. they are either: about existing vaccines that have the (a) Received on or before the deadline 2. CDC Activities potential to be recommended for date; or (b) Sent on or before the universal use (including hepatitis A). (a) Provide technical and deadline date and received in time for For example, there is programmatic programmatic information: CDC submission to the review process. interest in examining the efficacy of a scientists will provide current scientific (Applicants must request a legibly dated single dose of hepatitis A vaccine in and programmatic information relevant U.S. Postal Service postmark or obtain conferring long lasting protection. to the project. a legibly dated receipt from a
VerDate 06-MAY-99 12:38 May 11, 1999 Jkt 183247 PO 00000 Frm 00035 Fmt 4703 Sfmt 4703 E:\FR\FM\A12MY3.062 pfrm07 PsN: 12MYN1 25508 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Notices commercial carrier or U.S. Postal 10. Adequacy of existing and AR–9 Paperwork Reduction Act Service. Private metered postmarks shall proposed facilities and resources. AR–10 Smoke-Free Workplace not be acceptable as proof of timely 11. Inclusion of Women and Racial Requirements mailing.) and Ethnic Minorities in Research. AR–11 Healthy People 2000 Late Applications: Applications The degree to which the applicant has AR–12 Lobbying Restrictions which do not meet the criteria in (a) or met the CDC Policy requirements (b) above are considered late regarding the inclusion of women, I. Authority and Catalog of Federal applications, will not be considered, ethnic, and racial groups in the Domestic Assistance Number and will be returned to the applicant. proposed research. This includes: This program is authorized under A. The proposed plan for the G. Evaluation Criteria Sections 301 and 307 of the Public inclusion of both sexes and racial and Health Service Act, 42 U.S.C. section Applications that are responsive may ethnic minority populations for 241 and 242l. The Catalog of Federal be subjected to a preliminary evaluation appropriate representation. Domestic Assistance Number is 93.185. (triage) by a peer review group to B. The proposed justification when determine if the application is of representation is limited or absent. J. Where To Obtain Additional sufficient technical and scientific merit C. A statement as to whether the Information to warrant further review; the CDC will design of the study is adequate to This and other CDC announcements withdraw from further consideration measure differences when warranted. may be downloaded from the CDC D. A statement as to whether the applications judged to be Internet homepage—http:// plans for recruitment and outreach for noncompetitive and promptly notify the www.cdc.gov. Click on ‘‘funding.’’ principal investigator/program director study participants include the process To receive additional written and the official signing for the applicant of establishing partnerships with information and to request an organization. Those applications judged community(ies) and recognition of application kit, call 1–888–GRANTS4 to be competitive will be further mutual benefits (1–888–472–6874). You will be asked to evaluated by a dual review process. 12. Human subjects: leave you name and address and will be Awards will be made based on priority The extent to which the application instructed to identify the score and programmatic priorities as adequately addresses the requirements Announcement number of interest. If determined by a secondary review of Title 45 CFR part 46 for the you have questions after reviewing the panel, and the availability of funds. protection of human subjects. contents of all the documents, business The first review will be a peer review The second review will be conducted management technical assistance may on all applications. Factors to be by a secondary review committee of be obtained from: Sharron Orum, Grants considered will include: senior Federal officials. The factors to be considered will include: Management Specialist, Grants 1. The specific aims of the research Management Branch, Procurement and project, i.e. the objectives and the 1. The results of the peer review. 2. Program balance among the two Grants Office, Announcement 99116, hypothesis to be tested. Centers for Disease Control and 2. The background of the proposal, major areas of interest: (a) The clinical and epidemiologic topics surrounding Prevention (CDC), 2920 Brandywine e.g., the basis for the present proposal, Road, Room 3000, Atlanta, GA 30341– a critical evaluation of existing new vaccines and the diseases they prevent, and (b) the health services 4146, Telephone: (770) 488–2716, E- knowledge, and the specific vaccine mail: [email protected] preventable disease knowledge gaps delivery and program implementation For program technical assistance, which the proposal intends to fill. topics. contact: Roger Bernier, PhD, MPH, 3. The significance and originality of 3. Budgetary considerations. Associate Director for Science, National the proposed research. H. Other Requirements Immunization Program, Centers for 4. The progress of preliminary Disease Control and Prevention, 1600 studies, if any, pertinent to the Technical Reporting Requirements Clifton Road, NE, MS–E05, Atlanta, application. Provide CDC with original plus two Georgia, 30333, Telephone: (404) 639– 5. The adequacy of the proposed copies of: 8204, E-mail: [email protected] research design, approaches, and 1. progress reports semiannual; methodology to carry out the research, 2. financial status report, no more Dated: May 6, 1999. including quality assurance procedures than 90 days after the end of the budget John L. Williams, and plans for data management and period; and Director, Procurement and Grants Office, statistical analyses. 3. final financial status and Centers for Disease Control and Prevention 6. The extent to which the research performance reports, no more than 90 (CDC). findings are likely to fill important days after the end of the project period. [FR Doc. 99–11928 Filed 5–11–99; 8:45 am] information gaps about new vaccines Send all reports to the Grants BILLING CODE 4163±18±P and lead to new vaccine preventable Management Specialist identified in the disease policies and recommendations ‘‘Where to Obtain Additional by advisory groups or feasible, cost- Information’’ section of this DEPARTMENT OF HEALTH AND effective interventions. announcement. HUMAN SERVICES 7. Qualifications, adequacy, and The following additional Administration for Children and appropriateness of personnel to requirements are applicable to this Families accomplish the proposed activities. program. For a complete description of 8. The degree of commitment and each, see Attachment I in the Head Start Bureau; Advisory cooperation of other interested parties application kit. Committee on Head Start Research (as evidenced by letters detailing the AR–1 Human Subjects Requirements and Evaluation; Notice of Meeting nature and extent of the involvement). AR–2 Requirements for Inclusion of 9. The reasonableness of the proposed Women and Racial and Ethnic AGENCY: Administration for Children, budget to the proposed research. Minorities in Research Youth and Families, ACF, DHHS.
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ACTION: Notice of meeting; Advisory Dated: May 6, 1999. of automated collection techniques or Committee on Head Start Research and Patricia Montoya, other forms of information technology. Evaluation. Commissioner, Administration on Children, Proposed Project: National Fetal and Youth, and Families. Infant Mortality Review (FIMR) SUMMARY: The 1998 Head Start [FR Doc. 99–12018 Filed 5–11–99; 8:45 am] Program Evaluation—New Reauthorization (42 U.S.C. 9844(g); BILLING CODE 4184±01±M Section 649(g)(1) of the Head Start Act, The Johns Hopkins Women’s and as amended) called on the Secretary of Children’s Health Policy Center, under DEPARTMENT OF HEALTH AND Health and Human Services to form an a cooperative agreement with the HUMAN SERVICES independent panel of experts (i.e., an Maternal and Child Health Bureau (MCHB) of the Health Resources and Advisory Committee) to offer advice Health Resources and Services Services Administration (HRSA) is concerning research designs that would Administration provide a national analysis of the conducting a national evaluation of the impact of Head Start Programs. The June Agency Information Collection Fetal and Infant Mortality Review Program. FIMR is community based, 2–3, 1999 meeting will be the second of Activities: Proposed Collection; aimed at guiding communities to three meetings of the Advisory Comment Request identify and solve problems Committee that will culminate in a In compliance with the requirement contributing to poor reproductive report to the Secretary due October 1, for opportunity for public comment on outcomes and infant health by using the 1999. proposed data collection projects sentinel event of an infant death to DATE AND TIME: June 2, 1999, 9:00 a.m.– (section 3506(c)(2)(A) of Title 44, United systematically examine a wide array of 5:00 p.m. and June 3, 1999, 9:00 a.m.– States Code, as amended by the factors that are related to infant 5:00 p.m. Paperwork Reduction Act of 1995, Pub. mortality. FIMR findings are used to L. 104–13), the Health Resources and stimulate policy development and Place: Holiday Inn Hotel and Suites, Services Administration (HRSA) quality improvement efforts. The 625 First Street, Alexandria, VA 22314. publishes periodic summaries of purpose of this evaluation is to look at SUPPLEMENTARY INFORMATION: This proposed projects being developed for the effect of FIMRs and other meeting is open to the public and is submission to OMB under the community-level perinatal systems Paperwork Reduction Act of 1995. To barrier free. Meeting records will also be initiatives on health systems, with an request more information on the open to the public and will be kept at eye toward characterizing the unique proposed project or to obtain a copy of the Switzer Building located at 330 ‘‘C’’ contributions of the FIMR model and the data collection plans and draft process. Street, SW, Washington, DC 20447. The instruments, call the HRSA Reports The main objectives of the FIMR Head Start Bureau also intends to make Clearance Officer on (301) 443–1891. material related to this meeting evaluation are: (1) To compare the available on the Head Start web site Comments Are Invited on impact of FIMR on the health and http://www2.acf.dhhs.gov/programs/ (a) Whether the proposed collection of related service systems for women, hsb. An interpreter for the deaf and information is necessary for the proper infants, and families with infants with hearing impaired will be available upon performance of the functions of the that of other perinatal systems related advance request by calling Ellsworth agency, including whether the initiatives, and (2) to compare the Associates at 703/821–3090 (Ext. 282). information shall have practical utility; implementation of public health (b) the accuracy of the agency’s estimate functions related to policies, programs, FOR FURTHER INFORMATION CONTACT: of the burden of the proposed collection and practices for women, infants, and Deborah Roderick Stark at 301/889– of information; (c) ways to enhance the families with infants across a number of 0430 for substantive information. ACF quality, utility, and clarity of the community systems initiatives. The Office of Public Affairs at 202/401–9215 information to be collected; and (d) study will utilize three survey for press inquiries. Ellsworth Associates ways to minimize the burden of the instruments for data collection. at 703/821–3090 (ext. 282) for logistical collection of information on The estimated response burden is as information. respondents, including through the use follows:
Responses Survey Number of re- per respond- Total respond- Hours per re- Total burden spondents ent ents sponse hours
FIMR ...... 100 1 100 2 200 Local Health Dept ...... 200 1 200 1.5 300 Perinatal Initiatives ...... 100 1 100 1.75 175
Total ...... 400 ...... 675
Send comments to Susan G. Queen, Dated: May 5, 1999. DEPARTMENT OF HEALTH AND Ph.D., HRSA Reports Clearance Officer, Jane Harrison, HUMAN SERVICES Room 14–33, Parklawn Building, 5600 Director, Division of Policy Review and Fishers Lane, Rockville, MD 20857. Coordination. Office of Inspector General Written comments should be received [FR Doc. 99–11900 Filed 5–11–99; 8:45 am] Program Exclusions: April 1999 within 60 days of this notice. BILLING CODE 4160±15±P AGENCY: Office of Inspector General, HHS.
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ACTION: Notice of program exclusions. Effective Effective Subject City, State date Subject City, State date During the month of April 1999, the HHS Office of Inspector General Hobot, Dennis Preston, Salt Vasisth, Vinod C, Mechanics- imposed exclusions in the cases set Lake City, UT ...... 05/20/1999 burg, PA ...... 05/20/1999 Hoogenboom, Carol, Worth, IL 05/20/1999 Vinter, Gregory, Brooklyn, NY .. 05/20/1999 forth below. When an exclusion is Ivashenko, Alexander, Homdel, Wejrowski, Jeffrey A, Mil- imposed, no program payment is made NJ ...... 05/20/1999 waukee, WI ...... 05/20/1999 to anyone for any items or services Jackson, Willie Edward, Little Williams, Cynthia, Baton (other than an emergency item or Rock, AR ...... 05/20/1999 Rouge, LA ...... 05/20/1999 service not provided in a hospital Keel, Robert L, Huntingdon, PA 05/20/1999 Williams, Linda, Bryan, TX ...... 05/20/1999 emergency room) furnished, ordered or Kelley, Varval Jean, Fresno, Williams, Devin, Waupun, WI ... 05/20/1999 prescribed by an excluded party under CA ...... 05/20/1999 Wilson, Paul W, Vienna, WV .... 05/20/1999 the Medicare, Medicaid, and all Federal Kilburn, Julie Ann, Sheridan, Wilson, Sylvia Merino, Fresno, Health Care programs. In addition, no AR ...... 05/20/1999 CA ...... 05/20/1999 Kim, Hack J, Lancaster, PA ..... 05/20/1999 program payment is made to any Felony Convictions For Kirkpatrick, Shadavia Jamese, Health Care Fraud business or facility, e.g., a hospital, that Morganton, NC ...... 05/20/1999 submits bills for payment for items or Leblanc, Frantz, Ambler, PA .... 05/20/1999 Padilla, Paul Bradley, Kala- services provided by an excluded party. Lewis, Andrew Howard, Los mazoo, MI ...... 5/20/1999 Program beneficiaries remain free to Gatos, CA ...... 05/20/1999 Felony Control Substance decide for themselves whether they will Martinez, Rafael, Texarkana, Convictions continue to use the services of an TX ...... 05/20/1999 Aram, Davar, Chino Hills, CA ... 05/20/1999 excluded party even though no program McCastel, Maryann, Sac- Cochran, Mary K, Caledonia, payments will be made for items and ramento, CA ...... 05/20/1999 OH ...... 05/20/1999 services provided by that excluded McClendon, James Eddie, M V Medical Equipment, Inc, party. The exclusions have national Montgomery, AL ...... 05/20/1999 Miami, FL ...... 02/02/1999 McCoy, Dorothy Mae, Sac- effect and also apply to all Executive Martin, Mirey A M, Miami, FL ... 02/02/1999 ramento, CA ...... 05/20/1999 Reinoso, Ileana, Miami, FL ...... 12/14/1998 Branch procurement and non- McKinney, Laurence T, Loretto, procurement programs and activities. PA ...... 05/20/1999 Patient Abuse/Neglect Mitchell, Ginger, Pearl, MS ...... 05/20/1999 Convictions Subject City, State Effective Moore, Tamie M, St Maries, ID 05/20/1999 Adedapo, Abosede, Baltimore, date Murray, Opis, Markham, IL ...... 05/20/1999 MD ...... 05/20/1999 Nicholson, Michael A, Fort Mill, Amerson, Leta Marie, Flippin, Program-Related Convictions SC ...... 05/20/1999 AR ...... 05/20/1999 Ackerson, Valerie Smith, Sac- Nunez, Pete, Fresno, CA ...... 05/20/1999 Anderson, Amy Rachelle, ramento, CA ...... 05/20/1999 Patkoff, Ronald Lincoln, Moses Lake, WA ...... 05/20/1999 Alcantara, Francisco, Miami, FL 05/20/1999 Mannford, OK ...... 05/20/1999 Ansiello, Lisa, Oakland, CA ...... 05/20/1999 Alos, Elizabeth, Hialeah, FL ..... 05/20/1999 Patrick, Sharon Louise, Fair Berry, Joe Morrison, Stillwater, Arroyo, Angelina, N Highlands, Oaks, CA ...... 05/20/1999 OK ...... 05/20/1999 CA ...... 05/20/1999 Perez, Emma V, Lemoore, CA 05/20/1999 Bonner, Wendy Annette, Hous- Augustine, Karen A, Houston, Perez, Hector, Lemoore, CA .... 05/20/1999 ton, TX ...... 05/20/1999 TX ...... 05/20/1999 Phillips, Florence, Park Ridge, Brock, Kenya, Davis Station, Benavides, Marie P, Bryan, TX 05/20/1999 IL ...... 05/20/1999 SC ...... 05/20/1999 Berg, Walter A, Bedford, VA .... 05/20/1999 Piwowarczyk, Anthony W, Carpenter, Gene Patrick, Ches- Blake, Jeannette, Prescott, AR 05/20/1999 Grayslake, IL ...... 05/20/1999 tertown, MD ...... 05/20/1999 Borzouye, Amir, Old Westbury, Polin, Stanton G, Skokie, IL ..... 05/20/1999 Chaney, Barry, Benton, AR ...... 05/20/1999 NY ...... 05/20/1999 Redmond, Geoffrey P, Cleve- Clay, Stephen, Jackson, MS .... 05/20/1999 Brallier, Samuel, Lake Butler, land, OH ...... 05/20/1999 David, Bonnilyn Mae, North FL ...... 05/20/1999 Reese, Tommy, Haughton, LA 05/20/1999 Rose, NY ...... 05/20/1999 Burnette, John Barry, Bullhead Riedy, Stephanie, Lebanon, Echols, Clayton, Albuquerque, City, AZ ...... 05/20/1999 MO ...... 05/20/1999 NM ...... 05/20/1999 Cabrera, Rogelio, Miami, FL .... 05/20/1999 Savage, George Jacob Jr, Fitzgerald, Diane Elaine, Enid, Cavazos, Anthony James, Har- Cape Charles, VA ...... 05/20/1999 OK ...... 05/20/1999 lingen, TX ...... 05/20/1999 Schiefelbein, Arthur J, Dear- Ford, Gerrick Paul, Morrow, LA 05/20/1999 Collier, B David, Wauwatosa, born Hgts, MI ...... 05/20/1999 Garlock, Clark Steven, Fortuna, WI ...... 05/20/1999 Shaktah, Thaer, Oak Lawn, IL 05/20/1999 CA ...... 05/20/1999 Devera, Lorenzo V, Tarzana, Shaktah, Hanan, Oak Lawn, IL 05/20/1999 Goldberg, TINA, Westerly, RI ... 05/20/1999 CA ...... 05/20/1999 Sharma, Chandra D, White Hicks, Shamodia P, FT Worth, Dorojen, Inc, Yardley, PA ...... 05/20/1999 Deer, PA ...... 05/20/1999 TX ...... 05/20/1999 Dura, Narin, Norco, CA ...... 05/20/1999 Sharma, Subodh C, White Hodges, James Sr, Holden, LA 05/20/1999 Garcia, Nestor, Coleman, FL ... 05/20/1999 Deer, PA ...... 05/20/1999 Ikard, Sandra, Natchez, MS ..... 05/20/1999 Gleen, Paula D, Bennettsville, Sharma, Sushil C, Mont- Johnson, Earnestine, Monti- SC ...... 05/20/1999 gomery, PA ...... 05/20/1999 cello, MS ...... 05/20/1999 Gonzalez, Lilia Dejesus, Miami, Smith, Virlee, Dumas, AR ...... 05/20/1999 Johnson, Minnie Ola, Enid, OK 05/20/1999 FL ...... 05/20/1999 Smith, Evelyn Marie Henry, Joyce, Stephanie J, Choctaw, Goodrow, Andrew, Biloxi, MS .. 05/20/1999 Magnolia, AR ...... 05/20/1999 OK ...... 05/20/1999 Gray, Floyd, Monroe, LA ...... 05/20/1999 Stefonek, Barbara E, Elm Lewis, Sebastian, Philadelphia, Guardian Angel Home Health, Grove, WI ...... 05/20/1999 MS ...... 05/20/1999 Bryan, TX ...... 05/20/1999 Taylor, Susan C, Cranston, RI 05/20/1999 Lewis, Kristin R, Mineral Ridge, Hayes, Terrence Robert, San Tregubov, Alexander, OH ...... 05/20/1999 Antonio, TX ...... 05/20/1999 Churchville, PA ...... 05/20/1999 Little, Grace Ifeoma Okafor, Hirakawa, Ricky Kunito, Pearl Tum, Wichniya, Long Beach, Universal City, TX ...... 05/20/1999 City, HI ...... 05/20/1999 CA ...... 05/20/1999 Moore, Pearlie Mae, Heflin, LA 05/20/1999
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Effective Effective Effective Subject City, State date Subject City, State date Subject City, State date
Oybagde, Solomon, Houston, Bruno, Thomas A., Troy, MI ..... 05/20/1999 Harrison, Rhonda L., Decatur, TX ...... 05/20/1999 Brunskill, Judith Ann, Plymouth, IL ...... 05/20/1999 Pierce, Deanna, Brady, TX ...... 05/20/1999 MN ...... 05/20/1999 Hegarty, Dewitt L., Garfield, Prince, Edward A, Columbia, Bryington, Gary L., Drums, PA 05/20/1999 WA ...... 05/20/1999 SC ...... 05/20/1999 Budden, Wendy, Brockton, MA 05/20/1999 Helmueller, Sheila Rebecca, Pugh, Lois Jean, Honesdale, Burton, Susan F., Palmyra, VA 05/20/1999 Red Wing, MN ...... 05/20/1999 PA ...... 05/20/1999 Calon, Antonino H., Havre De Herdingham, David, Berwick, Salwen, Geraldine Marcia, Grace, MD ...... 05/20/1999 ME ...... 05/20/1999 Loveland, CO ...... 05/20/1999 Carter, Lonnie D., Buffalo, NY 05/20/1999 Hicks, Willie Howard Jr., ...... 05/20/1999 Sattiewhite, Barbara J, San An- Cervone, Jeanne, Pittsburgh, Laurel, DE tonio, TX ...... 05/20/1999 PA ...... 05/20/1999 Hoffman, Annette, Chicago, IL 05/20/1999 Schmitt, William Ryan, Salt Chandler, Susan E., Newport Holden, Janyce, Glastonbury, Lake City, UT ...... 05/20/1999 News, VA ...... 05/20/1999 CT ...... 05/20/1999 Shine, Tekisha Denise, Homer, Christine, Brigitte, Springfield, Homish, Jerome D, Toledo, OH 05/20/1999 LA ...... 05/20/1999 IL ...... 05/20/1999 Huttinger, Carol Ann, Hanover, Sims, Jesse Lee, Fort Worth, Clark, Maryellen P., Philadel- PA ...... 05/20/1999 TX ...... 05/20/1999 phia, PA ...... 05/20/1999 Jackson, Sharena Lisette, Vasser, Brack Lamont, Clay, Deborah L., Greenwood, Hampton, VA ...... 05/20/1999 Marksville, LA ...... 05/20/1999 MS ...... 05/20/1999 Jagnandan, Norris Rajkumar, Victorian, Rachel M, Orange, Cochran, Heather L., Philadel- Jackson, MS ...... 05/20/1999 TX ...... 05/20/1999 phia, PA ...... 05/20/1999 Jennison, Nicole, Johnson, VT 05/20/1999 Walker, Rosella, Starkville, MS 05/20/1999 Comolli, Mary Ellen, Westerly, John, Neal G Jr, W Liberty, WV 05/20/1999 Walker, Tonya, Temple Hills, RI ...... 05/20/1999 Johnson, Judy Kelso, Green- MD ...... 05/20/1999 Comparetto, Kimberly, N. back, TN ...... 05/20/1999 Walters, Pam W, Tooele, UT ... 05/20/1999 Yarmouth, ME ...... 05/20/1999 Jones, William K, Williamsburg, Wetzel, James Elmer, Monroe- Cook, Anita Kay, Minneapolis, VA ...... 05/20/1999 ville, PA ...... 05/20/1999 MN ...... 05/20/1999 Joseph, Lloyd, Berkely, CA ...... 05/20/1999 Keiser, Celeste Marie, Min- Williams, Bernard Keith, Pine- Coulter, Sonra, Hampton, VA ... 05/20/1999 ville, LA ...... 05/20/1999 neapolis, MN ...... 05/20/1999 DeForge, Deborah A., Kilton, Shannon K, Enfield, NH 05/20/1999 Conviction for Health Care Graniteville, VT ...... 05/20/1999 Kuhn, Charles, Peoria, IL ...... 05/20/1999 Fraud Deleon, Morena, Alexandria, Lachica, Romulo F, Berrien VA ...... 05/20/1999 Andrews, Cannette Mealing, Springs, MI ...... 05/20/1999 Derboven, Paul, Springvale, Edgefield, SC ...... 05/20/1999 Laubhan, Paul R, Chicago, IL .. 05/20/1999 ME ...... 05/20/1999 La Motta, Charles, Scarsdale, Lezotte, James P, Philadelphia, Distelhorst, Ronald Arthur, NY ...... 05/20/1999 PA ...... 05/20/1999 Washington, Carolyn, N Schaumburg, IL ...... 05/20/1999 Manke, Janet, Chesapeake, VA 05/20/1999 Charleston, SC ...... 05/20/1999 Donahue, David, Norfolk, VA ... 05/20/1999 Marshall, Mary Ellen, Whitney, Draper, Carmonia, Stratford, Controlled Substance TX ...... 05/20/1999 CT ...... 05/20/1999 Convictions McElyea, Barry A, Roanoke, Dunblazier, Craig K., Clinton, Kouns, George, Gardendale, IL 05/20/1999 VA ...... 05/20/1999 TN ...... 05/20/1999 Mendoza, Susan M, Man- Wells, Gregory Darrell, Ash- Duncan, Phyllis A. King, land, KY ...... 05/20/1999 chester, NH ...... 05/20/1999 Abingdon, VA ...... 05/20/1999 Milam, Leslie, Columbus, MS ... 05/20/1999 License Revocation/ Eastin, Virginia A., Burlington, Monson, David, Brainerd, MN .. 05/20/1999 Suspension/Surrendered IA ...... 05/20/1999 Moody, Christina Y, Chicago, IL 05/20/1999 Afton, Carol, Brookville, PA ...... 05/20/1999 Fisher, Robert, Frankfort, KY ... 05/20/1999 Morgan, Madeline M, Chicago, Allen, Colleen, Branford, CT .... 05/20/1999 Flury, Rachel A., Emigsville, PA 05/20/1999 IL ...... 05/20/1999 Allison, Ralph B., Los Osos, Foley, Kelly A., Brattleboro, VT 05/20/1999 Morrison, Nina Macklin, Rich- CA ...... 05/20/1999 Freundt, Susan Silvonek, mond, VA ...... 05/20/1999 Anastasoff, John William, Lake Lehighton, PA ...... 05/20/1999 Namey, John T Jr, Jefferson, Havasu City, AZ ...... 05/20/1999 Futterman, Steven, Gaithers- OH ...... 05/20/1999 Anderson, Hilary L., New Bern, burg, MD ...... 05/20/1999 Neri, Roland, Colchester, VT ... 05/20/1999 NC ...... 05/20/1999 Gallagher, John J., Philadel- Olson, Richard D, New Prague, Anderson, Debra Jean, Colum- phia, PA ...... 05/20/1999 MN ...... 05/20/1999 bia Hgts, MN ...... 05/20/1999 Garrett, Diane Smith, Kossuth, Oneby, Merna M Cochran, W Archambault, Nichole, Dighton, MS ...... 05/20/1999 Los Angeles, CA ...... 05/20/1999 MA ...... 05/20/1999 Gavlik, Jeffrey P., Harrisville, RI 05/20/1999 Owens, Sharon A, Haysi, VA ... 05/20/1999 Ardalan, Dorothea C., Fairfax, Gennuso, Kathleen W., Cecil, Page, Mary Elizabeth, Saxtons VA ...... 05/20/1999 PA ...... 05/20/1999 River, VT ...... 05/20/1999 Baiter, Sheri Ann, Chicago, IL .. 05/20/1999 Goodman, Donald A., Bala Palacioz, Lori Jarvis, Virginia Baron, Alfred Jr., Moosic, PA ... 05/20/1999 Cynnwyd, PA ...... 05/20/1999 Beach, VA ...... 05/20/1999 Barsztaitis, Renee B., Ottawa, Graham, Vicki D., Cheraw, SC 05/20/1999 Paskey, Diane Kay, Fairmont, IL ...... 05/20/1999 Grant, Miranda L., Windsor, VT 05/20/1999 MN ...... 05/20/1999 Basile, Jeanne, Cheshire, CT .. 05/20/1999 Gravat, James E., Alexandria, Pasquariello, Anthony, Wash- Bazan, Pamela, Marion, IL ...... 05/20/1999 VA ...... 05/20/1999 ington, PA ...... 05/20/1999 Beualieu, Pamela, Woodbridge, Green, Howard Benson, Chi- Passias, James N, Westerville, VA ...... 05/20/1999 cago, IL ...... 05/20/1999 OH ...... 05/20/1999 Bobo, James, Robbins, IL ...... 05/20/1999 Hagiwara, Edeltraud, Lomita, Peoples, Robert William, Man- Brehm, Denise Ames, Lees- CA ...... 05/20/1999 hattan Bch, CA ...... 05/20/1999 burg, VA ...... 05/20/1999 Hale, Beth, Barton, VT ...... 05/20/1999 Ramsey, John C, Houston, TX 05/20/1999 Brown, Leeanna J., Pearisburg, Hanson, Nicolette C., Fairview Rednour, Lois Ann, Marshall, VA ...... 05/20/1999 Park, OH ...... 05/20/1999 MN ...... 05/20/1999
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DEPARTMENT OF HOUSING AND Subject City, State Effective Subject City, State Effective date date URBAN DEVELOPMENT Remy, Eddy, Providence, RI .... 05/20/1999 Holmes, James E, Benton, KY 05/20/1999 Office of the Secretary Repice, Joseph P, Winona, MN 05/20/1999 Kaplan, Joel, Chicago, IL ...... 05/20/1999 Ripley, Lisa R, Claremont, NH 05/20/1999 Navazio, David, Yardley, PA .... 05/20/1999 [Docket No. FR±4480±D±01] Robinson, Kent E, Soulsbyville, Proulx, Tanya Kaye, Tucson, CA ...... 05/20/1999 AZ ...... 12/15/1998 Delegation of Authority Roders, Mark K, Akron, OH ..... 05/20/1999 Southern United Home Med AGENCY: Roy, Samir, Albuquerque, NM 05/20/1999 Equip, Poplarville, MS ...... 02/07/1999 Office of the Secretary, HUD. Samila, Kathleen A, Wash- Tomorrow Medical Center, Inc., ACTION: Notice of delegation of ington, PA ...... 05/20/1999 Miami, FL ...... 02/02/1999 authority. Samuel, Sherry A, Brentwood, Vina, Mildrey C, Miami, FL ...... 02/02/1999 NH ...... 05/20/1999 SUMMARY: This Notice delegates to the Santi, Ana Maria, Forest hills, Owned/Controlled by Assistant Secretary for Community Convicted/Excluded NY ...... 05/20/1999 Planning and Development the Sawyer, David Hamilton, St Bartlett Chiropractic Medical, Secretary of Housing and Urban Cloud, MN ...... 05/20/1999 Redlands, CA ...... 05/20/1999 Scott, Kathleen, Burlington, VT 05/20/1999 Cares, Inc., Miami, FL ...... 05/20/1999 Development’s authority to award Rural Sidler, Leonard O, High Point, Davisson Chiropractic, Napa, Housing and Economic Development NC ...... 05/20/1999 CA ...... 05/20/1999 grants, pursuant to the Departments of Silvey, Louzanie Portis, E & D Medical Center, Corp., Veterans Affairs and Housing and Urban Culpeper, VA ...... 05/20/1999 Miami, FL ...... 05/20/1999 Development and Independent Agencies Slade, Kelly Jo, Hattiesburg, Heineken Chiropractic, San Appropriations Act, 1999 (Pub. L. 105– MS ...... 05/20/1999 Clemente, CA ...... 05/20/1999 276, 112 Stat. 2475; October 21, 1998) Smith, Trina R, Butler, PA ...... 05/20/1999 Jerold R Ford Chiropractic, Mo- and succeeding appropriations. Sock, Harold P, Framingham, desto, CA ...... 05/20/1999 MA ...... 05/20/1999 King Chiropractic, Apache EFFECTIVE DATE: May 5, 1999. Solomon, Steven J, Virginia Junction, AZ ...... 05/20/1999 FOR FURTHER INFORMATION CONTACT: Beach, VA ...... 05/20/1999 Kraye Care, Inc., Texarkana, Michael T. Savage, Deputy Director, Spradlin, Jennie B, Morrisville, TX ...... 05/20/1999 Office of Economic Development and VT ...... 05/20/1999 Lamb Chiropractic, Sebastopol, Empowerment Service, Office of Stephenson, Howard Lynn, Pic- CA ...... 05/20/1999 ayune, MS ...... 05/20/1999 Community Planning and Development, Main Street Dental Associates, Department of Housing and Urban Stevens, Ruth Illeanna, Shady Farmington, CT ...... 05/20/1999 Grove, PA ...... 05/20/1999 P D Nunez, D D S, Inc., Fres- Development, Room 7136, 451 Seventh Strobbe, Richard Dean, York, no, CA ...... 05/20/1999 Street, SW, Washington, DC 29410– PA ...... 05/20/1999 Sheri Lahaie Chiropractic, 0400, Telephone Number (202) 708– Terpening, Aloma Elaine Scott, Menlo Park, CA ...... 05/20/1999 2290. Persons with hearing or speech Max Meadows, VA ...... 05/20/1999 Taylorsville Chiropractic, Tay- impediments may also utilize HUD’s Thompson, Keith M, Pawtucket, lorsville, UT ...... 05/20/1999 TTY Number at (202) 708–1455 or the RI ...... 05/20/1999 Ultimate Urban Transport, Mil- Thornhill, Roy Charles, Mem- Federal Information Relay Service’s waukee, WI ...... 05/20/1999 TTY Number at (800) 877–8339. Aside phis, TN ...... 05/20/1999 William T Bunting Chiropractic, Tobin, Donna Jean, Burnsville, from the ‘‘800’’ number, the telephone Encinitas, CA ...... 05/20/1999 MN ...... 05/20/1999 and TTY numbers listed are not toll- Vanzant, Deborah, Clarksdale, Default on Heal Loan free. MS ...... 05/20/1999 Beasley, Mary E, Atlanta, GA .. 05/20/1999 SUPPLEMENTARY INFORMATION: The Varnado, Brenda J, Natchez, Dix, David O, Los Angeles, CA 05/20/1999 MS ...... 05/20/1999 Departments of Veterans Affairs and Herrera, Diego F, Long Island Housing and Urban Development and Waltman, Loretta H, Natchez, City, NY ...... 05/20/1999 MS ...... 05/20/1999 Jonas, Shawn G, Kent, WA ..... 05/20/1999 Independent Agencies Appropriations Ward, David C, Willoughby, OH 05/20/1999 Kaufman, Todd Steven, Mill Act, 1999 (Pub. L. 105–276, 112 Stat. West, Elizabeth A, Bethlehem, Valley, CA ...... 05/20/1999 2475; October 21, 1998) authorizes the NH ...... 05/20/1999 Lazo, Julie M, Los Angeles, CA 05/20/1999 Secretary of Housing and Urban Williams, Patricia, Worcester, Little, Deidre J, Solana Beach, Development to make grants to various MA ...... 05/20/1999 CA ...... 05/20/1999 entities to enhance the capacity of rural Wolf, Diane K, Hanover, PA ..... 05/20/1999 Lottie, Mark E, Covina, CA ...... 05/20/1999 areas to implement housing and Woodard, Rae, Pike, NH ...... 05/20/1999 Marin, Rita F, Miami, FL ...... 05/20/1999 Worley, Katherine Lynn, St economic development programs and Phillips, Joseph P, Gilbertsville, innovative grant programs. These grants Louis Park, MN ...... 05/20/1999 KY ...... 05/20/1999 Wright, Tonya Billbe, White Smalley, Daniel R, Wellston, MI 04/13/1999 are to be awarded by June 1, 1999. Plains, VA ...... 05/20/1999 Sutliff, James F, N Syracus, NY 03/23/1999 The following three categories of Zeigler, Eunice C, Richmond, Vitow, Barry D, Boca Raton, FL 05/20/1999 funding are authorized: (1) Capacity VA ...... 05/20/1999 Wampler, Ward E II, Bir- building grants; (2) Innovative grants Zelig, Harry, Crescent City, CA 05/20/1999 mingham, AL ...... 05/20/1999 and (3) Seed money grants. Indian Quality of Care Violations Young, Candace A, Encinitas, tribes, rural non-profits and Community Ocampo, Benjamin P, Kis- CA ...... 05/20/1999 Development Corporations are eligible simmee, FL ...... 04/20/1999 to apply for all three categories of Dated: May 3, 1999. Fraud/Kickbacks grants. State housing finance agencies Joanne Lanahan, AGL Lab Corp, Miami, FL ...... 12/14/1998 and State community and/or economic Curbelo, Arnaldo, Miami Lakes, Director, Health Care Administrative development agencies are eligible to FL ...... 12/02/1998 Sanctions, Office of Inspector General. apply only for Innovative grants. Gilbert, James P, Pocahontas, [FR Doc. 99–11908 Filed 5–11–99; 8:45 am] As part of the Department of Housing AR ...... 02/07/1999 BILLING CODE 4150±04±P and Urban Development’s competitive
VerDate 06-MAY-99 12:38 May 11, 1999 Jkt 183247 PO 00000 Frm 00040 Fmt 4703 Sfmt 4703 E:\FR\FM\A12MY3.020 pfrm07 PsN: 12MYN1 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Notices 25513 grants process, a Notice of Funding DEPARTMENT OF THE INTERIOR SUPPLEMENTARY INFORMATION: Section 9 Availability (NOFA) for the Rural of the Endangered Species Act and Housing and Economic Development Fish and Wildlife Service Federal regulation prohibit the take of Program was published in the Federal wildlife species listed as endangered or Notice of Decision and Availability of Register on March 8, 1999, at 64 FR Decision Documents on the Issuance threatened, respectively. Under the Act, 11246. Grant awards will be made in of Permits for Incidental Take of the term ‘‘take’’ means to harass, harm, accordance with the selection factors set Threatened and Endangered Species pursue, hunt, shoot, wound, kill, trap, forth in the NOFA. capture, or collect listed wildlife, or to AGENCY: Fish and Wildlife Service, Accordingly, the Secretary delegates attempt to engage in any such conduct. Interior. authority as follows: The Service may, under limited ACTION: Notice. circumstances, issue permits to Section A. Authority Delegated authorize take that is incidental to, and SUMMARY: Between June 2, 1998, and not the purpose of, carrying out an The Secretary of Housing and Urban March 10, 1999, Region 1 of the Fish otherwise lawful activity. Regulations Development delegates to the Assistant and Wildlife Service issued 13 permits governing permits for threatened and Secretary for Community Planning and for incidental take of threatened and endangered species are found in 50 CFR Development the authority to award endangered species, pursuant to section 17.32 and 17.22. Rural Housing and Economic 10(a)(1)(B) of the Endangered Species Development grants, pursuant to the Act of 1973, as amended. Of the 13 Incidental Take Permits Issued Departments of Veterans Affairs and permits issued, 4 are associated with Pursuant to the Central/Coastal Plan Housing and Urban Development and implementation of the regional Orange County Central/Coastal Natural Independent Agencies Appropriations The Central/Coastal Plan fully Community Conservation Plan/Habitat Act, 1999 (Pub. L. 105–276, 112 Stat. anticipated that jurisdictions within the Conservation Plan (Central/Coastal plan boundaries would sign the plan’s 2475; October 21, 1998) and succeeding Plan). On February 2, 1998, we also appropriations. Implementing Agreement as signed an assumption agreement for a Participating Jurisdictions following Section B. Authority Excepted previously issued permit (PRT–810191) approval of the plan and subsequently that changed the location of be issued an Incidental Take Permit. The authority delegated under Section incorporation by the permittee. Copies Provided that no plan revisions or A does not include the power to sue or of this assumption agreement, and the additional impacts were determined to be sued. 13 permits and associated decision documents are available upon request. be associated with permit issuance, no Authority: Section 7(d), Department of revision to the Service’s permit decision ADDRESSES: If you would like copies of Housing and Urban Development Act, 42 documents for the Central/Coastal Plan U.S.C. 3535(d). any of the above documents, please contact the Fish and Wildlife Service would be necessary. The Service Dated: May 5, 1999. Reference Service, 5430 Grosvenor determined that no plan revisions or Andrew Cuomo, Lane, Suite 110, Bethesda, Maryland additional impacts were associated with Secretary of Housing and Urban 20814, telephone (800) 582–3421; or the issuance of the following permits Development. Fish and Wildlife Service, Division of pursuant to the Central/Coastal Plan. [FR Doc. 99–11972 Filed 5–11–99; 8:45 am] Consultation and Conservation Copies of these permits and associated BILLING CODE 4210±32±M Planning, 911 NE 11th Avenue, 4th decision documents are available upon Floor East, Portland, Oregon 97232. request. Decision documents for each FOR FURTHER INFORMATION CONTACT: Jim permit include Findings and Browning, Fish and Wildlife Biologist, Recommendations, a Biological at the above Portland, Oregon, address; Opinion, and the Record of Decision for telephone (503) 231–6241. the Central/Coastal Plan.
Name of permittee Permit No. Issuance date
City of Mission Viejo ...... TE 005092±0 ...... 11/20/98 City of Irvine ...... TE 005089±0 ...... 11/20/98 City of Lake Forest ...... TE 005791±0 ...... 12/21/98 City of Orange ...... TE 006661±0 ...... 01/08/99
Incidental Take Permits Not Associated good faith; all permit issuance criteria Copies of these permits and With the Central/Coastal Plan were met, including the requirement associated decision documents are that granting the permit will not available upon request. Decision Between June 2, 1998, and March 10, jeopardize the continued existence of documents for each permit include 1999, Region 1 of the Service issued the the species; and the permit was Findings and Recommendations; a following permits for incidental take of consistent with the Act and applicable Biological Opinion; and either a Finding threatened and endangered species, regulations, including a thorough of No Significant Impact, a Record of pursuant to section 10(a)(1)(B) of the review of the environmental effects of Decision, or an Environmental Action Act. Each permit was issued after the the action and alternatives, pursuant to Statement. following determinations were made: the National Environmental Policy Act the application had been submitted in of 1969.
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Name of permittee Permit No. Issuance date
Graniterock Co. (Wilder Quarry) ...... PRT±842273 ...... 06/19/98 Maxwell Irrigation District ...... PRT±842926 ...... 07/24/98 Los Osos Center, LLC ...... PRT±844723 ...... 07/31/98 Seneca-Enron ...... TE 000955±0 ...... 08/14/98 Graniterock Co. (Quail Hollow Quarry) ...... PRT±830417, Amendment 08/31/98#1 ...... 8/31/98 Pacific Gas & Electric Co. (Metcalf-Edenvale) ...... TE 003250±0 ...... 11/24/98 Edenvale) U.S. Borax, Inc., 1,940-Acre Project ...... TE 837867±0 ...... 02/05/99 Zanker Material Processing Facility ...... TE 006962±0 ...... 02/23/99 University of California, Davis ...... TE 008810±0 ...... 03/10/99
Assumption Agreement Associated feature in the bed of Lake Creek, within Dated: May 4, 1999. With the Central/Coastal Plan public lands located as follows: Dan Howells, Acting Coast Range Field Manager. In addition to issuing the incidental Willamette Meridian, Oregon [FR Doc. 99–11776 Filed 5–11–99; 8:45 am] take permits listed above, we signed an T. 16 S., R. 7 W., Sec. 19: Metes and Bounds BILLING CODE 4310±33±P assumption agreement, dated February within the SE1⁄4SE1⁄4 2, 1998, for incidental take permit PRT– Containing approximately 2 acres. 810191 issued July 7, 1996. This DEPARTMENT OF THE INTERIOR agreement formally recognized the SUPPLEMENTARY INFORMATION: The reincorporation of the permittee, The original closure was published 58 FR Bureau of Land Management Irvine Company, from a Michigan 39222, July 22, 1993. The rationale to corporation to a Delaware corporation. rescind this temporary closure follows: [NV±920±1990±00] In signing the agreement, The Irvine The ‘‘temporary closure’’ is now 6 years Company-Delaware assumed the Notice of Availability of the old, BLM realizes it needs to either Programmatic Environmental obligations of The Irvine Company- make this a permanent closure or resend Michigan for implementation of the Assessment for Selected Actions it. During the 6 years of temporary Central/Coastal Plan. Reincorporation Taken for Mining Claim Use and closure, visitors have continued to did not result in a new analysis of Occupancy in Nevada, and the effects or change the requirements of the ignore 2 visibly posted Danger signs and Preliminary Finding of No Significant original permit, habitat conservation slide down the rock slab, especially Impact plan, or implementing agreement. when BLM personnel are not around to enforce it. This behavior demonstrates AGENCY: Bureau of Land Management, Copies of the executed assumption Interior. agreement are available upon request. that a permanent closure would be just as ineffective without full time BLM ACTION: Notice of Availability. Dated: April 29, 1999. personnel on site to enforce it. BLM Elizabeth H. Stevenson, SUMMARY: In accordance with the does not have the manpower or funding National Environmental Policy Act of Deputy Manager, California/Nevada to provide for this presence. Most Operations Office, Fish and Wildlife Service, 1969 (NEPA), and Use and Occupancy Region 1, Sacramento, California. visitors are aware of the hazards. The Under the Mining Laws regulations (43 Danger signs have been revised with [FR Doc. 99–11340 Filed 5–11–99; 8:45 am] CFR 3715), the Bureau of Land new verbiage to increase visitor’s BILLING CODE 4310±55±P Management has prepared an awareness of the many hazards present environmental assessment (EA) that on site. The revised signs read: evaluates the impacts of typical mining DEPARTMENT OF THE INTERIOR DANGER UNSUPERVISED AREA claim and/or millsite occupancies. This EA describes and analyzes the proposed Bureau of Land Management HAZARDOUS TO SLIDE ON ROCKS, SWIM action, consisting of seven typical IN THIS AREA, OR DIVE INTO THE WATER occupancy scenarios, and the no action [OR±094±03±6332±00: 4310±33] BEWARE OF SLIPPERY SURFACES, option. The actions analyzed in this EA SUBMERGED ROCKS, AND SHIFTING involve operations that disturb 5 acres Rescinding of the Emergency Closure TOPOGRAPHY or less. This notice is intended to invite of Public Lands: Lane County, Oregon PARTICIPATING IN THESE OR SIMILAR the public to comment on the analysis AGENCY: Bureau of Land Management, ACTIVITIES CAN RESULT IN SERIOUS of impacts presented in the EA and the Interior. INJURY OR DEATH performance measures developed for the proposed action. ACTION: Rescind the 1993 Emergency DATES: This rescind is effective on DATES: Written comments will be Closure of public lands in Lane County, May12, 1999. Oregon. accepted on or before June 11, 1999. ADDRESSES: Copies of this action and Any comments received by the close of SUMMARY: Notice is hereby given that maps showing the location of this area the comment period will be evaluated certain public lands in Lane County, are available from the Eugene District and those letters that identify issues, Oregon are now rescinded from the Office, P.O. Box 10226 (2890 Chad where clarification or discussion is temporary closure of water activities in Drive), Eugene, Oregon 97440. required, will be addressed in the final Lake Creek. The closure was made EA. Copies of the EA and the under the authority of 43 CFR 8364.1. FOR FURTHER INFORMATION CONTACT: preliminary Finding of No Significant The public lands affected by this Diane Chung, Coast Range Field Impact (FONSI) will be provided to any closure are specifically identified as the Manager, Eugene District Office, at (541) person or agency commenting, or to Lake Creek Slide, a natural bedrock 683–6600 or 1–888–442–3061. other interested parties, upon written
VerDate 06-MAY-99 16:05 May 11, 1999 Jkt 183247 PO 00000 Frm 00042 Fmt 4703 Sfmt 4703 E:\FR\FM\12MYN1.XXX pfrm02 PsN: 12MYN1 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Notices 25515 request. Comments on the EA and Thread Co., Ltd., Fall River, MA. The assistance in gaining access to the FONSI should be sent to the Nevada final phase of the investigation was Commission should contact the Office State Office at the address listed below. scheduled by the Commission following of the Secretary at 202–205–2000. ADDRESSES: Send comments on the EA notification of a preliminary General information concerning the to: Bureau of Land Management, Nevada determination by the Department of Commission may also be obtained by State Office, P.O. Box 12000, Reno, NV Commerce that imports of extruded accessing its internet server (http:// 89520–0006 rubber thread from Indonesia were www.usitc.gov). FOR FURTHER INFORMATION CONTACT: Bob being sold at LTFV within the meaning SUPPLEMENTARY INFORMATION: On Gibson, Geologist, Nevada State Office. of section 733(b) of the Act (19 U.S.C. November 25, 1998 (63 FR 65221), the Telephone: (775) 861–6564. 1673b(b)). Notice of the scheduling of Commission published a notice in the Jean Rivers-Council, the Commission’s investigation and of a Federal Register scheduling a full five- Associate State Director. public hearing to be held in connection year review concerning the antidumping therewith was given by posting copies [FR Doc. 99–11907 Filed 5–11–99; 8:45 am] finding on roller chain from Japan. The of the notice in the Office of the BILLING CODE 4310±32±P schedule provided for a public hearing Secretary, U.S. International Trade on May 6, 1999. Requests to appear at Commission, Washington, DC, and by the hearing were filed with the publishing the notice in the Federal INTERNATIONAL TRADE Commission on behalf of Daido Kogyo Register of November 19, 1998 (63 FR COMMISSION Co., Ltd., Enuma Chain Manufacturing 64276). The hearing was held in Co., Ltd., Oriental Chain Manufacturing Investigation No. 731±TA±787 (Final); Washington, DC, on March 25, 1999, Co., Ltd., Pulton Chain Co., Inc., RK Extruded Rubber Thread From and all persons who requested the Excel Co., Ltd., Kaga Industries Co., Indonesia opportunity were permitted to appear in Ltd., Izumi Chain Mfg. Co., Ltd., and person or by counsel. Sugiyama Chain Co., Ltd. A request was Determination The Commission transmitted its also filed by counsel for New Holland On the basis of the record 1 developed determination in this investigation to North America, Inc. However, each of in the subject investigation, the United the Secretary of Commerce on May 7, the requests were subsequently States International Trade Commission 1999. The views of the Commission are withdrawn. Since there are no current determines, 2 pursuant to section 735(b) contained in USITC Publication 3191 requests by interested parties to appear, of the Tariff Act of 1930 (19 U.S.C. (May 1999), entitled Extruded Rubber the Commission determined to cancel 1673d(b)) (the Act), that an industry in Thread from Indonesia: Investigation the public hearing on roller chain from the United States is threatened with No. 731–TA–787 (Final). Japan scheduled for May 6, 1999. material injury 3 by reason of imports Issued: May 6, 1999. Authority: This review is being from Indonesia of extruded rubber By order of the Commission. conducted under authority of title VII of 4 thread, provided for in heading Donna R. Koehnke, the Tariff Act of 1930; this notice is 4007.00.00 of the Harmonized Tariff Secretary. published pursuant to section 207.62 of Schedule of the United States, that have the Commission’s rules. been found by the Department of [FR Doc. 99–11989 Filed 5–11–99; 8:45 am] Commerce to be sold in the United BILLING CODE 7020±02±P Issued: May 5, 1999. States at less than fair value (LTFV).5 By order of the Commission. Donna R. Koehnke, Background INTERNATIONAL TRADE Secretary. COMMISSION The Commission instituted this [FR Doc. 99–11987 Filed 5–11–99; 8:45 am] investigation effective March 31, 1998, Investigation No. AA1921±111 BILLING CODE 7020±02±P following receipt of a petition filed with (Review); Roller Chain From Japan the Commission and the Department of Commerce by North American Rubber AGENCY: United States International INTERNATIONAL TRADE Trade Commission. COMMISSION 1 The record is defined in sec. 207.2(f) of the ACTION: Cancellation of the hearing Commission’s Rules of Practice and Procedure (19 scheduled for full five-year review Investigations Nos. 701±TA±376, 377, CAR § 207.2(f)). and 379 (Final) and Investigations Nos. 2 concerning the antidumping finding on Commissioner Askey dissenting. 731±TA±788±793 (Final); Certain 3 Commissioner Crawford finds two like products roller chain from Japan. corresponding to the scope of this investigation as Stainless Steel Plate From Belgium, defined by Commerce. She finds (1) that the SUMMARY: The Commission hereby gives Canada, Italy, Korea, South Africa, and industry in the United States producing food-grade notice that the hearing scheduled for Taiwan extruded rubber thread is not materially injured, or May 6, 1999 for the five-year review threatened with material injury, by reason of LTFV Determinations imports from Indonesia, and (2) that the industry in concerning the antidumping finding on the United States producing all other extruded roller chain from Japan is cancelled. On the basis of the record 1 developed rubber thread is materially injured by reason of EFFECTIVE DATE: May 5, 1999. in the subject investigations, the United such imports. States International Trade Commission 4 FOR FURTHER INFORMATION CONTACT: For purposes of this investigation, Commerce 2 has defined ‘‘extruded rubber thread’’ as vulcanized Debra Baker (202–205–3180), Office of determines: rubber thread obtained by extrusion of stable or Investigations, U.S. International Trade concentrated natural rubber latex of any cross 1 The record is defined in sec. 207.2(f) of the sectional shape, measuring from 0.18 mm, which is Commission, 500 E Street SW, Commission’s Rules of Practice and Procedure (19 0.007 inches or 140 gauge, to 1.42 mm, which is Washington, DC 20436. Hearing- CFR § 207.2(f)). 0.056 inches or 18 gauge, in diameter. impaired persons can obtain 2 In these investigations, Vice Chairman Marcia E. 5 The Commission did not determine that it information on this matter by contacting Miller and Commissioners Carol T. Crawford, would have found material injury but for the Jennifer A. Hillman, and Thelma J. Askey find two suspension of liquidation of entries of the the Commission’s TDD terminal on 202– domestic like products, voting in the affirmative merchandise under investigation, pursuant to 19 205–1810. Persons with mobility with respect to certain hot-rolled stainless steel U.S.C. § 1673d(b)(4)(B). impairments who will need special Continued
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(1) Pursuant to section 705(b) of the Commerce to be sold in the United By order of the Commission. Tariff Act of 1930 (19 U.S.C. § 1671d(b)) States at LTFV; 7 and Donna R. Koehnke, (the Act), that an industry in the United (5) Pursuant to section 771(24)(A) of Secretary. States is materially injured by reason of the Act (19 U.S.C. § 1677(24)(A)), that [FR Doc. 99–11988 Filed 5–11–99; 8:45 am] imports from Belgium, Italy, and South imports of certain cold-rolled stainless BILLING CODE 7020±02±P Africa of certain hot-rolled stainless steel plate in coils from Italy, Korea, steel plate in coils 3 that have been South Africa, and Taiwan that have found by the Department of Commerce DEPARTMENT OF JUSTICE to be subsidized by the Governments of been found by Commerce to be subsidized and/or sold in the United Belgium, Italy, and South Africa; 4 Immigration and Naturalization Service (2) Pursuant to section 735(b) of the States at LTFV are negligible.8 9 Act (19 U.S.C. § 1673d(b)), that an Background Agency Information Collection industry in the United States is Activities: Proposed Collection; materially injured by reason of imports The Commission instituted these Comment Request of certain hot-rolled stainless steel plate investigations effective March 31, 1998, ACTION: Notice of Information Collection in coils from Belgium, Canada, Italy, following receipt of a petition filed with under Review: Freedom of Information Korea, South Africa, and Taiwan that the Commission and the Department of Privacy Act Request. have been found by Commerce to be Commerce on behalf of Armco, Inc., sold in the United States at less than fair Pittsburgh, PA; J&L Specialty Steel, Inc., 5 The Department of Justice, value (LTFV); Pittsburgh, PA; Lukens Inc., Coatesville, (3) Pursuant to section 705(b) of the Immigration and Naturalization Service Act (19 U.S.C. § 1671d(b)), that an PA, North American Stainless, Ghent, (INS) has submitted the following industry in the United States is not KY; and the United Steelworkers of information collection request to the materially injured or threatened with America, AFL-CIO/CLC. The final phase Office of Management and Budget material injury, and the establishment of of the investigations was scheduled by (OMB) for review and clearance in an industry in the United States is not the Commission following notification accordance with the Paperwork materially retarded, by reason of of preliminary determinations by the Reduction Act of 1995. The information imports from Belgium of certain cold- Department of Commerce that imports collection was previously published in rolled stainless steel plate in coils that of certain stainless steel plate in coils the Federal Register February 25, 1999 have been found by Commerce to be from Belgium, Canada, Italy, Korea, at 63 FR 9350, allowing for a 60-day subsidized by the Government of South Africa, and Taiwan were being public comment period. No comments Belgium; 6 subsidized and/or sold in the United were received by the INS and this (4) Pursuant to section 735(b) of the States at LTFV within the meaning of proposed information collection. Act (19 U.S.C. § 1673d(b)), that an sections 703(b) and 733(b) of the Act (19 The purpose of this notice is to allow an additional 30 days for public industry in the United States is not U.S.C. 1671b(b) and 1673b(b)). Notice of comments. Comments are encouraged materially injured or threatened with the scheduling of the Commission’s material injury, and the establishment of and will be accepted until June 12, investigations and of a public hearing to 1999. This process is conducted in an industry in the United States is not be held in connection therewith was materially retarded, by reason of accordance with 5 CFR 1320.10. given by posting copies of the notice in imports from Belgium and Canada of Written comments and/or suggestions certain cold-rolled stainless steel plate the Office of the Secretary, U.S. regarding the items contained in this in coils that have been found by International Trade Commission, notice, especially regarding the Washington, DC, and by publishing the estimated public burden and associated plate in coils and voting in the negative or finding notice in the Federal Register of response time, should be directed to the imports to be negligible with respect to certain cold- December 9, 1998 (63 FR 67918). The Office of Management and Budget, rolled stainless steel plate in coils. Chairman Lynn hearing was held in Washington, DC, on Office of Information and Regulatory M. Bragg and Commissioner Stephen Koplan find one domestic like product encompassing both March 23, 1999, and all persons who Affairs, Attention: Stuart Shapiro, certain hot-rolled stainless steel plate in coils and requested the opportunity were Department of Justice Desk Officer, certain cold-rolled stainless steel plate in coils, and permitted to appear in person or by Room 10235, Washington, DC 20530; vote in the affirmative. counsel. 202–395–7316. 3 Imports of certain stainless steel plate in coils, both hot-rolled and cold-rolled, are provided for in The Commission transmitted its Written comments and suggestions subheadings 7219.11.00, 7219.12.00, 7219.31.00, determinations in these investigations to from the public and affected agencies 7219.90.00, 7220.11.00, 7220.20.10, 7220.20.60, and concerning the proposed collection of the Secretary of Commerce on May 3, 7220.90.00 of the Harmonized Tariff Schedule of information should address one or more the United States. For purposes of these 1999. The views of the Commission are of the following four points: investigations, the Commission defines certain hot- contained in USITC Publication 3188 rolled stainless plate in coils as all domestic (1) Evaluate whether the proposed product corresponding to the scope of the (May 1999), entitled Certain Stainless collection of information is necessary investigations except for certain cold-rolled Steel Plate from Belgium, Canada, Italy, for the proper performance of the stainless steel plate in coils. The Commission Korea, South Africa, and Taiwan: defines certain cold-rolled stainless steel plate in functions of the agency, including coils as all domestic product corresponding to the Investigations Nos. 701–TA–376, 377, whether the information will have scope of the investigations that has undergone a and 379 (Final) and Investigations Nos. practical utility; cold-reduction process that reduced the thickness 731–TA–788–793 (Final). of the steel by 25 percent or more, and has been (2) Evaluate the accuracy of the annealed and pickled after cold reduction. Issued: May 5, 1999. agencies estimate of the burden of the 4 Chairman Bragg and Commissioner Koplan proposed collection of information, made affirmative determinations on a single including the validity of the domestic like product encompassing both certain 7 methodology and assumptions used; hot-rolled stainless steel plate in coils and certain Ibid. cold-rolled stainless steel plate in coils. 8 Ibid. (3) Enhance the quality, utility, ad 5 Ibid. 9 Investigations regarding such imports are clarity of the information to be 6 Ibid. therefore terminated. collected; and
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(4) Minimize the burden of the Dated: May 5, 1999. to: (i) Establish evaluation points A and collection of information on those who Steve Tarragon, B to take air and gas measurements; (ii) are to respond, including through the Acting Department Clearance Officer, United to maintain the evaluation points and use of appropriate automated, States Department of Justice, Immigration and all approaches to the evaluation points electronic, mechanical, or other Naturalization Service. in good condition at all times; (iii) have technological collection techniques or [FR Doc. 99–11903 Filed 5–11–99; 8:45 am] a certified person test for methane and other forms of information technology, BILLING CODE 4410±10±M the quantity of air on a weekly basis and e.g., permitting electronic submission of record the results, date, time, and his/ responses. her initials in a book kept on the surface DEPARTMENT OF LABOR and made available for inspection by Overview of this Information interested persons. The petitioner Collection: Mine Safety and Health Administration asserts that the proposed alternative (1) Type of Information Collection: method would provide at least the same Petitions for Modification Revision of currently approved measure of protection as would the collection. The following parties have filed mandatory standard. petitions to modify the application of (2) Title of the Form/Collection: 3. Goodin Creek Contracting, Inc. Freedom of Information/Privacy Act mandatory safety standards under Request. section 101(c) of the Federal Mine [Docket No. M–1999–024–C] Safety and Health Act of 1977. (3) Agency form number, if any, and Goodin Creek Contracting, Inc., Rt 1 the applicable component of the 1. Island Creek Coal Company Box 419–A1, Gray, Kentucky 40734 has Department of Justice sponsoring the [Docket No. M–1999–022–C] filed a petition to modify the application of 30 CFR 75.364(b)(2) collection: Form G–639. FOIA/PA Island Creek Coal Company, Consol Section, Immigration and Naturalization Plaza, 1800 Washington Road, (weekly examination) to its Goodin Service. Pittsburgh, Pennsylvania 15241–1421 Creek Mine (I.D. No. 15–17980) located (4) Affected public who will be asked has filed a petition to modify the in Knox County, Kentucky. The or required to respond, as well as a brief application of 30 CFR 75.364(b)(2) petitioner states that due to unsafe roof abstract: Primary: Individuals or (weekly examination) to its Ohio No. 11 conditions in certain areas of the return Households. This form is provided as a Mine (I.D. No.15–03178) located in air course, traveling the area to conduct convenient means for persons to Union County, Kentucky. The petitioner examinations would be unsafe. The petitioner proposes to establish provide data necessary for identification states that due to a massive roof fall monitoring locations in each entry at of a particular record desired under along the 2nd South Panel return in the crosscut 2 in the return to monitor air FOIA/PA. #5 entry, including but limited to crosscut 15, the affected area cannot be leaving the affected area of the air (5) An estimate of the total number of traveled safely in its entirety to conduct course and in each entry at crosscut 16 respondents and the amount of time weekly examinations. The petitioner in the return to monitor air entering the estimated for an average respondent to proposes to: (i) Establish evaluation affected area of the air course. The respond: 100,000 responses at 15 points on the side of the roof fall at petitioner also proposes to: (i) Have a minutes (.25) hours per response. crosscut 15; (ii) have a qualified person certified person conduct weekly (6) An estimate of the total public test for methane and the quantity of air evaluations at each of the monitoring burden (in hours) associated with the at each evaluation point on a weekly locations to measure the quality and collection: 25,000 annual burden hours. basis; and (iii) have the person quantity of air entering and leaving the locations to determine methane and If you have additional comments, conducting the test record the results, oxygen concentrations; (ii) have the suggestions, or need a copy of the date, time, and his/her initials in a examiner record the results of the proposed information collection record book kept on the surface and examinations in a book kept on the instrument with instructions, or made available for inspection by surface with the date, time, and his/her additional information, please contact interested persons. The petitioner initials and made available to all Richard A. Sloan (202) 514–3291, asserts that the proposed alternative interested parties; (iii) maintain all Director, Policy Directives and method would provide at least the same monitoring locations and approaches to Instructions Branch, Immigration and measure of protection as would the the monitoring locations in a safe Naturalization Service, U.S. Department mandatory standard. condition at all times; (iv) post a sign in of Justice, Room 5307, 425 I Street, NW., 2. Consolidation Coal Company the main travelway showing the safe Washington, DC 20536. Additionally, [Docket No. M–1999–023–C] travel route to each monitoring location; comments and/or suggestions regarding Consolidation Coal Company, Consol (v) maintain methane gas or other the item(s) contained in this notice, Plaza, 1800 Washington Road, harmful, noxious, or poisonous gases at especially regarding the estimated Pittsburgh, Pennsylvania 15241–1421 legal limits for return air; (vi) instruct all public burden and associated response has filed a petition to modify the personnel not to travel in the affected time may also be directed to Mr. application of 30 CFR 75.364(b)(2) area prior to implementing the proposed Richard A. Sloan. (weekly examination) to its Rend Lake alternate method; and (vii) only permit If additional information is required Mine (I.D. No. 11–00601) located in entry to the affected area for contact: Mr. Robert B. Briggs, Clearance Jefferson County, Illinois. The petitioner investigating significant problems with Officer, United States Department of states that due to a massive roof fall in the air flow being detected through the Justice, Information Management and the West side return from the B shaft to monitoring process. The petitioner Security Staff, Justice Management the Second Main West return air course, asserts that the proposed alternative Division, Suite 850, Washington Center, the area cannot be traveled safely in its method would provide at least the same 1001 G Street, NW., Washington, DC entirety to conduct weekly measure of protection as would the 20530. examinations. The petitioner proposes mandatory standard.
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4. Eighty-Four Mining Company method for preshift examinations. The County, West Virginia. The petitioner [Docket No. M–1999–025–C] petitioner proposes to: (i) have a proposes an alternative method for certified person examine the tunnel storage and transportation of Eighty-Four Mining Company, Consol three hours prior to the beginning of the compressed gas cylinders. The Plaza, 1800 Washington Road, work week (Sunday night) and on an petitioner proposes to: (i) House the Pittsburgh, Pennsylvania 15241 has eight-hour interval during the work compressed cylinders in a specially filed a petition to modify the week at 8:00 a.m., 4:00 p.m., and 12:00 designed compartment that is part of a application of 30 CFR 75.503 a.m.; (ii) have a three-man crew leave specialized tool car used by the track (permissible electric face equipment; crew; (ii) have each cylinder encased in maintenance) to its Mine 84 (I.D. No. and enter the tunnel after the initial a metal housing lined with insulating 36–00958) located in Washington examination each week, as needed, on material equivalent to a Schedule 80 County, Pennsylvania. The petitioner their shift which is 12:00 a.m., 8:00 pipe and encapsulated within a metal proposes to increase the maximum a.m., and 4:00 p.m.; (iii) have the box made of 1⁄4-inch metal; (iii) design lengths of the trailing cables to 900 feet supervisor conduct an on-shift storage bays to lay 15 degrees for the mining machine, loading examination in the tunnel during his/ downward from the opening to prevent machine, shuttle car, roof bolter, and her travels and note any problems for the cylinders from falling out of the bays section ventilation fan. The petitioner prompt correction; and (iv) withdraw and install a strap across the openings has listed specific terms and conditions the three-man crew from the tunnel and to prevent the cylinders from being in this petition for use and maintenance fireboss the tunnel in its entirety before dislodged; and (iv) install fire of these trailing cables. The petitioner power is restored underground prior to extinguishers in the tool car. The states that the trailing cables would not the crew returning underground if the petitioner states that the cylinder bay be smaller than #4 A.W.G. for the fire bossing schedule is interrupted. The would be isolated from the man section ventilation fan, roof bolting petitioner asserts that the proposed compartment by the material storage machine, and shuttle cars, smaller than alternative method would provide at compartment and tool box for the outby #2 A.W.G for the loading machine, or least the same measure of protection as end, and workers would be provided smaller than #2/0 A.W.G for the would the mandatory standard. with necessary tools, supplies, and a continuous mining machine. The 7. Peabody Coal Company vehicle readily at the worksite for petitioner asserts that the proposed transporting injured miners. The alternative method would provide at [Docket No. M–1999–028–C] petitioner asserts that application of the least the same measure of protection as Peabody Coal Company, P.O. Box existing standard would result in a would the mandatory standard. 1990, Henderson, Kentucky 42419 has filed a petition to modify the diminution of safety to the miners. The 5. West Ridge Resources, Inc. application of 30 CFR 75.364(b)(4) petitioner asserts that the proposed alternative method would provide at [Docket No. M–1999–026–C] (weekly examination) to its Camp No. 11 Mine (I.D. No. 15–08357) located in least the same measure of protection as West Ridge Resources, Inc., P.O. Box would the mandatory standard. 902, Price, Utah 84501 has filed a Union County, Kentucky. The petitioner petition to modify the application of 30 proposes to establish evaluation points 9. Ziegler Chemical and Mineral CFR 75.350 (air courses and belt haulage to monitor its bleeder system due to Corporation entries) to its West Ridge Mine (I.D. No. hazardous conditions that hinder [Docket No. M–1999–003–M] continued travel to conduct 42–02233) located in Carbon County, Ziegler Chemical and Mineral examinations. The petitioner proposes Utah. The petitioner requests a Corporation, 121 West Main Street, to (i) conduct daily examinations at modification of the mandatory standard Vernal, Utah 84078 has filed a petition various evaluation points; (ii) have a to allow the use of two-entry longwall to modify the application of 30 CFR certified person check for methane and development and to use the belt entry 57.19003 (driving mechanism oxygen concentrations and the volume as a return air course during longwall connections) to its Bonanza Mines #3, of air and record the results in a book development, and as an intake during #8, #11, and #12; Cowboy Mines #1, and maintained on the surface of the mine; longwall extraction to ensure an #2 ; Independent Mines #3, #5, #6, and and (iii) continuously monitor methane adequate quantity of ventilation to #7; Neal Mine #1; and Tom Taylor Mine dilute and render harmless methane or concentrations at Bleeder Fan #2, and # # 3 (I.D. No. 42–00876) all located in other noxious gases that may Bleeder Fan 3 using a Conspec Mine Uintah County, Utah. The petitioner accumulate. The petitioner asserts that Monitoring System that would be requests that condition 7 of its application of the standard would result manned around the clock and set to previously granted petition, docket in a diminution of safety to the miners. activate an alarm if methane levels are number M–81–72–M, be amended to In addition, the petitioner asserts that greater than 2.0 percent. The petitioner allow a 75 horsepower electric motor the proposed alternative method would asserts that the proposed alternative with a speed of 885 RPM on the hoist provide at least the same measure of method would provide at least the same instead of 50 horsepower and a motor protection as would the mandatory measure of protection as would the speed of 1130 RPM. The petitioner standard. mandatory standard. asserts that the proposed alternative 6. Eastern Associated Coal Corporation 8. Eastern Associated Coal Corporation method would provide at least the same measure of protection as would the [Docket No. M–1999–027–C] [Docket No. M–1999–029–C] mandatory standard. Eastern Associated Coal Corporation, Eastern Associated Coal Corporation, P.O. Box 1990, Henderson, Kentucky P.O. Box 1990, Henderson, Kentucky Request for Comments 42420 has filed a petition to modify the 42420 has filed a petition to modify the Persons interested in these petitions application of 30 CFR 75.360(a)(1) application of 30 CFR 75.1106–2(c) are encouraged to submit comments via (preshift examination) to its Matewan (transportation of liquefied and e-mail to ‘‘[email protected],’’ or on Tunnel (I.D. No. 46–08610) located in nonliquefied compressed gas cylinders; a computer disk along with an original Boone County, West Virginia. The requirements) to its Harris No. 1 Mine hard copy to the Office of Standards, petitioner proposes to use an alternative (I.D. No. 46–01271) located in Boone Regulations, and Variances, Mine Safety
VerDate 06-MAY-99 12:38 May 11, 1999 Jkt 183247 PO 00000 Frm 00046 Fmt 4703 Sfmt 4703 E:\FR\FM\A12MY3.150 pfrm07 PsN: 12MYN1 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Notices 25519 and Health Administration, 4015 NAC Earth System Science and NUCLEAR REGULATORY Wilson Boulevard, Room 627, Applications Advisory Committee COMMISSION Arlington, Virginia 22203. All FOR FURTHER INFORMATON CONTACT: Ms. [Docket Nos. 50±498 and 50±499] comments must be postmarked or Kathy Dakon, Assistant Advisory received in that office on or before June Committee Management Officer, Mail STP Nuclear Operating Company 11, 1999. Copies of these petitions are Code Z, National Aeronautics and Space (South Texas Project Electric available for inspection at that address. Administration, Washington, DC 20546 Generating Station, Units 1 and 2); Dated: May 4, 1999 (202) 358–0732. Exemption Carol J. Jones, SUPPLEMENTARY INFORMATION: NASA Acting Director, Office of Standards, Advisory Council and its committees I Regulations, and Variances. information is available on the world STP Nuclear Operating Company is [FR Doc. 99–12028 Filed 5–11–99; 8:45 am] wide web at: http://www.hq.nasa.gov/ the holder of Facility Operating License BILLING CODE 4510±43±P office/codeq/codeq-1.htm and http:// No. NPF–76 and Facility Operating www.hq.nasa.gov/office/codez/nac.htm. License No. NPF–80, which authorizes Dated: May 4, 1999. operation of the South Texas Project NATIONAL AERONAUTICS AND Matthew M. Crouch, (STP), Units 1 and 2. The licenses SPACE ADMINISTRATION Advisory Committee Management Officer, provide, among other things, that the licensee is subject to all rules, [Notice 99±066] National Aeronautics and Space Administration. regulations, and orders of the NASA Advisory Committees; Renewal [FR Doc. 99–11895 Filed 5–11–99; 8:45 am] Commission now or hereafter in effect. These facilities consist of two of NASA's Advisory Committee BILLING CODE 7510±01±P Charters pressurized-water reactors at the licensee’s site located in Matagorda AGENCY: National Aeronautics and County, Texas. Space Administration (NASA). NEIGHBORHOOD REINVESTMENT CORPORATION II ACTION: Notice of Renewal of the Charters of NASA’s Advisory Sunshine Act Meeting Section 50.60(a) to Title 10 of the Committees. Code of Federal Regulations (10 CFR) Twenty-First Annual Meeting of the Part 50 requires, in part, that except as SUMMARY: Pursuant to section 14(b)(1) of Board of Directors provided in Section 50.60(b), all light- the Federal Advisory Committee Act, water nuclear power reactors, other than Pub. L. 92–463, and after consultation TIME & DATE: 2:00 p.m., Wednesday, May 24, 1999. reactor facilities for which the with the Committee Management certifications required under Section PLACE: Neighborhood Reinvestment Secretariat, General Services 50.82(a)(1) have been submitted, must Corporation, 1325 G Street, NW, Suite Administration, the Administrator of meet the fracture toughness 800, Board Room, Washington, DC the National Aeronautics and Space requirements for the reactor coolant 20005. Administration has determined that a pressure boundary set forth in renewal of NASA’s nine advisory STATUS: Open. Appendix G of 10 CFR Part 50. Section committees is in the public interest in CONTACT PERSON FOR MORE INFORMATION: 50.60(b) of 10 CFR Part 50 states that connection with the performance of Jeffrey T. Bryson, General Counsel/ proposed alternatives to the described duties imposed upon NASA by law. The Secretary (202) 220–2372. requirements of Appendix G of Part 50 structure and duties of these committees AGENDA: or portions thereof may be used when are unchanged. However, the I. Call to Order an exemption is granted by the Aeronautics and Space Transportation II. Approval of Minutes: March 3, 1999, Commission under 10 CFR 50.12. Technology Advisory Committee has Regular Meeting been renamed to be the Aero-Space III III. Resolution of Appreciation Technology Advisory Committee and IV. Election of Chairman By letter dated March 18, 1999, STP some administrative language has been V. Election of Vice Chairman Nuclear Operating Company requested changed in each of the charters. The VI. Committee Appointments: that the NRC exempt STP, Units 1 and charter filing date is April 29, 1999 for a. Audit Committee 2, from the application of specific each of the nine charters. b. Budget Committee requirements of 10 CFR 50.60 and NASA’s nine advisory committees c. Personnel Committee Appendix G to 10 CFR 50. Specifically, are: d. Homeownership Oversight Special STP Nuclear Operating Company NASA Aerospace Safety Advisory Panel Committee proposes to use American Society of NASA Advisory Council (NAC) VII. Election of Officers Mechanical Engineers (ASME) Code NAC Technology and VIII. Board Appointments: Commercialization Advisory Case N–514 to permit setting the a. Internal Audit Director pressure setpoint of STP’s cold Committee b. Assistant Secretary/Paralegal NAC Minority Business Resource overpressure mitigation system (COMS) IX. Audit Committee Report: May 11, such that the pressure-temperature (P– Advisory Committee 1999 NAC Advisory Committee on the T) limits required by Appendix G of 10 X. Treasurer’s Report CFR Part 50 could be exceeded by 10 International Space Station XI. Executive Director’s Quarterly NAC Aero-Space Technology Advisory percent during a low temperature Management Report pressure transient. Committee XII. Adjourn NAC Space Science Advisory The Commission has established Committee Jeffrey T. Bryson, requirements in 10 CFR Part 50 to NAC Life and Microgravity Sciences General Counsel/Secretary. protect the integrity of the reactor and Applications Advisory [FR Doc. 99–12166 Filed 5–10–99; 3:42 pm] coolant system pressure boundary. As a Committee BILLING CODE 7570±01±M part of these, Appendix G of 10 CFR
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Part 50 requires that P–T limits be In addition, STP Nuclear Operating Dated at Rockville, Maryland, this 4th day established for reactor pressure vessels Company stated that a COMS pressure of May 1999. during normal operation and vessel setpoint must be sufficiently high to For the Nuclear Regulatory Commission. hydrostatic testing. As stated in prevent the inadvertent actuation of the John A. Zwolinski, Appendix G, ‘‘The appropriate COMS as a result of normal operating Director, Division of Licensing Project requirements on . . . the pressure- pressure surges. STP Nuclear Operating Management, Office of Nuclear Reactor temperature limits . . . must be met for Company requests use of Code Case N– Regulation. all conditions.’’ In order to avoid 514 to incorporate pressure [FR Doc. 99–11997 Filed 5–11–99; 8:45 am] approaching these P–T limit curves and instrumentation uncertainty in P–T BILLING CODE 7590±01±P provide pressure relief during low limit calculations, while providing an temperature overpressurization (LTOP) operating band that permits system events, pressurized water reactor makeup and pressure control. Such an NUCLEAR REGULATORY licensees have installed protection inadvertent actuation could lead to the COMMISSION systems (COMS/LTOP) as part of the unnecessary release of reactor coolant reactor coolant system (RCS) pressure inside containment and could introduce [Docket Nos. 50±445 and 50±446] boundary. STP Nuclear Operating undesirable thermal transients in the Company is required, as part of the STP RCS. Texas Utilities Electric Company Technical Specifications, to develop, The Commission has determined that (Comanche Peak Steam Electric update, and submit reactor vessel P–T the application of 10 CFR 50.60 in these Station, Units 1 and 2); Exemption limits and COMS setpoints for NRC particular circumstances is not review and approval. necessary to achieve the underlying I. STP Nuclear Operating Company purpose of that rule and that the use of Texas Utilities Electric Company (the determined that the exemption request Code Case N–514 would meet the licensee/TU Electric) is the holder of from the provisions of 10 CFR 50.60 and underlying intent of the regulation. Facility Operating Licenses No. NPF–87 Appendix G was necessary since these Based upon a consideration of the and No. NPF–89, which authorize regulations require, as previously noted, conservatisms, which are explicitly operation of the Comanche Peak Steam that reactor vessel conditions not exceed defined in the Appendix G Electric Station (CPSES), Units 1 and 2. the P–T limits established by Appendix methodology, it was concluded that The licenses provide, among other G. In referring to 10 CFR 50.12 on permitting the COMS setpoint to be things, that the licensee is subject to all specific exemptions, STP Nuclear established such that the vessel pressure rules, regulations, and orders of the Operating Company cited special would not exceed 110 percent of the circumstances regarding achievement of Commission now or hereafter in effect. limit defined by the P–T limit curves the underlying purpose of the regulation would provide an adequate margin of These facilities consist of two as its basis for requesting this exemption safety against brittle failure of the pressurized-water reactors at the [10 CFR 50.12(a)(2)(ii)]. reactor vessel. This is also consistent licensee’s site located in Somervell STP Nuclear Operating Company County, Texas. noted in support of the 10 CFR with the determination that has been 50.12(a)(2)(ii) criteria that the reached for other licensees under TU Electric seeks this exemption to underlying purpose of the subject similar conditions based on the same the 2 percent above licensed power regulation is to establish limits to conditions. Therefore, the exemption level assumption to allow for protect the reactor vessel from brittle requested under the special uncertainties specified by Title 10 of the failure during low temperature circumstances of 10 CFR 50.12(a)(2)(ii) Code of Federal Regulations (10 CFR), operation and that the COMS provides was found to be acceptable. The staff Part 50, Appendix K, ‘‘ECCS a physical means of assuring that also agrees that limiting the potential for [Emergency Core Cooling System] operation remains within these limits. inadvertent COMS actuation may Evaluation Models,’’ Section I.A., to STP Nuclear Operating Company improve plant safety. support license amendments for modest proposed that establishing the COMS IV increases of up to 1 percent in the pressure setpoint in accordance with the licensed power levels for both units. N–514 provisions, such that the vessel The Commission has determined that, This will result in an exemption from pressure would not exceed 110 percent pursuant to 10 CFR 50.12, this the requirements of 10 CFR Part 50, of the P–T limit allowables, would still exemption is authorized by law, will not Appendix K to allow ECCS evaluation provide an acceptable level of safety and present an undue risk to the public model assumptions to be conducted at mitigate the potential for an inadvertent health and safety, is consistent with the no less than 1.01 times licensed power actuation of the COMS. The use of N– common defense and security, and is level. The licensee seeks this exemption 514 was based on the conservatisms that otherwise in the public interest. based on its proposed use of a new have been explicitly incorporated into Therefore, the Commission hereby feedwater flow measurement system to the procedure for developing the P–T grants STP Nuclear Operating Company allow more accurate measurement of limit curves. This procedure, referenced an exemption from the requirements of thermal power (known as the Leading from Appendix G to Section XI of the 10 CFR 50.60 in order to apply ASME Edge Flowmeter (LEFM) System), ASME Code, includes the following Code Case N–514 for determining STP’s manufactured by Caldon, Inc. The conservatisms: (1) a safety factor of 2 on cold overpressurization mitigation LEFM is described in Caldon, Inc., the pressure stresses; (2) a margin factor system pressure setpoint. Topical Report ER–80P, ‘‘Improving applied to RTNDT using Regulatory Pursuant to 10 CFR 51.32, the Thermal Power Accuracy and Plant Guide 1.99, Revision 2, ‘‘Radiation Commission has determined that the Safety While Increasing Operating Embrittlement of Reactor Vessel granting of this exemption will have no Power Level Using the LEFM System.’’ Materials’’; (3) an assumed 1⁄4 thickness significant effect on the quality of the The subject topical report was approved flaw with a 6:1 aspect ratio; and (4) a human environment (64 FR 23689). subject to the limitations stated in a limiting material toughness based on This exemption is effective upon letter and Safety Evaluation (SE) dated dynamic and crack arrest data. issuance. March 8, 1999.
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II. the LOCA, in addition to the 102 affect required response time of the Part 50, Appendix K, Section I. A. percent requirement, decay heat is ECCS and the available operator states, in part, that ‘‘it shall be assumed modeled on the basis of an ANS response time following transients and that the reactor has been operating standard with an added 20 percent accidents. Results of core and continuously at a power level at least penalty, and the power distribution containment consequence analyses from 1.02 times the licensed power level (to shape and peaking factors expected higher power levels could also be allow for such uncertainties as during the operating cycle are chosen to affected. However, NUREG–1230, instrument error).’’ The Appendix K yield the most conservative results. As ‘‘Compendium of ECCS Research for rule was written to ensure that adequate discussed in SECY–83–472, Realistic LOCA Analysis,’’ considered margin for ECCS performance would be experimental programs provided ample the risk impact of changes associated available if a design-basis loss-of- data, which shed light on the with the revised ECCS rules, including coolant accident (LOCA) ever occurred considerable margin provided by power increase, and considered a power increase of 5 percent or less to have (39 FR 1002, January 4, 1974). The Appendix K, giving the staff confidence little risk significance. The staff margin was provided by incorporating to consider alternative ECCS evaluation concludes that this increase of 1 percent several conservative features into the models. is bounded by the NUREG–1230 ECCS performance criteria as well as III considerations. maintaining conservative requirements In the safety evaluation for the Caldon and recommendations for evaluation Section 50.12(a), states that . .. The Commission may, upon application by topical report ER–80P dated March 8, models. any interested person or upon its own 1999, the staff accepted statistical The basis for the requirement is initiative, grant exemptions from the treatment of uncertainties attributed to discussed in background requirements of the regulations of this part, the LEFM and venturi-based flow documentation, such as the Statement of which are— measurement instruments and the Consideration for Appendix K (39 FR (1) Authorized by law, will not present an undue risk to the public health and safety, uncertainty values associated with these 1002, January 4, 1974). The 102 percent two types of flow measurement assumption is one of several items listed and are consistent with the common defense and security. instruments at CPSES. The use of the as conservative factors used to model (2) The Commission will not consider Caldon LEFM System and quantification the energy available from reactor granting an exemption unless special of power measurement uncertainty do operation. The Statement of circumstances are present. . .. not raise inconsistencies with the Consideration also associates the Section 50.12(a)(2), states that special Commission’s safety goals. Further, the preaccident power level assumption circumstances are present whenever . .. Commission has determined that, with the modeling of the rate of heat (ii) Application of the regulation in the particular circumstances would not serve the pursuant to 10 CFR 50.12, the requested generation after the LOCA occurs. A exemption is authorized by law, will not comparison is made between the underlying purpose of the rule or is not necessary to achieve the underlying purpose result in an undue risk to the public estimated uncertainty associated with of the rule; or health and safety, and is consistent with the decay heat assumption (i.e., 20 (iv) The exemption would result in benefit the common defense and security and is percent above the American Nuclear to the public health and safety that otherwise in the public interest. Society (ANS) standard) and the compensates for any decrease in safety that The Commission also finds that estimated effect on heat generation may result from the grant of the exemption; special circumstances exist. By seeking resulting from the 102 percent power or to apply a smaller margin for power (vi) There is present any other material assumption. This is a natural measurement uncertainty, the connection since the preaccident power circumstance not considered when the regulation was adopted for which it would be exemption does not violate the level directly affects the decay heat in the public interest to grant an underlying purpose of Appendix K. The generation rate after reactor shutdown. exemption. . . . application of 1.02 times the licensed When it was considering changes to thermal power is not necessary to Appendix K to accept the use of best- IV achieve the underlying purpose of estimate evaluations, the staff The staff has reviewed the applicable Appendix K. Indeed, by quantifying a understood that the rule incorporated regulations and the regulatory history contributor to the uncertainty where the substantial conservatisms (see SECY 83– for Appendix K as well as for Section uncertainty was not specifically known, 472, ‘‘Emergency Core Cooling System 50.46, and finds that those regulatory the exemption may better serve the Analysis Methods,’’ November 17, documents do not prohibit the underlying purpose of the requirement. 1983). These conservatisms were licensee’s proposal to use Caldon Inc.’s, The use of the Caldon LEFM System necessary when the rule was written Leading Edge Flowmeter System and the quantification of power because of limited experimental (Caldon LEFM System) instrument. measurement uncertainty appear to offer evidence. The major analysis inputs and Accordingly, the exemption is safety benefits. assumptions that contribute to the authorized by law, as required by 10 By requesting this exemption, the conservatism in Appendix K are CFR 50.12(a)(1). licensee has undertaken to quantify a grouped together under Sections A The staff used Regulatory Guide 1.174 contributor to the uncertainty in power through D of the rule: (A) Sources of and Standard Review Plan Chapter 19 to measurement. Although there is a small Heat During the LOCA (the 102 percent review the application for the safety impact expected from the power provision is one factor); (B) exemption. Specifically, the staff associated power increase, it is not Swelling and Rupture of the Cladding reviewed the application considering considered significant. The use of the and Fuel Rod Thermal Parameters; (C) the defense-in-depth philosophy, the LEFM system and the quantification of Blowdown Phenomena; and (D) Post- maintenance of sufficient safety margin, power measurement uncertainty appear blowdown Phenomena: Heat Removal and the fact that the increase in risk was to offer safety benefits. by ECCS. In each of these areas, several small and consistent with the The Caldon LEFM System and the assumptions are typically used to assure Commission safety goals. A slightly quantification of power measurement conservatism in the analysis results. For higher power level will result in a small uncertainty associated with use of the instance, under sources of heat during increase in decay heat load that could Caldon LEFM System constitute
VerDate 06-MAY-99 12:38 May 11, 1999 Jkt 183247 PO 00000 Frm 00049 Fmt 4703 Sfmt 4703 E:\FR\FM\A12MY3.094 pfrm07 PsN: 12MYN1 25522 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Notices material circumstances that did not NUCLEAR REGULATORY storage cell spacing is decreased from a exist when the rule was written. The COMMISSION nominal 16 inches to a nominal 9 inches and current Appendix K rule presumes that the high density racks are free standing [Docket Nos. 50±445 and 50±446] whereas the low density racks are bolted to the 2 percent margin accounts for the pool. Administrative controls are used to uncertainties associated with Texas Utilities Electric Company, et al. maintain the specified storage patterns and to measurement of thermal power. Comanche Peak Steam Electric assure storage of a fuel assembly in a proper Contributors to the uncertainty were not Station, Units 1 and 2; Notice of location based on initial U–235 enrichment, identified at the time the rule was Consideration of Issuance of burnup, and decay time. The increased written and the magnitude of the Amendments to Facility Operating storage capacity results in added weight in the pools and additional heat loads. uncertainty was not demonstrated by Licenses, Proposed no Significant There is no significant increase in the experiment or analysis. The rule does Hazards Consideration Determination, probability of an accident concerning the not require quantification of actual and Opportunity for a Hearing potential insertion of a fuel assembly in an uncertainties, nor does the regulatory incorrect location in the high density racks. The U.S. Nuclear Regulatory TU [Texas Utilities] Electric has used history reflect any detailed technical Commission (the Commission) is basis for the choice of a 2 percent administrative controls to move fuel considering issuance of amendments to assemblies from location to location since the margin. Therefore, the Commission has Facility Operating License Nos. NPF–87 initial receipt of fuel on site. Fuel assembly determined that special circumstances and NPF–89 issued to Texas Utilities placement will continue to be controlled as defined in 10 CFR 50.12(a)(2)(ii), (iv), Electric Company, et al. (the licensee), pursuant to approved fuel handling and (vi) are present. for operation of the Comanche Peak procedures and will be in accordance with the Technical Specification spent fuel rack The Commission hereby grants the Steam Electric Station (CPSES), Units 1 and 2, respectively. The CPSES facility storage configuration limitations. licensee an exemption from the There is no increase in the probability of requirements of 10 CFR Part 50, is located at the licensee’s site in the loss of normal cooling to the fuel storage Appendix K to allow ECCS evaluation Somervell County, Texas. pool water due to the presence of soluble model assumptions to be conducted at The proposed amendments would boron in the pool water for subcriticality revise the Technical Specifications for no less than 1.01 times licensed power control because a concentration of soluble fuel storage to increase the spent fuel boron similar to that proposed has always level when the quantification of power storage capacity, to add fuel pool boron been maintained in the fuel storage pool measurement uncertainty can be concentration, and to revise the storage water. The amount of soluble boron required justified by the use of the Caldon LEFM configurations in the spent fuel pool. to offset the reactivity increase associated System instrumentation. The granting of Before issuance of the proposed with water temperature outside the normal this exemption does not, however, license amendments, the Commission range was established for the proposed storage configurations. provide authority to increase the will have made findings required by the licensed power of CPSES, Units 1 and The consequences of all of these changes Atomic Energy Act of 1954, as amended have been assessed and the current 2. A separate license amendment to (the Act) and the Commission’s acceptance criteria in the licensing basis of increase licensed power level, for each regulations. CPSES will continue to be met. The nuclear licensed unit, will be required to be The Commission has made a criticality, thermal-hydraulic, mechanical, submitted and approved before such proposed determination that the material and structural designs will authority may be provided for that unit. amendment request involves no accommodate these changes. Potentially affected analyses, including a dropped spent Pursuant to 10 CFR 51.32, the significant hazards consideration. Under the Commission’s regulations in 10 CFR fuel assembly, a loss of spent fuel pool Commission has determined that 50.92, this means that operation of the cooling, a seismic event, and a fuel assembly granting of this exemption will have no placed in a location other than a prescribed facility in accordance with the proposed significant effect on the quality of the location, continue to satisfy the CPSES amendments would not (1) involve a licensing basis acceptance criteria. The human environment (64 FR This significant increase in the probability or exemption is effective upon issuance. analysis methods used by TU Electric are consequences of an accident previously consistent with methods used by TU Electric Dated at Rockville, Maryland, this 6th day evaluated; or (2) create the possibility of in the past or methods used elsewhere in the of May 1999. a new or different kind of accident from industry and accepted by the NRC. For the Nuclear Regulatory Commission. any accident previously evaluated; or Based on the acceptability of the methodology used and compliance with the John A. Zwolinski, (3) involve a significant reduction in a margin of safety. As required by 10 CFR current CPSES licensing basis, TU Electric concludes that the full use of the high Director, Division of Licensing Project 50.91(a), the licensee has provided its Management, Office of Nuclear Reactor density racks and the increase in storage Regulation. analysis of the issue of no significant capacity do not involve a significant increase hazards consideration, which is [FR Doc. 99–11996 Filed 5–11–99; 8:45 am] in the probability or consequences of an presented below: accident previously evaluated. BILLING CODE 7590±01±P 1. Do the proposed changes involve a 2. Do the proposed changes create the significant increase in the probability or possibility of a new or different kind of consequence of an accident previously accident from any accident previously evaluated? evaluated? This proposed license amendment The editorial changes to the Technical includes changes which are (1) editorial and Specifications have no impact on plant (2) provide the criteria for acceptable fuel hardware or operations and therefore cannot storage in high density racks. The editorial create a new or different kind of an accident. changes are purely administrative changes The potential for criticality in the fuel and have no impact on the probability or storage pool is not a new or different type of consequences of an accident. The revised accident. The potential criticality accidents criteria for acceptable fuel storage in the high have been reanalyzed in the criticality density racks are discussed below. analysis (Enclosure 1 [to the application]) to The high density racks differ from the low demonstrate that the pool remains density racks in that the center to center subcritical.
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Soluble boron has been maintained in the assembly) and to provide subcritical margin result, for example, in derating or fuel storage pool water since its initial such that the fuel storage pool keff is shutdown of the facility, the operation. The possibility of a fuel storage maintained less than or equal to 0.95. Commission may issue the license pool dilution is not affected by the proposed The loss of substantial amount of soluble amendments before the expiration of the change to the Technical specifications. boron from the spent fuel pools which could 30-day notice period, provided that its Therefore, the implementation of Technical lead to exceeding a keff of 0.95 has been Specification controls for the soluble boron evaluated and shown not to be credible. final determination is that the will not create the possibility of a new or These evaluations show that the dilution of amendments involve no significant different kind of accidental pool dilution. the spent fuel [pool’s] boron concentration hazards consideration. The final With credit for soluble boron now a major from 1800 ppm to 750 ppm is not credible determination will consider all public factor in controlling subcriticality, an and that the spent fuel rack keff will remain and State comments received. Should evaluation of fuel storage pool dilution less than 1.0 when flooded with unborated the Commission take this action, it will events was completed. The results of the water. publish in the Federal Register a notice evaluation concluded that an event which The thermal-hydraulic evaluation of issuance and provide for opportunity would result in a reduction of the criticality demonstrates that the temperature margin of margin below the 5% margin recommended for a hearing after issuance. The safety will be maintained. Evaluation of the Commission expects that the need to by the NRC is not credible. In addition, the spent fuel pool cooling system for the no soluble boron 95/95 criticality analysis increased heat loads shows that the spent take this action will occur very assures that a boron concentration of 0 ppm fuel cooling system will maintain the infrequently. will not result in criticality. abnormal maximum temperature of the spent Written comments may be submitted The proposed changes which ensure the fuel pool water within the limits of the by mail to the Chief, Rules and maintenance of the fuel storage pool boron existing licensing basis (i.e., below 212° F). Directives Branch, Division of concentration and storage configuration, do Additionally, it shows that the normal Administrative Services, Office of not represent new concepts. The actual boron maximum temperature will be within the Administration, U.S. Nuclear Regulatory concentration in the fuel storage pool is existing design basis temperatures for the Commission, Washington, DC 20555– currently maintained at 2400 ppm for SFP high density racks, liner, structure, and [spent fuel pool]1 and SFP2 for refueling 0001, and should cite the publication cooling system and will not have any date and page number of this Federal purposes. The criticality analysis (Enclosure significant impact on the spent fuel pool 2 [to the application]) determined that a demineralizers. Thus, the existing licensing Register notice. Written comments may boron concentration of 750 ppm (non- basis remains valid, and there is no also be delivered to Room 6D59, Two accident) and 1800 ppm (accident) results in significant reduction in the margin of safety White Flint North, 11545 Rockville a eff [less than or equal to] 0.95. for the thermal-hydraulic design or spent fuel Pike, Rockville, Maryland, from 7:30 There is no significant change in plant cooling. a.m. to 4:15 p.m. Federal workdays. configuration, equipment design, or usage of The main safety function of the spent fuel Copies of written comments received plant equipment. The safety analysis for pool and the high density racks is to may be examined at the NRC’s Public boron dilution has been performed; however, maintain the spent fuel assemblies in a safe Document Room, the Gelman Building, the criticality analyses assure that the pool configuration through normal and abnormal 2120 L Street, NW., Washington, DC. will remain subcritical with no credit for operating conditions. The design basis floor soluble boron. Therefore, the proposed The filing of requests for hearing and responses of the Fuel Building were petitions for leave to intervene is changes will not create the possibility of a confirmed to be adequate and conservative new or different kind of accident. and the floor loading will not exceed the discussed below. 3. Do the proposed changes involve a capacity of the Fuel Building. The structural By June 11, 1999, the licensee may significant reduction in a margin of safety? considerations of the high density racks file a request for a hearing with respect The proposed editorial changes to the maintain margin of safety against tilting and to issuance of the amendments to the Technical Specifications have no impact on deflection or movement, such that the high subject facility operating licenses and any acceptance criteria, plant operations or density racks do not impact each other or the any person whose interest may be the actual failure of any systems, components pool walls, damage spent fuel assemblies, or affected by this proceeding and who or structure; therefore these administrative cause criticality concerns. Thus, the margin wishes to participate as a party in the changes have no impact on the margin of of safety with respect to mechanical, material proceeding must file a written request safety. or structural considerations is not The NRC guidance [Reference 4 [in the for a hearing and a petition for leave to significantly reduced by the full use of the intervene. Requests for a hearing and a application]] has established that an high density racks. evaluation of margin of safety should address petition for leave to intervene shall be the following areas: (1) Nuclear criticality The NRC staff has reviewed the filed in accordance with the considerations, (2) Thermal-Hydraulic licensee’s analysis and, based on this Commission’s ‘‘Rules of Practice for considerations, (3) Mechanical, material and review, it appears that the three Domestic Licensing Proceedings’’ in 10 structural consideration. standards of 10 CFR 50.92(c) are CFR Part 2. Interested persons should Proposed Technical Specifications 3.7.16, satisfied. Therefore, the NRC staff consult a current copy of 10 CFR 2.714 3.7.17, and 4.3.1.1 and the associated fuel proposes to determine that the which is available at the Commission’s storage pool boron concentration and storage amendment request involves no Public Document Room, the Gelman requirements will provide adequate margin to assure that the fuel storage array will significant hazards consideration. Building, 2120 L Street, NW., always remain subcritical by the 5% margin The Commission is seeking public Washington, DC, and at the local public recommended by the NRC. Those limits are comments on this proposed document room located at the based on the criticality analysis (Enclosure 2 determination. Any comments received University of Texas at Arlington Library, [to the application]) performed in accordance within 30 days after the date of Government Publications/Maps, 702 with the storage rack criticality analysis publication of this notice will be College, P.O. Box 19497, Arlington, methodology described in Reference 8 [in the considered in making any final Texas. If a request for a hearing or application]. determination. petition for leave to intervene is filed by While the criticality analysis utilized credit Normally, the Commission will not the above date, the Commission or an for soluble boron, the storage configurations issue the amendments until the Atomic Safety and Licensing Board, have been defined using keff calculations to expiration of the 30-day notice period. designated by the Commission or by the ensure that the spent fuel rack keff will be less than 1.0 with no soluble boron. However, should circumstances change Chairman of the Atomic Safety and Soluble boron credit is used to offset off- during the notice period such that Licensing Board Panel, will rule on the normal conditions (such as a misplaced failure to act in a timely way would request and/or petition; and the
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Secretary or the designated Atomic Those permitted to intervene become The hybrid procedures in section 134 Safety and Licensing Board will issue a parties to the proceeding, subject to any provide for oral argument on matters in notice of hearing or an appropriate limitations in the order granting leave to controversy, preceded by discovery order. intervene, and have the opportunity to under the Commission’s rules, and the As required by 10 CFR 2.714, a participate fully in the conduct of the designation, following argument, of only petition for leave to intervene shall set hearing, including the opportunity to those factual issues that involve a forth with particularity the interest of present evidence and cross-examine genuine and substantial dispute, the petitioner in the proceeding, and witnesses. together with any remaining questions how that interest may be affected by the If a hearing is requested, the of law, to be resolved in an adjudicatory results of the proceeding. The petition Commission will make a final hearing. Actual adjudicatory hearings should specifically explain the reasons determination on the issue of no are to be held on only those issues why intervention should be permitted significant hazards consideration. The found to meet the criteria of section 134 with particular reference to the final determination will serve to decide and set for hearing after oral argument. following factors: (1) The nature of the when the hearing is held. petitioner’s right under the Act to be If the final determination is that the The Commission’s rules made party to the proceeding; (2) the amendment request involves no implementing section 134 of the NWPA nature and extent of the petitioner’s significant hazards consideration, the are found in 10 CFR Part 2, Subpart K, property, financial, or other interest in Commission may issue the amendments ‘‘Hybrid Hearing Procedures for the proceeding; and (3) the possible and make them immediately effective, Expansion of Spent Fuel Storage effect of any order which may be notwithstanding the request for a Capacity at Civilian Nuclear Power entered in the proceeding on the hearing. Any hearing held would take Reactors’’ (published at 50 FR 41662 petitioner’s interest. The petition should place after issuance of the amendments. dated October 15, 1985). Under those also identify the specific aspect(s) of the If the final determination is that the rules, any party to the proceeding may subject matter of the proceeding as to amendment request involves a invoke the hybrid hearing procedures by which petitioner wishes to intervene. significant hazards consideration, any filing with the presiding officer a Any person who has filed a petition for hearing held would take place before written request for oral argument under leave to intervene or who has been the issuance of any amendment. 10 CFR 2.1109. To be timely, the request admitted as a party may amend the A request for a hearing or a petition must be filed within ten (10) days of an petition without requesting leave of the for leave to intervene must be filed with order granting a request for hearing or Board up to 15 days prior to the first the Secretary of the Commission, U.S. petition to intervene. The presiding Nuclear Regulatory Commission, prehearing conference scheduled in the officer must grant a timely request for Washington, DC 20555–0001, Attention: proceeding, but such an amended oral argument. The presiding officer Rulemakings and Adjudications Staff, or petition must satisfy the specificity may grant an untimely request for oral requirements described above. may be delivered to the Commission’s Public Document Room, the Gelman argument only upon a showing of good Not later than 15 days prior to the first cause by the requesting party for the prehearing conference scheduled in the Building, 2120 L Street, NW., failure to file on time and after proceeding, a petitioner shall file a Washington, DC, by the above date. A providing the other parties an supplement to the petition to intervene copy of the petition should also be sent opportunity to respond to the untimely which must include a list of the to the Office of the General Counsel, contentions which are sought to be U.S. Nuclear Regulatory Commission, request. If the presiding officer grants a litigated in the matter. Each contention Washington, DC 20555–0001, and to request for oral argument, any hearing must consist of a specific statement of George L. Edgar, Esq., Morgan, Lewis held on the application must be the issue of law or fact to be raised or and Bockius, 1800 M Street, NW., conducted in accordance with the controverted. In addition, the petitioner Washington, DC 20036, attorney for the hybrid hearing procedures. In essence, shall provide a brief explanation of the licensee. those procedures limit the time bases of the contention and a concise Nontimely filings of petitions for available for discovery and require that statement of the alleged facts or expert leave to intervene, amended petitions, an oral argument be held to determine opinion which support the contention supplemental petitions and/or requests whether any contentions must be and on which the petitioner intends to for hearing will not be entertained resolved in an adjudicatory hearing. If rely in proving the contention at the absent a determination by the no party to the proceeding timely hearing. The petitioner must also Commission, the presiding officer or the requests oral argument, and if all provide references to those specific presiding Atomic Safety and Licensing untimely requests for oral argument are sources and documents of which the Board that the petition and/or request denied, then the usual procedures in 10 petitioner is aware and on which the should be granted based upon a CFR Part 2, Subpart G apply. petitioner intends to rely to establish balancing of the factors specified in 10 For further details with respect to this those facts or expert opinion. Petitioner CFR 2.714(a)(1)(i)–(v) and 2.714(d). action, see the application for The Commission hereby provides must provide sufficient information to amendments dated February 11, 1999, notice that this is a proceeding on an show that a genuine dispute exists with which is available for public inspection application for license amendments the applicant on a material issue of law at the Commission’s Public Document or fact. Contentions shall be limited to falling within the scope of section 134 Room, the Gelman Building, 2120 L matters within the scope of the of the Nuclear Waste Policy Act of 1982 Street, NW., Washington, DC, and at the amendment under consideration. The (NWPA), 42 U.S.C. 10154. Under local public document room located at contention must be one which, if section 134 of the NWPA, the proven, would entitle the petitioner to Commission, at the request of any party the University of Texas at Arlington relief. A petitioner who fails to file such to the proceeding, must use hybrid Library, Government Publications/ a supplement which satisfies these hearing procedures with respect to ‘‘any Maps, 702 College, P.O. Box 19497, requirements with respect to at least one matter which the Commission Arlington, Texas. contention will not be permitted to determines to be in controversy among Dated at Rockville, Maryland, this 4th day participate as a party. the parties.’’ of May 1999.
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For the Nuclear Regulatory Commission. Angeles Public Library, Mark Taper Order, the United States Trade David H. Jaffe, Auditorium, 630 West Fifth Street, Representative (‘‘USTR’’) is required to Senior Project Manager, Section 1, Project Los Angeles, California 90071 submit to the Congress by April 30 of Directorate IV & Decommissioning, Division Dallas, June 24 (and 25, if necessary): each year a report identifying foreign of Licensing Project Management, Office of Federal Reserve Bank of Dallas countries: Nuclear Reactor Regulation. Auditorium, 2200 North Pearl Street, (1) That have failed to comply with [FR Doc. 99–11998 Filed 5–11–99; 8:45 am] Dallas, Texas 75210 their obligations under the WTO BILLING CODE 7590±01±P All deadlines remain the same as Agreement on Government Procurement stated in the previous notice. (‘‘GPA’’), Chapter 10 of the North Frederick L. Montgomery, American Free Trade Agreement, or other agreements relating to government OFFICE OF THE TRADE Chairman, Trade Policy Staff Committee. REPRESENTATIVE procurement to which that country and [FR Doc. 99–11931 Filed 5–11–99; 8:45 am] the United States are parties; or Notification of Locations and Times for BILLING CODE 3901±01±M (2) That maintain, in government Public Hearings procurement, a significant pattern or practice of discrimination against U.S. AGENCY: Office of the United States OFFICE OF THE UNITED STATES products or services which results in Trade Representative (USTR). TRADE REPRESENTATIVE identifiable harm to U.S. businesses, ACTION: Trade Policy Staff Committee Annual Report on Discrimination in when those countries’ products or (TPSC) notification of locations and services are acquired in significant times for public hearings. Foreign Government Procurement Pursuant to Executive Order 13116 amounts by the U.S. Government. Within 90 days of the submission of SUMMARY: A notice was published in the (``Title VII'') the report, USTR must initiate under Federal Register on April 14, 1999 (Vol. AGENCY: section 301 of the Trade Act of 1974, as 64, No. 71, page 18469) announcing Office of the United States amended, an investigation with respect TPSC public hearings to be held in Trade Representative. ACTION: Notice. to any country identified in the report, Washington, DC; Chicago, IL; Atlanta, unless USTR determines that a GA; Los Angeles, CA; and Dallas, TX. SUMMARY: Notice is hereby given that satisfactory resolution of the matter has That notice invited oral testimony and/ the United States Trade Representative been achieved. If the matter is not or written comments of interested (‘‘USTR’’) has submitted the annual resolved during that period and USTR parties to assist the Administration in report on discrimination in foreign determines that the rights of the United its efforts to develop proposals and government procurement, published States under an international positions concerning the agenda of the herein, to the Committees on Finance procurement agreement are being third Ministerial Conference of the and on Governmental Affairs of the violated, or that any discriminatory World Trade Organization (WTO). This United States Senate and the procurement practices exist, the notice announces the specific times and Committees on Ways and Means and on Executive Order requires USTR, inter locations for the hearings in each city. Government Reform and Oversight of alia, to initiate formal dispute FOR FURTHER INFORMATION CONTACT: For the United States House of settlement proceedings under the procedural questions concerning public Representatives, pursuant to the international agreement in question or comments and/or public hearings reinstituted procedures of Title VII of revoke any waivers for purchasing contact Gloria Blue, Executive the Omnibus Trade and requirements granted to the Secretary, Trade Policy Staff Committee, Competitiveness Act of 1988 (‘‘Title discriminating foreign country. Office of the United States Trade VII’’), as amended, as set forth in Title VII has been a useful and Representative at (202) 395–3475. All Executive Order No. 13116 of March 31, effective tool in challenging foreign other questions concerning the WTO 1999. governments’ procurement barriers. The negotiations should be addressed to the DATES: The report was submitted on reinstitution of Title VII procedures agency’s Office of WTO and Multilateral April 30, 1999. through Executive Order 13116 sends a Affairs at (202) 395–6843. FOR FURTHER INFORMATION CONTACT: strong signal that the President is SUPPLEMENTARY INFORMATION: All Stephen Kho, Assistant General committed to protecting U.S. interests in hearings will begin at 9:30 a.m. Counsel, Office of the US Trade international procurement markets. Following receipt of requests to testify, Representative, 600 17th Street, NW, witnesses will be notified directly of II. Identification of Foreign Countries Washington, DC 20508, 202–395–3581. their scheduled date and time to appear. and their Discriminatory Procurement The exact locations of the hearings are SUPPLEMENTARY INFORMATION: The text of Practices as follows: the USTR report is as follows: From 1991 to 1996, USTR conducted Washington, May 19–20 (and 21, if Office of the United States Trade six annual reviews under Title VII. necessary): White House Conference Representative, Washington, DC During that time, six identifications were formally made, while numerous Center, Truman Room, 726 Jackson April 30, 1999 Place, NW, Washington, DC 20502 potentially discriminatory government Chicago, June 7 (and 8, if necessary): Annual Report on Discrimination in procurement practices were noted. James R. Thompson Center, Room 9– Foreign Government Procurement USTR achieved satisfactory resolution 040, 100 West Randolph Street, with respect to eight discriminatory or I. Legal Authority Chicago, IL 60601 potentially discriminatory practices, Atlanta, June 10 (and 11, if necessary): On March 31, 1999, the President including a GATT dispute settlement Richard B. Russell Federal Building, signed Executive Order 13116, which proceeding, with regard to the Main Auditorium, 75 Spring Street, largely reinstitutes the provisions of procurement of an electronic toll booth Southwest, Atlanta, GA 30303 Title VII of the Omnibus Trade and collection system in Norway, in which Los Angeles, June 21 (and 22, if Competitiveness Act of 1988 (‘‘Title the panel found in favor of the United necessary): Central Library, Los VII’’), as amended. Under the Executive States.
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Two other Title VII determinations United States obtained Korea’s Technology Agreement, has led to remain outstanding: In 1992, USTR commitment that the entities significant improvement in market identified the European Union (‘‘EU’’) responsible for airport construction access for U.S. firms, results to date as engaging in discriminatory would be subject to GPA disciplines. under other agreements, such as the procurement practices of government- However, soon after negotiations were Computer, Construction, owned telecommunications in certain concluded, Korea created another Telecommunications, and member states; the United States entity—the Korea Airport Construction Supercomputer Agreements, have been imposed sanctions in 1993, which are Authority (‘‘KOACA’’)—to manage highly disappointing. The still in place today. Also, in 1996, USTR procurement for IIA construction. In Administration remains seriously identified Germany for discriminating February of 1999, the Korean concerned that the objectives of these in the heavy electrical equipment sector Government made another change to its agreements, which focus on the and for its failure to adequately airport procuring authority by changing improvement of foreign firms’ access to implement its obligations under the KOACA into the Inchon International and expansion of sales in the Japanese 1993 U.S.-EU Memorandum of Airport Corporation (IIAC). Korea now public procurement market, are not Understanding on Government asserts that, because KOACA and/or being met. Further, in light of the Procurement. As a result, Germany IIAC are not expressly listed as a Japanese Government’s increased fiscal agreed to seek legislative changes to end covered entity in its GPA schedule of spending in public works and ‘‘21st its discriminatory practices and the concessions, procurement for the IIA is century technologies,’’ we believe that United States agreed to temporarily not covered by the GPA. U.S. firms should have a fair suspend sanctions (see below for an In seeking to participate in the IIA opportunity to compete for these update). project, U.S. suppliers have repeatedly procurements in line with the After consulting with other executive faced discriminatory tendering practices obligations contained in our bilateral agencies and U.S. businesses, USTR has that hamper their ability to compete agreements. The United States has made determined not to identify any countries effectively for related procurement clear our concerns to the Japanese under Title VII, because the practices of contracts. These Korean Government Government with respect to those areas concern are either being addressed practices include the following: • where we believe Japanese under another trade dispute mechanism, Requiring that a firm hold four implementation could be improved. In do not meet the criteria for Korean licenses, including a addition, the U.S. Government has identification, or are currently under manufacturing license, in order to be offered new proposals for generating scrutiny as a result of previous eligible to bid as a prime contractor, progress in several areas, while identifications. The Administration will thereby precluding foreign firms that do proposing various ways in which the continue to carefully monitor these not have a license to manufacture in agreements can be made more effective. practices in making its determinations Korea from bidding as a prime Our success to date in pursuing this next year, and the United States will contractor; • agenda, however, has been limited, and move forward with WTO dispute Requiring that foreign firms further action is necessary in order to settlement proceedings to challenge participate in a bid only as consortium ensure that foreign firms have fair, open, Korea’s government procurement members or subcontractors to local and transparent access to Japanese practices in the construction of the firms acting as the prime contractors; markets. Particularly problematic are Inchon International Airport. and Japanese Government procurement • Failing to provide effective practices related to computer goods and A. Korea procedures to enable suppliers to services and public works projects. As a party to the GPA, the challenge alleged breaches of the GPA procurement market for the Republic of arising in the context of individual Japan—Market Access for Computer Korea (ROK) was estimated at procurements. Products and Services: U.S. computer approximately $3.8 billion in 1998. Of U.S. Government officials sought to makers, global leaders in technology this, about $1.3 billion was subject to resolve these matters through and performance, have long had a international tendering procedures in representations to the Korean disproportionately low share of the accordance with GPA rules. In addition Government in bilateral and multilateral Japanese public sector market as to purchases of goods and services, it is fora. Because Korea did not confirm that compared with their strong showing in estimated that Korea awarded procurement for airport construction is the Japanese private sector. To address construction contracts valued at $6.1 subject to the GPA, on February 16, this fact, the United States and Japan billion in 1998. 1999, the United States requested concluded a bilateral agreement on Presently, Korea is constructing the consultations with Korea under WTO government procurement of computers Inchon International Airport (‘‘IIA’’). dispute settlement procedures. (covering computer hardware, software, Valued at $6 billion, IIA is one of the Consultations were held on March 17, and services) in 1992. Under this largest public works projects in Asia, 1999. The U.S. Government will take agreement, the Japanese Government and the largest underway in Korea. further steps necessary to resolve this agreed to institute changes to its Although the airport is about half matter. procurement system based on the completed, procurements over the next principles of non-discrimination, several years will be worth billions of B. Japan transparency, and fair and open dollars, including those for (1) The United States and Japan have competition, with the aim of expanding meteorological radar, (2) Satellite concluded bilateral Government government purchases of foreign Navigation System (CNS/ATM), (3) Procurement Agreements covering six computer products and services. control facilities for parking, (4) a cargo key sectors: telecommunications, However, there is still much to be done x-ray system, and (5) a passenger x-ray computers, construction, in this sector to increase transparency, system. It is important that U.S. firms supercomputers, medical technology, openness, and fairness. In addition, have fair access to these contracts. and satellites. While Japan’s while there has been some sporadic During negotiations for Korea’s implementation of some of these increases in Japanese public accession to the GPA in 1991–92, the agreements, such as the Medical procurement of foreign computer
VerDate 06-MAY-99 12:38 May 11, 1999 Jkt 183247 PO 00000 Frm 00054 Fmt 4703 Sfmt 4703 E:\FR\FM\A12MY3.068 pfrm07 PsN: 12MYN1 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Notices 25527 products and services, the overall aim of Japanese Government’s reluctance to greater coverage of procurements by the the agreement has not been met on a seriously consider these proposals, agreements, thereby increasing sustained basis. particularly since the result would be a opportunities for foreign firms; and The U.S. Government continues to more competitive procurement system contracting out all future design work receive reports from U.S. industry of and better value for Japanese (instead of conducting design ‘‘in- problems in Japanese Government Government entities. The U.S. house’’). The United States is procurement of computers, including Government continues to urge Japan to encouraging other ministries to follow unequal access to information, undertake further steps to ensure that the Construction Ministry’s lead and is persistence of unreasonably low bids, the provisions of this agreement are monitoring closely these initiatives to and a lack of strong efforts by the fully implemented and that its see if they result in progress under the Japanese Government to ensure that objectives are met. agreements. sole-sourcing procurements by Japan—Market Access for The U.S. Government continues to government entities decrease Construction: American firms are well- urge Japan to take immediate, concrete significantly, as called for in our known for their top-notch expertise in steps in both the design/consulting and bilateral agreement. U.S. industry has design/consulting and construction construction areas that will lead to also noted that even where bidding is projects. Despite two bilateral increased business opportunities for open, Japanese purchasing agencies agreements intended to enhance access American companies. The United States often evaluate bids in a way that to Japan’s public works market, has made clear our expectation that encourages excessively low-priced bids. American companies continue to fare progress be made before the next annual These factors have created an poorly and the objectives of the review of the public works agreements, environment whereby U.S. computer agreements are not being achieved. The which is tentatively scheduled for July companies enjoy only limited access to 1991 Major Projects Arrangement is 1999. the Japanese Government procurement intended to familiarize foreign firms markets. An important result of these with Japan’s public works market while C. Germany problems has been a steady, long-term the main purpose of the 1994 Public In April 1996, USTR identified decrease in the foreign share of the Works Agreement is to make bidding Germany in the Title VII report for its Japanese public sector Personal and contracting procedures more failure to comply with market access Computer (‘‘PC’’) market since 1992 and transparent and objective. The U.S. procurement requirements in the heavy a significant decline in the foreign share Government is seriously concerned by electrical equipment sector. The of the Japanese public sector mainframe the fact that, at the June 1998 annual identification was based on and mid-range computer market in the review, it was recognized that U.S. firms irregularities in the procurement last two years for which there is data. had won only $50 million in contracts process for two separate steam turbine The next annual review of this over the preceding year—less than one generator projects. In particular, the agreement, covering 1997 data, is percent of Japan’s $250 billion public Title VII Report noted a ‘‘pervasive scheduled for May in Tokyo. Despite works market and only half of the $100 institutional problem’’ with respect to signs that there may have been an million in contracts won the year before. Germany’s implementation of a increase in Japanese Government The United States has focused on two remedies system for challenging purchases of foreign mainframe and key areas that require serious attention procurement decisions. The imposition mid-range computers in 1997, in this sector—Japanese restrictions on continuing poor performance of state-of- the formation of joint ventures for of trade sanctions, however, was the-art foreign-made PCs, and the fact construction projects and the very low delayed until September 30, 1996, that foreign firms have continued to number of design/consulting because consultations with Germany hold approximately 35 percent of procurements open to foreign firms. suggested a resolution might be possible Japan’s overall private sector computer Regarding joint venture formation for given additional time. On October 1, market over the last several years, are construction projects, the United States 1996, then-Acting USTR Barshefsky evidence that significant non- has pressed Japan to eliminate the announced that the German competitive forces are still at work in ‘‘three-company rule,’’ under which the Government had agreed to take steps to the Japanese public sector computer Japanese Government limits to three the ensure open competition in the German market. As a result, the U.S. number of firms that can participate in heavy electrical equipment market, Government remains committed to fully a joint venture. In addition, the United including reform of the government address discriminatory and non- States has asked Japan to allow procurement remedies system as well as transparent practices in this sector. companies, rather than procuring outreach, monitoring, and consultation In light of the poor results under the entities, to determine whether or not a measures. The United States did not, agreement to date, lingering concerns supplier can bid as a solo bidder or as however, terminate the Title VII action over fairness and transparency, and a member of a joint venture. To date, at that time because legislation rapid changes in technology in this Japan has rejected these requests. The implementing reform of the sector, last August the U.S. Government United States will continue to urge procurement remedies system needed to presented the Japanese Government Japan to eliminate these restrictions, be enacted. with a set of proposals devised to thereby promoting greater competition In May 1998, the German parliament improve implementation of the in this sector. passed legislation requiring significant agreement and bring its provisions into With regard to the low number of reforms in the German procurement line with advances in technology. These design/consulting procurements open to system, including reforms with respect include taking specific steps to further foreign firms, Japan’s Construction to bid challenge procedures. This improve the bid evaluation process to Ministry recently has undertaken legislation was signed and entered into give greater weight to technological initiatives in response to U.S. concerns. effect on January 1, 1999. The innovation and other key non-price These initiatives include allowing Administration has advised the German factors. retch design/consulting firms greater freedom Government that it will review the To date, the U.S. Government has to partner on projects; combining design status of this Title VII identification on been extremely disappointed with the contracts in a way that would lead to the basis of practical experience
VerDate 06-MAY-99 12:38 May 11, 1999 Jkt 183247 PO 00000 Frm 00055 Fmt 4703 Sfmt 4703 E:\FR\FM\A12MY3.069 pfrm07 PsN: 12MYN1 25528 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Notices demonstrating the effective IV. International Government costs for both suppliers and implementation of this legislation. Procurement Agreements governments. The United States believes that the GPA must accommodate such III. Transparency in Government A. The WTO Agreement on Government improvements in the operation of Procurement Procurement (‘‘GPA’’) procurement systems. The United States Active support for early conclusion of The GPA, which entered into force on and other Members have also a WTO Agreement on Transparency in January 1, 1996, is a ‘‘plurilateral’’ recognized the potential for simplifying Government Procurement is a key agreement included in Annex 4 to the the Agreement’s statistical reporting element of the Administration’s ongoing WTO Agreement. As such, it is not part requirements, an issue that is of efforts to promote the development of of the WTO’s single undertaking, and its particular interest to members’ sub- transparent procurement environments membership is limited to the 26 WTO central procurement authorities and to throughout the world. Drawing largely members that signed the Agreement in other countries that may potentially be on proposals made by the United States, Marrakesh or that subsequently acceded interested in acceding to the GPA. WTO Ministers agreed at the 1996 to it. The current Members are the The GPA establishes a procedure for Singapore Ministerial Conference to United States, the member states of the monitoring members’ implementing European Union (Austria, Belgium, establish the WTO Working Group on legislation. The United States has used Denmark, Finland, France, Germany, Transparency in Government this procedure to better understand and Greece, Ireland, Italy, Luxembourg, Procurement. The Working Group’s comment on procurement practices of Netherlands, Portugal, Spain, Sweden, mandate is to: (1) conduct a study on concern to U.S. suppliers, such as the United Kingdom), Aruba, Canada, Hong transparency in government practices of Korea’s airport construction Kong, Israel, Japan, Liechtenstein, procurement practices; and (2) based on authorities and the application of the Norway, the Republic of Korea, this study, develop elements for a EU ‘‘Utilities Directive.’’ Singapore, and Switzerland. Chinese multilateral agreement on transparency B. Chapter 10 of the North American Taipei, Iceland, and Panama are in the in government procurement. Free Trade Agreement (‘‘NAFTA’’) process of negotiating accession to the Conclusion of a WTO agreement on GPA, although by the terms of the GPA, In Chapter 10 of the NAFTA, transparency in government Chinese Taipei must become a WTO signatories agreed to open the majority procurement will serve a wide range of member prior to GPA accession. In their of non-defense related federal important U.S. interests. It will help to protocols of accession to the WTO, procurement opportunities to establish a more stable and predictable Bulgaria, the Kyrgyz Republic, Latvia, competition from all North American business environment for U.S. Mongolia, and Slovenia have committed suppliers. Because Mexico is not a exporters, even in markets where to pursue GPA accession. member of the GPA, its participation in governments maintain ‘‘buy national’’ or In its report to the 1996 Singapore the NAFTA marked the first time that other purchasing restrictions. It will also Ministerial Conference, the Committee Mexico had committed to eliminate build on the ‘‘good governance’’ reforms on Government Procurement, which discriminatory government procurement that a growing number of countries have monitors the GPA, stated its intention to practices. While differences exist adopted in response to the international undertake an ‘‘early review’’ of the GPA between NAFTA Chapter 10 and the financial crisis, and the deeper starting in 1997. The review would be GPA (e.g., with respect to thresholds structural impediments to efficient long- aimed at the implementation of Article and sub-federal coverage), the principles term growth and development. XXIV:7(b) and (c) of the GPA, which call of non-discrimination, fair and open In 1997 and 1998, the Working for further negotiations to achieve the competition, and transparency are Group’s initial study of WTO Members’ following objectives: established with equal force in both general procurement policies and • Simplification and improvement of agreements. objectives revealed broad international the GPA, including, where appropriate, In October 1998, agreement was agreement on many key principles. adaptation to advances in the area of reached by the delegations of Canada, Based on this work and subsequent information technology and streamlined Mexico, and the United States to the consultations, the Working Group is procurement methods; NAFTA Working Group on Government poised to move forward with • Expansion of coverage of the GPA; Procurement with respect to the subject negotiations on the elements of a and of electronic transmission, pursuant to • transparency agreement. Those elements Elimination of discriminatory Article 1024(5) of the NAFTA. will likely include: measures and practices which distort Particularly, the delegations agreed that open procurement practices. the NAFTA Parties may publish • Information on National Legislation GPA Members have agreed that one of invitations to participate for all and Procedures; their principal objectives for the review procurements in either paper or • Information on Procurement of the Agreement is to promote electronic format, or both. Opportunities; expanded membership of the GPA by Recently, the Administration has • Information on Tendering and making the Agreement more accessible received complaints from U.S. exporters Qualification Procedures; to non-members. that Mexico is not adhering to the • Transparency of Decisions on In the course of the review, many NAFTA requirement that the time limit Qualification; Members have also noted the for the receipt of tenders must be open importance of ensuring that the GPA’s for a minimum time period that is • Transparency of Decisions on rules accommodate the use by consistent with Article 1012, which Contract Awards; and governments of new information allows suppliers to prepare and submit • Domestic Review Procedures. technologies and other innovations in meaningful tenders. Generally, the The United States and its Quad government procurement procedures. period for the receipt of tenders is to be partners have urged that the Working Many governments now use electronic no less than 40 days from the date of Group seek to conclude these forms of publication for procurement publication of a Request for Proposal. A negotiations by the Third WTO notices and other documents to improve 1997 study commissioned by Canada Ministerial Conference, in late 1999. dissemination capabilities and lower indicated that this problem is pervasive
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In the NAFTA force of the OECD Convention on Negotiating Group on Government Combating Bribery of Foreign Public Amtrak Reform Council; Notice of Procurement, the United States has Officials in International Business Meeting joined Canada in seeking clarification Transactions, which obligates its 34 AGENCY: Amtrak Reform Council. on this issue and in urging Mexico to parties to impose criminal sanctions on ensure that its procurement authorities the offering and payment of bribes in ACTION: Notice of Meeting. comply with the relevant NAFTA procurement markets and other SUMMARY: As provided in Section 203 of commitments. international commercial transactions, the Amtrak Reform and Accountability C. Free Trade Area of the Americas represents a major step forward. The Act of 1997, the Amtrak Reform Council (‘‘FTAA’’) United States and 33 other countries (ARC) gives notice of a meeting of the The United States is presently have signed the OECD Convention. Council. The Council will discuss its involved in discussions for creating a Furthermore, twenty-five members of 1999 work program and schedule and new free trade area, the FTAA. As an the Organization of American States consider action on a conflict of interest active participant in the Negotiating (‘‘OAS’’), including the United States, guidelines for non-government members Group on Government Procurement, have signed the OAS Inter-American of the Council. The meeting will also and as the discussions involving Convention Against Corruption, which consider matters raised by individual government procurement is in the very obligates its parties to impose criminal Council members. The Council’s early stages, the United States is sanctions, and provides for international business meeting will precede a one-day generally interested in (1) concluding a legal cooperation in combating corrupt seminar on May 18, 1999, sponsored by text embodying the principles of practices in international business the Council on Intercity Rail Passenger transparency and due process in transactions. The Administration looks Services—Past, Present and Future. (FR government procurement, leading to a forward to early ratification of the OAS 5/6/99). recommendation for agreement at the Convention. DATES: The Council meeting is October 1999 FTAA Ministerial meeting scheduled from 4:30 p.m. to 6:30 p.m. to implement the results of this work by B. Offsets in Defense Trade on Monday, May 17, 1999. December 1999; (2) achieving agreement ADDRESSES: on a set of commitments which will When purchasing defense systems The meeting will be held in ensure non-discrimination in from U.S. defense prime contractors, Room 9210, Department of government procurement within a scope many U.S. trading partners require Transportation, Nassif Building, 400 7th to be negotiated, to be implemented as compensation in the form of offsets as St. SW Washington, DC. Persons in need part of the conclusion of the FTAA; and a condition of purchase in either of special arrangements should contact (3) achieving agreement on the basic government-to-government or the person listed below. elements of a common procurement commercial sales of defense articles FOR FURTHER INFORMATION CONTACT: reporting system. and/or defense services. Offsets include Deirdre O’Sullivan, Amtrak Reform mandatory co-production, licensed Council, Room 7105, JM-ARC, 400 V. Other Trade-Distorting Practices production, subcontractor production, Seventh Street, SW, Washington, DC A. Bribery and Corruption technology transfer, countertrade, and 20590, or by telephone at (202) 366– 0591; FAX: 202–493–2061. Among the most consistent foreign investment. Offsets may be complaints the Administration receives directly related to the weapon system SUPPLEMENTARY INFORMATION: The ARC from U.S. industry and labor being exported, or they may take the was created by the Amtrak Reform and representatives is that bribery and form of compensation unrelated to the Accountability Act of 1997 (ARAA), as corruption compromise U.S. market exported item, such as foreign an independent commission, to evaluate access in many foreign markets. This is investment or countertrade. Amtrak’s performance and to make particularly true for big ticket Prime contractors view offset recommendations to Amtrak for infrastructure projects for which arrangements as a necessity for success achieving further cost containment, productivity improvements, and preparation of a bid package alone can in the international marketplace. financial reforms. In addition, the cost millions of dollars. U.S. firms often However, offset requirements cause ARAA requires: that the ARC monitor find that they are bidding on projects prime contractors to select cost savings resulting from work rules with little or no certainty as to whether subcontractors based on their being the offered technology and price are established under new agreements located in the country requiring the going to be the primary considerations between Amtrak and its labor unions; offset versus best value, thereby in the award of contracts. Despite their that the ARC provide an annual report concerns, however, many U.S. firms adversely affecting potential U.S. to Congress that includes an assessment have in the past been hesitant about subcontractors. Originally designed to of Amtrak’s progress on the resolution coming forward publicly with cases in enhance allied national security, offsets of productivity issues; and that after two which they have seen bribery and increasingly have become economic years the ARC has the authority to corruption influence contract awards, development tools for the countries that determine whether Amtrak can meet because of fears that they may demand them. Furthermore, there has certain financial goals specified under experience a commercial backlash with been a recent trend to fulfill offset the ARAA and, if not, to notify the respect to future contracts. requirements with non-defense products President and the Congress. These circumstances call for versus defense products. The ARAA provides that the ARC government-to-government initiatives to Charlene Barshefsky, consist of eleven members, including root out bribery and corruption in United States Trade Representative. the Secretary of Transportation and ten international procurement markets. The [FR Doc. 99–11930 Filed 5–11–99; 8:45 am] others nominated by the President or Administration is aggressively pursuing Congressional leaders. Each member is this objective in a wide range of BILLING CODE 3190±01±P to serve a five year term.
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Issued in Washington, DC May 6, 1999. Seventh Coast Guard District, Miami, FL Procedural Thomas A. Till, (305) 536–5621; Mr. Joel Glenn, District Any person who wishes may appear Executive Director. Environmental Management Engineer, and speak or present evidence at this [FR Doc. 99–11904 Filed 5–11–99; 8:45 am] Florida Department of Transportation, public hearing. Persons planning to BILLING CODE 4910±06±P Lake City, FL (904) 752–3300; or Mr. speak at the hearing should notify Mr. Mark Bartlett, Program Operations Joel Glenn or Mr. Bill Henderson with Engineer, Federal Highway the Lake City office of the Florida DEPARTMENT OF TRANSPORTATION Administration, Tallahassee, FL (850) Department of Transportation, or the 942–9598. Commander (oan), Seventh Coast Guard Coast Guard District, Bridge Administrator, at the SUPPLEMENTARY INFORMATION: [CGD07±99±008] telephone numbers listed under FOR Background FURTHER INFORMATION CONTACT any time Bridge of Lions; Atlantic Intracoastal prior to the hearing, indicating the Waterway, St. Augustine, FL The Bridge of Lions is a historic, sub- amount of time required. Written standard two-lane structure across the statements and exhibits may be AGENCY: Coast Guard, DOT. AIWW. The Coast Guard is concerned submitted in place of or in addition to ACTION: Notice of public hearing; request about the restrictive horizontal oral statements and will be made a part for comments. clearance that the existing bridge and of the hearing record. Written fender system now imposes on statements and exhibits may be SUMMARY: The Coast Guard together commercial tug and barge traffic on the delivered before or during the hearing, with the Federal Highway AIWW. These navigational concerns or they may be submitted for up to 30 Administration (FHWA) and the Florida must be addressed sufficiently to allow days following the date of the hearing to Department of Transportation (FDOT), the Coast Guard to accept an application the Coast Guard office listed under will hold a public hearing to receive for a proposed bridge replacement or ADDRESSES. The DEIS is available in information concerning the print format in FDOT offices as well as environmental and navigational impacts rehabilitation at this location on the all St. Johns County, Florida public of alternate bridge designs being AIWW. The Coast Guard has been libraries. It is the official document sent considered for the replacement or involved in temporary remedial to all governmental agencies for the rehabilitation of the Bridge of Lions. measures to insure the safety of final round of comments on whether to The bridge is located on State Road A1A navigation through the existing bridge rehabilitate or replace the existing where it crosses the Atlantic Intracoastal structure while plans are being prepared bridge. Waterway (AIWW), mile 777.9, at St. for a new or rehabilitated bridge at the Augustine, Florida. The hearing will reach of the AIWW. These measures Information on Services for Individuals allow interested parties to present include the placement of temporary with Disabilities comments and information concerning mooring dolphins upstream and downstream of the bridge to provide For information about facilities or the bridge alternates under services for individuals with tugs with tows a place to moor while consideration. disabilities, or to request special waiting for slack water conditions to DATES: The hearing will start at 7 p.m. assistance at the meeting, contact make safe passage of the structure. on Monday, June 7, 1999. Comments Commander Eugene Gray, U.S. Coast These temporary mooring dolphins must be received by July 7, 1999. Guard, Chief, Aids to Navigation and remain in place at the time of this ADDRESSES: The hearing will be held at Waterways Management Branch, public hearing but the Coast Guard does the St. Johns County Administration Seventh Coast Guard District at the not consider them a suitable long-term Building, 4010 Lewis Speedway Road, number under FOR FURTHER INFORMATION solution. St. Augustine, Florida. Written CONTACT As soon as possible. comments may be submitted to, and The FHWA is lead federal agency for Authority: 33 CFR 115.60. will be available for examination the environmental documentation for Dated: May 5, 1999. this project. The Coast Guard has been between 7:30 a.m. and 4 p.m., Monday Norman T. Saunders, through Friday, except Federal holidays, involved as a cooperating agency during Rear Admiral, U.S. Coast Guard, Commander, at the office of the Commander (oan), the preparation of the Draft Seventh Coast Guard District. Seventh Coast Guard District, Bridge Environmental Impact Statement (DEIS). [FR Doc. 99–11927 Filed 5–11–99; 8:45 am] Section, Brickell Plaza Federal Building, The DEIS identifies no preferred 909 SE First Avenue, Miami, Florida alternate for implementation. The BILLING CODE 4910±15±M 33131–3050. Please submit all selection of a preferred alternative will comments and attachments in an be made only after a thorough DEPARTMENT OF TRANSPORTATION unbound format, no larger than 8 by 11 evaluation of the merits of each. The inches, suitable for copying and Coast Guard, in cooperation with the Federal Highway Administration electronic filing. Persons wanting FDOT, owner of the bridge, and the acknowledgement of receipt of FHWA, welcomes your comments on Driver History Initiative Projects; Fiscal comments should enclose a stamped, the Bridge of Lions project study. A U.S. Year 1999 Funding self-addressed postcard or envelope. Coast Guard Bridge Permit approving AGENCY: Federal Highway FOR FURTHER INFORMATION CONTACT: the location and clearances of the Administration (FHWA), DOT. alternative eventually selected for Mr. N.E. Mpras, Chief, Office of Bridge ACTION: Notice of solicitation. Administration, Commandant (G–OPT), construction is required before U.S. Coast Guard, 2100 Second Street, construction begins. Accordingly, it is SUMMARY: This notice solicits proposals SW, Washington, DC 20593 (202 267– extremely important to receive all from States for projects to improve the 0368); Commander Eugene Gray, U.S. information on the alternatives, which timeliness, accuracy, and completeness Coast Guard, Chief, Aids to Navigation may present serious problems for of reporting and recording of and Waterways Management Branch, navigation and bridge safety. commercial motor vehicle (CMV) traffic
VerDate 06-MAY-99 16:05 May 11, 1999 Jkt 183247 PO 00000 Frm 00058 Fmt 4703 Sfmt 4703 E:\FR\FM\12MYN1.XXX pfrm02 PsN: 12MYN1 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Notices 25531 convictions within a State and between is making funds available to States method for identifying potential States. Where safety and identification desiring to improve their CMV driver problem drivers for remediation. of traffic offenders can be improved, license adjudication and data exchange Without early detection and corrective these grants would provide funding to systems. While the funding is primarily action, these violators can develop into assist States to improve the reporting intended to improve driver license chronic offenders and become the and recording of traffic convictions. The adjudication reporting and information problem drivers that cause crashes and FHWA, in partnership with the National exchange for CMV drivers, it does not injuries, and fatalities. The accurate and Highway Traffic Safety Administration preclude States’ non-commercial timely exchange of driver licensing (NHTSA), will provide grant funds to systems from benefitting from any information between jurisdictions can the selected States to carry out the system improvements. The agencies are save lives, and the Federal government’s projects for driver improvements and seeking grant applications from States implementation of these grants is enhancements. willing to undertake a systematic review designed to achieve that objective. In DATES: Proposals must be submitted on of their license citation and conviction addition, timely, accurate and complete or before August 10, 1999. reporting systems and the development recording of traffic adjudications insures of plans to improve the accuracy, that the millions of dollars spent ADDRESSES: Submit all proposals to: the State Director, Department of completeness and timeliness of driver annually to fund roadside traffic Transportation, Federal Highway license information exchange with enforcement achieve maximum safety Administration, Office of Motor Carrier courts, prosecutors, and law benefit and that officers are not enforcement. This may include needlessly placed at risk when and Highway Safety in your State. procedural changes within the State conducting traffic enforcement Those desiring notification of receipt of licensing agency, new or expanded activities. their proposal submission must include communications with courts, a self-addressed, stamped envelope or FY 1998 Awards: A Strong Beginning prosecutors and police, or perhaps postcard. If you need the name and regulatory and/or legislative changes. The Department of Transportation address of the State Director in your The initiative is a collaborative effort of and Related Agencies Appropriations State, you can call (202) 366–9579 the FHWA and the NHTSA, which Act, 1998, Pub. L. 105–66, 111 Stat. between the hours of 7:45 a.m. to 4:15 jointly will provide the funding, as well 1425, made available $1 million dollars p.m., e.t., Monday through Friday, as the American Association of Motor in Information Systems funding for the except Federal holidays. Vehicle Administrators (AAMVA), FHWA for driver program FOR FURTHER INFORMATION CONTACT: For which will provide technical support improvements. The FHWA made that program issues: Mr. Norm Anger, Office during all phases of the projects. full amount available for grants to States of National and International Safety Extensive studies and research for improvement of their traffic Programs, (202) 366–2170, or Mr. conducted over a period of years have adjudication systems. The NHTSA Phillip Forjan, Office of Motor Carrier found that driver error is a major cause provided $200,000 in additional Research and Standards, (202) 366– of motor vehicle crashes. Driver error is funding to support this program, making 4001: For legal issues: Ms. Suzanne a complex problem with many $1.2 million available to the States for O’Malley, Office of Chief Counsel, (202) components including age, experience, FY 1998. Twelve States submitted grant 366–1367 Federal Highway time of day, extent of familiarity with proposals, totaling just under $3 million Administration, Department of the roadway, emotional/physical/mental dollars. Each grant proposal was Transportation, 400 Seventh Street, state, traffic patterns, etc. Improving reviewed based on its adherence to the SW., Washington, DC 20590. Office driver behavior is an essential grant application criteria contained in hours are from 7:45 am to 4:15 pm, e.t., component to improving highway the Federal Register notice published Monday through Friday, except Federal safety. Federal, State, and local on April 9, 1998 (63 FR 17474) and the holidays. governments spend millions of dollars extent to which it addressed driver SUPPLEMENTARY INFORMATION: annually on training, education, public licensing adjudication system problems information and law enforcement efforts in that particular State. The results of Electronic Access to protect the motoring public by the review lead to full funding of five An electronic copy of this document detecting and deterring unsafe driver proposals, partial funding of four may be downloaded using a modem and behavior. The enforcement component proposals, and no funding to three suitable communications software from of these programs produces thousands States, because they either failed to meet the Federal Register Electronic Bulletin of citations for driving violations every the required criteria specified in the Board Service at (202) 512–1661. day. This Driver History Initiative is notice or did not meet the deadline for Internet users may reach the Federal designed to assist States to answer the submitting grant applications. Register’s home page at: http:// question of what happens to those Some of the projects which were www.nara.gov/fedreg and the convictions. funded are as follows: an analysis of a Government Printing Office’s database The backbone of the effort to deal current driver citation reporting process at http://www.acesss.gpo.gov/nara. with unsafe drivers is the driver control and the design of a new system to system. This is the adjudicatory automate this process; a study on the Background framework by which law enforcement, impact of diversion and deferral The Omnibus Consolidated and prosecutors, courts and motor vehicle programs on the accuracy and integrity Emergency Supplemental licensing agencies issue citations, of driver histories; and the Appropriations Act for Fiscal Year 1999, adjudicate driving offenses, report those reprogramming of a driver control Pub. L. 105–277, 112 Stat 2681, enacted offenses for entry on the driver record, system to accept driver crash data, a on October 21, 1998, set aside grant and exchange that information among vital component of the driver control funds for states to carry out projects for the participants in that State’s system record. driver improvements and and with licensing and adjudication enhancements. systems outside that State. If the driver Driver History Initiative Projects This is the second year in which the control system breaks down, or if it is The FHWA seeks to improve the FHWA, in cooperation with the NHTSA, not working efficiently, there is no timeliness, completeness, accuracy, and
VerDate 06-MAY-99 12:38 May 11, 1999 Jkt 183247 PO 00000 Frm 00059 Fmt 4703 Sfmt 4703 E:\FR\FM\A12MY3.080 pfrm07 PsN: 12MYN1 25532 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Notices clarity of State driver history files by systems, or revising existing procedural 3. An analysis of existing systems or promoting an integrated driver licensing practices and/or procedures. procedures, including discussion of any system. Such a system will improve and The Initiative’s primary objective is to driver conviction/deferral programs enhance the driver control system by its achieve enhancements in the operating in the State, an outline of ability to facilitate identification, development, exchange, retention, and system strengths, and definition of areas prosecution, and adjudication of reporting of driver histories of CMV requiring attention or improvement. The problem drivers. It will benefit drivers operators. The FHWA believes that any grant proposal should define, analyze, who have satisfied the penalties or enhancements to the commercial and document user procedures, conditions of a driving restriction by segment of the driver licensing system including projected barriers to project promptly updating their driving record. will also have a positive effect on success, such as any statutory It will ensure that all drivers have processing of traffic offenses for drivers limitations that may affect complete, accurate, and up-to-date of non-commercial vehicles. While communication and recording of histories available as needed for focusing primarily on improving CMV convictions on the system. employment and insurance purposes. traffic adjudication systems, State 4. System requirements, including The Initiative will again begin with proposals that also serve to improve or project scope, whether new technologies federally-funded State projects. It will enhance non-commercial systems would be tested, and methods of once more involve States that are ancillary to the CMV improvements are gathering, integrating, and facilitating willing to explore and test new and eligible for funding. One of the results data exchange between various users. If proven methodologies and protocols, of these grants will be to broadly share the project is not system-related, allowing for rapid electronic exchange information among States on methods to describe existing procedures, the of driver history information. A major improve traffic adjudication and problems they generate, proposed new component of the projects will continue recordkeeping systems. Consequently, procedures, anticipated outcome, and to be to test procedures that facilitate States submitting applications for grant the means to measure the success or citation tracking from issuance to funding will be required to report impact of the project or program. 5. A plan for preparing a final report, resolution. The projects should also regularly on project activities and including the evaluation findings and enhance the accuracy, speed, and progress and share the results of their recommendations for other States completeness of driver history efforts with other jurisdictions. The regarding the strengths and weaknesses information exchange among the FHWA, the NHTSA and the AAMVA of this project or program. All grant various components of the system, will facilitate these efforts and provide recipients will be required to provide including law enforcement, prosecutors, technical assistance to all jurisdictions. periodic progress reports on funded the courts, and driver licensing Proposal Submission projects and agree to share project agencies, both within the State and Required Content of Proposals results with other jurisdictions. between States. 6. A detailed plan for implementing The scope of potential projects or While providing flexibility to States, the system or procedures, including plans need not to be limited to grant proposals must meet certain time lines for completion, along with a information systems development, criteria. The grant proposal criteria are detailed budget for the project. The changes, or enhancements. The State designed to ensure that project budget must be sufficiently detailed so may have a system that is technically proposals will enhance traffic that it may be evaluated on the costs sound but hampered by State adjudication systems in the State and assigned to each proposed task, the procedures, policies, laws, or legislation that key State agencies and allocation of resources to complete the preventing the State from utilizing its organizations participate in approved tasks, the procurement of hardware and/ system in the most efficient and grant activities. Traffic adjudication or software (if applicable), staff hours effective manner. The FHWA will systems involve law enforcement, (broken out by labor category), and other entertain proposals that may not involve courts, prosecutors, and driver licensing costs (e.g., travel, printing, etc.). The the system but still would meet the agencies. To be effective, the FHWA and budget should closely correspond to the project goals. One example of a the NHTSA believe that traffic tasks outlined in the implementation procedural problem is the handling of adjudication system improvement plan and be broken out according to the out-of-State convictions. Some States projects must be multi-disciplinary and time lines for completion. treat paper notification of out-of-State reflect the expertise and commitment of 7. A detailed description of how the convictions differently than electronic all participants in the system. success of the project will be evaluated notification of similar convictions; Consequently, grant applications must and measured. This must include several States lack the authority to specify that all relevant participants in specific descriptions of the goals of the assess points or penalties for the process are involved in the project. project, how progress will be monitored convictions received electronically. A thorough evaluation design is another and the final evaluation design and due Some States report there are certain out- key requirement. The proposal must date. of-State convictions which they cannot include the following seven items: enter on drivers’ records because of 1. Identification of a lead Agency for Submission of Proposals State-to-State statutory inconsistencies. the project. There will be no formal Request For 2. Identification of an Proposals (RFP). Proposals responding Project Goal interdisciplinary working group within to this notice must be valid for 180 days The goal of the FHWA is to ensure the State, including but not limited to and may be funded at any time during timely, accurate, and complete reporting representation from the motor vehicle that period. Proposals should be and recording of traffic convictions licensing agency, court system, submitted with an original and two within State courts, State licensing prosecutors, State law enforcement, copies, following the task requirements agencies, prosecutors; and between and Governor’s Highway Safety listed above, to the State Director, among States to reliably identify Representatives, and State Motor Carrier Federal Highway Administration, potential problem drivers by enhancing Safety Assistance Program (MCSAP) Department of Transportation, Office of existing systems, developing new agency. Motor Carrier and Highway Safety in
VerDate 06-MAY-99 12:38 May 11, 1999 Jkt 183247 PO 00000 Frm 00060 Fmt 4703 Sfmt 4703 E:\FR\FM\A12MY3.081 pfrm07 PsN: 12MYN1 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Notices 25533 your State. If you need the name and and implementation of State systems or DOT Dockets, Room PL–401, 400 address of the State Director in your revision of State procedures. This grant Seventh Street, SW., Washington, DC State, you can call (202) 366–9579 will not require matching funds. The 20590–0001. All comments received between the hours of 7:45 a.m. to 4:15 FHWA has $700,000 available for this will be available for examination at the p.m., e.t., Monday through Friday, purpose in FY 1999 and contemplates above address between 9 a.m. and 5 except Federal holidays. making several awards from the p.m., e.t., Monday through Friday, Sample Proposal Available proposals submitted. States are also except Federal holidays. Those desiring encouraged to explore other funding notification of receipt of comments A sample proposal was developed sources in both the private and public should include a self-addressed, and could be used by the States as a sectors to implement integrated driver stamped envelope or postcard. guideline for submitting their own history tracking systems. Applications for candidate projects proposals. The sample proposal can be for FY 2000 funding should be obtained on-line, in portable document Authority: Pub. L. 105–277, 112 stat. 2681 (1998); 49 U.S.C. 31102; and 49 CFR 1.48. submitted to the FHWA Division Office format, from the AAMVA web site in the State of the applicant in (http://www.aamva.org) and clicking on Issued on: May 3, 1999. Gloria J. Jeff, accordance with the guidance provided ‘‘Must See Items.’’ If you have any in the solicitation memorandum. problems retrieving the document from Federal Highway Deputy Administrator. FOR FURTHER INFORMATION CONTACT: AAMVA’s web site, please call (703) [FR Doc. 99–11925 Filed 5–11–99; 8:45 am] Larry Beidel, Office of Program 908–2822. The proposal is also available BILLING CODE 4910±22±P Administration, (202) 366–1564; or from the FHWA’s web site at (http:// Wilbert Baccus, Office of the Chief www.mcregis.fhwa.dot/forms.htm) or Counsel, (202) 366–1396; Federal from the State Director in the FHWA’s DEPARTMENT OF TRANSPORTATION Highway Administration, 400 Seventh Office of Motor Carrier and Highway Street SW., Washington DC 20590. Safety in your State. Federal Highway Administration Office hours are from 7:45 a.m. to 4:15 Evaluation of Proposals and Award [FHWA Docket No. FHWA±1999±5088] p.m., e.t., Monday through Friday A panel comprised of representatives Fiscal Year (FY) 2000 Implementation except Federal holidays. from the NHTSA and the AAMVA will Guidance for Public Lands Highways SUPPLEMENTARY INFORMATION: assist the FHWA in its technical review Discretionary Program Funds Electronic Access of project proposals. The AAMVA and the FHWA will also participate in AGENCY: Federal Highway Internet users can access all project monitoring, evaluation, and Administration (FHWA), DOT. comments received by the U.S. DOT information sharing with other States. ACTION: Notice; FHWA solicitation Dockets, Room PL–401, by using the Members of the panel will be available memorandum for FY 2000 funds; universal resource locator (URL):http:// for technical assistance during all request for comments on selection www.dms.dot.gov. It is available 24 phases of the projects and will review criteria for FY 2001 and beyond. hours each day, 365 days each year. the evaluations of each final product. Please follow the instructions online for SUMMARY: The Transportation Equity more information and help. The panel will evaluate each proposal Act for the 21st Century (TEA–21) based on the following factors: (1) The An electronic copy of this document continued the public lands highways may be downloaded using a modem and intrinsic merit of the proposal; (2) the (PLH) discretionary program through FY technical competency of the proposal; suitable communications software from 2003. This document provides the Government Printing Office (3) the potential for utilization of implementation guidance on the PLH results; (4) reasonableness of the costs Electronic Bulletin Board Service at discretionary program for FY 2000 and (202) 512–1661. Internet users may proposed; and (5) adequacy of proposed beyond. Also, it contains information on resources to complete the project reach the Federal Register’s home page the selection criteria used by the FHWA at: http://www.nara.gov/fedreg and the requirements satisfactorily, and in a in evaluating candidate projects. An timely manner; and (6) the adequacy of Government Printing Office’s database implementation guidance memorandum at: http://www.access.gpo.gov/nara. the project evaluation design. on this topic was issued to division Proposals which most closely meet The solicitation memorandum will offices soliciting candidate projects from the seven content criteria and the six also be available on the FHWA web site State transportation agencies for FY evaluation criteria as outlined above at http://www.fhwa.dot.gov/ 2000 public lands highways (PLH) will be considered for funding. In discretionary. discretionary funding. The text of that addition, it is understood that States memorandum is incorporated here. This Background which receive funding may be visited by document seeks comments from all the FHWA representatives who will TEA–21, Pub. L. 105–178, 112 Stat. interested parties on the selection review the progress of their projects , as 107 (1998), continued the PLH criteria and their continued use by well as seek input and feedback on the discretionary program through FY 2003 FHWA for FY 2001 and beyond. Initiative. and provides $66.6 million in FY 1998 DATES: Comments on the selection and $83.6 million in each of FY 1999 Project Funding criteria for PLH discretionary funding through 2003 for the program. On March This notice announces the FHWA’s for FY 2001 and beyond must be 4, 1999, the FHWA issued a intent to provide funding in FY 1999 for received on or before July 12, 1999. memorandum to its division offices, a number of projects relating to driver ADDRESSES: Your signed, written located in each State, the District of licensing systems and State driver comments on project selection criteria Columbia and Puerto Rico, soliciting license procedures. States are invited to for PLH discretionary funding for FY from the State transportation agencies submit proposals outlining their 2001 and beyond must refer to the candidate projects for FY 2000 PLH projects to the FHWA’s Office of Motor docket number appearing at the top of discretionary funding. This Carriers and Highway Safety. The this document and you must submit the memorandum is published here for FHWA will fund project management comments to the Docket Clerk, U.S. informational purposes. The
VerDate 06-MAY-99 12:38 May 11, 1999 Jkt 183247 PO 00000 Frm 00061 Fmt 4703 Sfmt 4703 E:\FR\FM\A12MY3.082 pfrm07 PsN: 12MYN1 25534 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Notices memorandum contains information on From: Henry H. Rentz HIPA. applications, and our evaluation was the PLH discretionary program, eligible for Vincent F. based on insufficient information in activities, the application process, and Schimmoller Pro- some cases. This year we will return the selection criteria used by the FHWA gram Manager, In- incomplete applications, which could in evaluating candidate projects. frastructure. To: Division Adminis- jeopardize consideration of the Also, the purpose of this document is candidate projects if the applications are to invite comments on the selection trators Program Manager, Federal not resubmitted in time. criteria used by the FHWA for Lands Highway. evaluating candidate projects for FY We are requesting that candidate 2001 and beyond. The attachment to the The Transportation Equity Act for the project submissions be received in March 4, 1999, memorandum presents 21st Century (TEA–21) continued the Headquarters no later than July 1, 1999. the selection criteria that the FHWA PLH discretionary program through FY Projects received after this date may not will be using for FY 2000. These criteria 2003. With this memorandum, we are receive full consideration. requesting submission of eligible reflect areas which are given preference Because the available funding is candidate projects for FY 2000 PLH when evaluating candidate projects; always far less than the demand, we ask discretionary funds. however, any project submitted by a that submissions include only candidate State transportation agency which meets TEA–21 authorized $83.64 million for the PLH discretionary program for FY projects that, if funded, can be obligated the eligibility requirements for this in FY 2000. Any allocations in FY 2000 discretionary program can potentially be 2000. Estimating the deductions for will be made on the assumption that the selected for funding. These are the same FHWA administration, Section 1102(f) general selection criteria that the FHWA of TEA–21, and administrative expenses proposed projects are viable and the has used for several years to evaluate for Federal land management agencies, implementation schedules are realistic. candidates for this discretionary and the increase due to the revenue Any unobligated balances remaining on program. Occasionally, a selection aligned budget authority (RABA) under September 15, 2000, will be withdrawn criterion may be added for an individual Section 1105 of TEA–21, it appears that and used for funding future fiscal year year that reflects a special emphasis approximately $70 to $75 million will requests. area, but for the most part the selection be available for allocation to projects in If there are any questions, please criteria have remained unchanged. FY 2000. Of this available funding, $10 contact Mr. Larry Beidel (202–366– The FHWA plans to continue to use million will be used to fund two 1564) of our Office of Program these same basic selection criteria for projects selected for FY 1999 funding Administration. FY 2001 and beyond for this that were deferred in order to fund discretionary program. However, before Congressional earmarking in the FY Attachment—Public Lands Highways doing so, the FHWA is interested in the 1999 appropriations act conference Discretionary Program views of the States or others on these report. Therefore, only $60 to $65 Program Guidelines selection criteria. Accordingly, million will be available for projects in comments are invited to this docket on FY 2000. Background the selection criteria that FHWA will Attached to this memorandum are the The Public Lands Highways (PLH) Program use for the PLH discretionary program program guidelines that contain was originally established in 1930 by the for funding available for FY 2001 and information on eligibility, selection Amendment Relative to Construction of beyond. criteria, and submission requirements. Roads through Public Lands and Federal Publication of the implementation Please provide this information to your Reservations. Funding was provided from the guidance for the public lands highways State and work with them to identify General Funds of the Treasury. The intent of discretionary program satisfies the viable, quality candidate projects for the program is to improve access to and requirement of section 9004(a) of the this program. within the Federal lands of the nation. The TEA–21 Restoration Act, Pub. L. 105– We ask that you pay particular Federal-Aid Highway Act of 1970 changed 206, 112 Stat. 685, 842 (1998). attention to the submission the funding source for the program from the Authority: 23 U.S.C. 202 and 315; 49 CFR requirements listed in the attached General Funds to the Highway Trust Fund, 1.48. guidelines. Many of the candidates effective in FY 1972. The program has been Issued on: May 3, 1999. submitted last year did not provide all continued with each highway or Gloria J. Jeff, of the necessary information. With the transportation act since then, and the latest Federal Highway Deputy Administrator. elimination of the region offices, we are transportation act, the Transportation Equity The text of the FHWA solicitation and relying on you to ensure that all of the Act for the 21st Century (TEA–21, Public implementation guidance memorandum applications from your State are Law 105–178), has continued the program follows: completed in accordance with the through FY 2003. Action: Request for March 4, 1999. appropriate submission requirements. Statutory References: This is important to ensure that all Projects for Fiscal Year 23 U.S.C. 202, 203 & 204; TEA–21 Section (FY) 2000 Public Lands candidates receive a fair evaluation. Due 1101(a)(8)(B) Highways (PLH) Discre- to the shortened time frame last year tionary Funds (Reply because of the late passage of TEA–21, Funding Due: July 1, 1999). we were not able to return incomplete [In millions]
Fiscal Year 1998 1999 2000 2001 2002 2003
Authorization ...... $66.6 $83.6 $83.6 $83.6 $83.6 $83.6
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TEA–21 provides $196 million in FY 1998 The PLH funds are available for discretionary funds, commitment of other and $246 million in each of fiscal years 1999 transportation planning, research, funding sources to complement the requested through 2003 for Public Lands Highways. In engineering, and construction of the PLH discretionary funding is an important accordance with 23 U.S.C. 202(a), 34 percent highways, roads, and parkways, or of transit factor. of these funds are available for the PLH facilities within the Federal public lands. • Expeditious completion of project— discretionary program. For FY 1998, this is Under 23 U.S.C. 204(h), eligible projects Preference is also given to requests that will $66.6 million, and for fiscal years 1999 under the PLH program may also include the expedite the completion of a viable project through 2003, this is $83.6 million per year. following: over requests for initial funding of a project This available funding is reduced by 1. Transportation planning for tourism and that could require a long-term commitment of FHWA administration expenses, which may recreational travel, including the National future PLH funding. For large-scale projects be up to 1.5 percent. The amount of available Forest Scenic Byways Program, Bureau of consideration is given to the State’s total funding is also impacted by any obligation Land Management Back Country Byways funding plan to expedite the completion of limitation imposed on the Federal-aid Program, National Trail System Program, and the project. highway program under the provisions of other similar Federal programs that benefit • Amount of PLH funding—The requested TEA–21 Section 1102(f), Redistribution of recreational development. amount of funding is another consideration. Certain Authorized Funds. Under this 2. Adjacent vehicular parking areas. For States that have a relatively small amount provision, any funds authorized for the 3. Interpretive signage. of Federal public lands, moderately sized program for the fiscal year, which are not 4. Acquisition of necessary scenic (<$500,000) project requests are given more available for obligation due to the imposition easements and scenic or historic sites. favorable consideration. • of an obligation limitation, are not allocated 5. Provision for pedestrians and bicycles. State priorities—For States that submit for the PLH program, but are redistributed to 6. Construction and reconstruction of more than one project, consideration is given the States by formula as STP funds. In roadside rest areas, including sanitary and to the individual State’s priorities if accordance with 23 U.S.C. 204(i), these PLH specified. water facilities. • funds are also available for administration 7. Other appropriate public road facilities National geographic distribution of the expenses and transportation planning costs such as visitor centers. funding within the PLH program—Although preference is to be given to the States with of Federal land management agencies. 8. A project to build a replacement of the at least 3 percent of the Nation’s public After these reductions, it is expected that federally owned bridge over the Hoover Dam lands, consideration is also given to approximately $70 million will be available in the Lake Mead National Recreation Area providing funding to States in the eastern for candidate projects each of fiscal years between Nevada and Arizona. part of the country to provide some 2000 through 2003. This available funding In addition, 23 U.S.C. 134(d)(3), as geographic balance for the program. may also increase or decrease each year amended by TEA–21 Section 1203, provides Because the concept of equity was depending on the obligation limitation that up to ‘‘1 percent of the funds allocated important in the development of TEA–21, calculation and on the estimated receipts to under 23 U.S.C. 202 may be used to carry out project selection will also consider national the Highway Trust Fund. the transportation planning process for the geographic distribution among all of the Federal Share Lake Tahoe region,’’ and that highway discretionary programs as well as projects included in these transportation In accordance with 23 U.S.C. 204(b), the congressional direction or guidance provided plans ‘‘may be funded using funds allocated Federal share of the costs for any project on specific projects or programs. under 23 U.S.C. 202.’’ Applications for these eligible under this program is 100 percent. activities, therefore, could also be submitted Solicitation Procedure Obligation Limitation requesting PLH discretionary funding. Each year, usually around March, a The PLH discretionary funds are subject to Selection Criteria memorandum is sent from the FHWA obligation limitation; however, 100 percent Headquarters Office of Program The following criteria are used to evaluate obligation authority is provided with the Administration to the FHWA division offices the submitted candidates for selection. allocation of funds for the selected projects. requesting the submission of candidate The obligation limitation reduces the The only statutory criterion is found in 23 projects for the following fiscal year’s available funding for the program under the U.S.C. 202(b): ‘‘The Secretary shall give funding. This solicitation is also published in provisions of TEA–21 Section 1102(f) preference to those projects which are the Federal Register. The FHWA division discussed above. significantly impacted by Federal land and offices provide this solicitation request to the resource management activities which are State transportation departments, who are the Eligibility proposed by a State which contains at least only agencies that can submit candidates Under the provisions of 23 U.S.C. 202(b), 3 percent of the total public lands in the under the provisions of 23 U.S.C. 202(b). The the funds shall be allocated ‘‘among those Nation.’’ The following eleven States have at State transportation departments coordinate States having unappropriated or unreserved least 3 percent of the nation’s Federal public with local and Federal agencies within their public lands, nontaxable Indian lands or lands: Alaska, Arizona, California, Colorado, respective States in order to develop viable other Federal reservations, on the basis of Idaho, Montana, Nevada, New Mexico, candidate projects. The State transportation need in such States.’’ Therefore, all States are Oregon, Utah, and Wyoming. departments submit the candidate eligible to apply for PLH discretionary FHWA has not established regulatory applications to the FHWA division offices, funding. criteria for selection of PLH discretionary who send them in to the Office of Program In accordance with 23 U.S.C. 204(b), the projects; however, in its annual solicitation, Administration. Candidate projects are due PLH funds are available for any kind of FHWA notes that the following criteria are in FHWA Headquarters usually around the transportation project eligible for assistance also considered in the evaluation of first of July. under Title 23, United States Code, that is candidates for this program: The specific timetable for the solicitation within, adjacent to, or provides access to the • Equitable distribution of funding among process for any particular fiscal year is areas served by the public lands highway. A the States—In applying this criterion, the provided in the solicitation memorandum. ‘‘public lands highway’’ means a forest road PLH discretionary funding distributed over The most recent solicitation is provided in under the jurisdiction of and maintained by the past 20 years is considered and two these Guidelines for reference. a public authority and open to public travel factors are used to determine a State’s fair The candidate project applications are or any highway through unappropriated or share of this distribution: (1) the State’s share reviewed and evaluated by the Office of unreserved public lands, nontaxable Indian of the Nation’s Federal public lands and (2) Program Administration and an allocation lands, or other Federal reservations under the the percentage of an individual State’s area plan is prepared for presentation of the jurisdiction of and maintained by a public that is comprised of Federal public lands. candidate projects to the Office of the Federal authority and open to public travel. Federal Preference is given to those States that are Highway Administrator, where the final reservations are considered to include lands ‘‘behind’’ in their fair share of the funding. selection of projects for funding is made. The owned by the Department of the Interior, • Leveraging of private or other public announcement of the selected projects and Department of Agriculture, Department of funding—Because the annual requests for the allocation of funds is usually Defense and other Federal agencies. funding far exceed the available PLH accomplished by the middle of November.
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Submission Requirements submitted from projects that are ready to FHWA Headquarters Program Office Only State transportation departments may advance in that fiscal year. If a State is Responsibilities submit applications for funding under this willing to accept partial funding of the 1. Solicit candidates from the States program. Although there is not a prescribed request, that should also be indicated. through annual solicitation memorandum. format for a project submission, the following Sometimes partial funding of requests is 2. Review candidate project submissions information must be included to properly utilized to provide funding to more projects, and compile program and project information evaluate the candidate projects. With the since the requests far exceed the funding for preparation of allocation plan. exception of the project area map, all of the available. 3. Submit allocation plan to the Office of following must be included to consider the 13. Commitment of Other Funds—Indicate the Federal Highway Administrator for use in application complete. Those applications the amounts and sources of any private or making final project selections. that do not include these items are other public funding being provided as part 4. Allocate funds for the selected projects. considered incomplete and returned. of this project. Only indicate those amounts 1. State in which the project is located. of funding that are firm and documented FHWA Headquarters Program Office Contact 2. County in which the project is located. commitments. The submission must include Larry Beidel, Highway Engineer, Office of 3. U.S. Congressional District No.(s) in written confirmation of these commitments Program Administration, Phone: (202) 366– which the project is located. from the entity controlling the committed 1564, Fax: (202) 366–3988, E-mail: 4. U.S. Congressional District Member’s funds. [email protected] Name(s). 14. Previous PLH Discretionary Funding— Sample Talking Points Briefing for Secretary 5. Project Location—Describe the specific Indicate the amount and fiscal year of any location of the project, including route previous PLH discretionary funds received Note: These talking points will be used by number and mileposts, if applicable. for this project or route. the Office of the Secretary in making 6. Public Lands Category—Specify what 15. Future Funding Needs—Indicate the congressional notification contacts. Since Federal public lands are being served by the estimated future funding needs for the some of the recipients of the calls may not project and whether the project is within, project, including anticipated requests for be closely familiar with the highway adjacent to, or provides access to the public additional PLH discretionary funding, the program, layman’s language should be used lands. items of work to be completed and projected to the extent possible. Information contained 7. Proposed Work—Describe the project scheduling. in the talking points may be used by a work to be completed under this particular 16. Project Area Map—It is suggested that member of Congress in issuing a press release request, and whether this is a complete a readable map, clearly showing the announcing the discretionary allocation. project or part of a larger project. proposed project and its relationship to the Public Lands Highways (PLH) Discretionary 8. Project Purpose—The States’ submission overall development of a highway route, as Funds should show how the proposed project and/ well as its relationship to the Federal public or the highway route of which it is a part lands, be included. The map should also Grantee: management needs in the State. This should highway route, if any, plus additional work Project:
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20, 1999. The meeting will be held at (WINRS), both at the field and Central M. Williams, Jr., Director of the VA’s the Department of Veterans Affairs Office reporting levels. The afternoon Vocational Rehabilitation Service, will Central Office, Room 430, 810 Vermont session will consist of a review of present an update on the vocational Avenue NW, Washington, DC 20420. On veteran rehabilitation issues. rehabilitation program, as well as future May 18 and 19, the meeting will On May 19, Mr. Jeffrey Green, VA program goals and casework projects. convene at 9:00 a.m. and adjourn at 4:00 Deputy Ethics Attorney, will brief the On May 20, the meeting will consist p.m. On May 20, the meeting will VACOR membership on the annual of a review of past unfinished business, convene at 9:00 a.m. and adjourn at ethics requirements associated with recommendations for program changes, 12:00 noon. The purpose of the meeting membership and financial disclosure and a discussion of future meeting sites is to review the new case management forms. Also, Mr. John Dorrer and Mr. and potential agenda topics. system (WINRS) which has been Neil Ridley, of the National Center on All meetings will be open to the introduced into Vocational Education and the Economy, along with general public. Oral statements will be Rehabilitation field office operations. In Mr. James Hartman, of the Vets heard at the May 20 morning meeting. addition, the Committee will learn Employment Training Administration, If additional information is needed, about the ‘‘One Step Career Center’’ will present information on the ‘‘One- please contact Frank J. Donlan, concept currently in development at the Stop Career Center’’ concept being Counseling Psychologist, Department of National Center on Education and the developed by the Department of Labor. Veterans Affairs, at (202) 273–7436. The afternoon session will feature Ms. Economy. Dated: May 5, 1999. On May 18, the meeting will begin Violet Parker, Director, Foreign with opening remarks and an overview Countries Operations, Veterans By Direction of the Secretary: by Mr. Ronald W. Drach, Chairman. A Affairs—Canada. She will report on the Heyward Bannister, presentation will follow which will status of rehabilitation services Committee Management Officer. examine the computer-based Vocational provided to American military veterans [FR Doc. 99–11923 Filed 5–11–99; 8:45 am] Rehabilitation Case Management System residing in Canada. Finally, Mr. Julius BILLING CODE 8320±01±M
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DEPARTMENT OF TRANSPORTATION 1120 Vermont Avenue, Mail Stop 10, E. Federalism implications Washington, D.C. 20590. F. Compliance with the Unfunded Mandates Reform Act of 1995 Federal Railroad Administration FOR FURTHER INFORMATION CONTACT: G. Effects on the Year 2000 computer Ronald Newman, Staff Director, Motive 49 CFR Parts 216, 223, 229, 231, 232, problem Power and Equipment Division, Office and 238 XI. List of Subjects of Safety Assurance and Compliance, [FRA Docket No. PCSS±1, Notice No. 5] FRA, 1120 Vermont Avenue, Mail Stop I. Introduction RIN 2130±AA95 25, Washington, D.C. 20590 (telephone: Passenger railroads offer the traveling 202–493–6300); Daniel Alpert, Trial public one of the safest forms of Passenger Equipment Safety Attorney, Office of Chief Counsel, FRA, transportation available. In the eight- Standards 1120 Vermont Avenue, Mail Stop 10, year period 1990–1997, there were 0.89 Washington, D.C. 20590 (telephone: passenger fatalities for every billion AGENCY: Federal Railroad 202–493–6026); or Thomas Herrmann, miles of passenger transportation by Administration (FRA), Department of Trial Attorney, Office of Chief Counsel, rail. Nevertheless, collisions, Transportation (DOT). FRA, 1120 Vermont Avenue, Mail Stop derailments, and other such occurrences ACTION: Final rule. 10, Washington, D.C. 20590 (telephone: continue to occur, often as a result of 202–493–6036). factors beyond the control of the SUMMARY: FRA is issuing comprehensive SUPPLEMENTARY INFORMATION: passenger railroad. Further, the rail Federal safety standards for railroad passenger environment is rapidly passenger equipment. The purpose of Table of Contents for Supplementary changing. Worldwide, passenger these safety standards is to prevent Information equipment operating speeds are collisions, derailments, and other I. Introduction increasing. Passenger trainsets designed occurrences involving railroad II. Statutory Background to European safety standards have been passenger equipment that cause injury III. Passenger Equipment Safety Standards proposed for operation in the United or death to railroad employees, railroad Working Group States-and a few are in operation. passengers, or the general public; and to IV. Proceedings to Date Overall, these trainsets do not meet the mitigate the consequences of any such V. Discussion of Specific Comments and structural standards that are common Conclusions occurrences, to the extent they cannot for passenger equipment operating in be prevented. The final rule promotes A. Application of the final rule to rapid transit operations and ‘‘light rail’’ the United States. FRA believes that passenger train safety through adherence to such common standards requirements for railroad passenger B. Static end strength requirement: application to existing equipment by the nation’s passenger railroads has equipment design and performance; fire C. United States international treaty in large measure contributed to the high safety; emergency systems; the obligations level of safety at which rail passenger inspection, testing, and maintenance of D. Non-conventional passenger equipment service is currently provided in the passenger equipment; and other E. System safety United States. However, these standards provisions for the safe operation of F. Side exit doors on passenger cars generally do not have the force of law. G. Fuel tank standards railroad passenger equipment. The final Effective Federal safety standards for rule addresses passenger train safety in H. Train interior safety I. Fire safety freight equipment have long been in an environment where technology is place, but equivalent Federal safety advancing and equipment is being VI. Inspection and Testing of Brake Systems and Mechanical Components standards for passenger equipment have designed for operation at higher speeds. A. Background prior to 1997 NPRM not existed. Further, the Association of The final rule amends existing B. 1997 NPRM on Passenger Equipment American Railroads (AAR) currently regulations concerning special notice for Safety Standards sets industry standards for the design repairs, safety glazing, locomotive 1. Proposed brake system inspections and maintenance of freight equipment safety, safety appliances, and railroad 2. Proposed mechanical inspections that add materially to the safe operation 3. Proposed qualification of inspection and power brakes as applied to passenger of such equipment. However, over the equipment. testing personnel C. Overview of comments relating to years, the AAR has discontinued the The final rule does not apply to development and maintenance of tourist and historic railroad operations. proposed inspection and testing requirements industry standards for railroad However, after consulting with the D. General FRA conclusions passenger equipment. excursion railroad associations to 1. Brake and mechanical inspections FRA must necessarily be vigilant in determine appropriate applicability in 2. Qualified maintenance person ensuring that passenger trains continue light of financial, operational, or other 3. Long-distance intercity passenger trains to be designed, built, and operated with factors unique to such operations, FRA VII. Movement of Defective Equipment a high level of safety. In general, the A. Background may prescribe requirements for these railroad operating environment in the operations that are similar to or different B. Overview of 1997 NPRM C. Discussion of comments on the 1997 United States requires passenger from those affecting other types of equipment to operate commingled with passenger operations. NPRM and general FRA conclusions 1. Movement of equipment with defective very heavy and long freight trains, often DATES: This regulation is effective July brakes over track with frequent grade crossings 12, 1999. The incorporation by reference 2. Movement of equipment with other than used by heavy highway equipment. of certain publications listed in the rule power brake defects European passenger operations, on the is approved by the Director of the VIII. FRA’s Passenger Train Safety Initiatives other hand, are intermingled with Federal Register as of July 12, 1999. IX. Section-by-Section Analysis freight equipment of lesser weight than X. Regulatory Impact ADDRESSES: Any petition for A. Executive Order 12866 and DOT in North America. In many cases, reconsideration should reference FRA regulatory policies and procedures highway-rail grade crossings also pose Docket No. PCSS–1, Notice No. 5, and B. Regulatory Flexibility Act lesser hazards to passenger trains in be submitted in triplicate to the Docket C. Paperwork Reduction Act Europe due to lower highway vehicle Clerk, Office of Chief Counsel, FRA, D. Environmental impact weight. FRA is concerned with the level
VerDate 06-MAY-99 17:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00002 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm03 PsN: 12MYR2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25541 of safety provided by passenger prescribe initial regulations under subsection Railway Progress Institute (RPI) equipment designed to European and (a) within 3 years after the date of enactment Safe Travel America (STA) other international standards when such of the Federal Railroad Safety Authorization Transportation Workers Union of equipment is operated in the United Act of 1994. The initial regulations may America (TWU) exempt equipment used by tourist, historic, States. United Transportation Union (UTU), scenic, and excursion railroad carriers to and A clear set of Federal safety standards transport passengers. for railroad passenger equipment is Washington State Department of (2) The Secretary shall prescribe final Transportation (WDOT) needed that is tailored to the nation’s regulations under subsection operating environment in order to (a) within 5 years after such date of The Working Group is chaired by provide for the safety of rail operations enactment. FRA, and supported by FRA program, in the United States and to facilitate (c) PERSONNEL.—The Secretary may legal, and research staff, including sound planning for these operations. In establish within the Department of technical personnel from the Volpe furtherance of this safety objective, FRA Transportation 2 additional full-time National Transportation Systems Center is pleased by the American Public equivalent positions beyond the number (Volpe Center) of the Research and permitted under existing law to assist with Transit Association’s (APTA) initiative Special Programs Administration of the drafting, prescribing, and implementation DOT. FRA has included vendor to continue the development and of regulations under this section. maintenance of voluntary industry (d) CONSULTATION.—In prescribing representatives designated by RPI as standards for the safety of railroad regulations, issuing orders, and making associate members of the Working passenger equipment. These standards amendments under this section, the Secretary Group. FRA has also included the will complement FRA’s safety standards may consult with Amtrak, public authorities AAPRCO as an associate Working Group and, thus, will work together to provide operating railroad passenger service, other member. The National Transportation an even higher level of safety for rail railroad carriers transporting passengers, Safety Board (NTSB) has designated passengers, rail employees, and the organizations of passengers, and staff members to advise the Working organizations of employees. A consultation is public as a whole. Group. not subject to the Federal Advisory In developing proposed safety II. Statutory Background Committee Act (5 U.S.C. App.), but minutes standards for passenger equipment of the consultation shall be placed in the operating at speeds greater than 125 In September, 1994, the Secretary of public docket of the regulatory proceeding. Transportation convened a meeting of mph but not exceeding 150 mph, FRA representatives from all sectors of the The Secretary of Transportation has formed a subgroup (the ‘‘Tier II rail industry with the goal of enhancing delegated these rulemaking Equipment Subgroup’’) of Working rail safety. As one of the initiatives responsibilities to the Federal Railroad Group members representing interests arising from this Rail Safety Summit, Administrator. 49 CFR 1.49(m). associated with the provision of rail the Secretary announced that DOT III. Passenger Equipment Safety passenger service at such high speeds. would begin developing safety Standards Working Group The full Working Group recommended standards for rail passenger equipment the formation of a smaller subgroup to Consistent with the intent of Congress over a five-year period. In November, consider Tier II passenger equipment that FRA consult with the railroad 1994, Congress adopted the Secretary’s standards, as a number of Working industry in prescribing these schedule for implementing rail Group members found the operation of regulations, FRA invited various passenger equipment regulations and high-speed passenger equipment to be organizations to participate in a working included it in the Federal Railroad outside their immediate interest and group to focus on the issues related to Safety Authorization Act of 1994 (the expertise. FRA invited representatives railroad passenger equipment safety and Act), Pub. L. No. 103–440, 108 Stat. from organizations including Amtrak, assist FRA in developing Federal safety 4619, 4623–4624 (November 2, 1994). the BLE, BRC, RPI, and UTU to standards. The Passenger Equipment Section 215 of the Act, as now codified participate in developing the Tier II Safety Standards Working Group (or the at 49 U.S.C. 20133, requires: standards. ‘‘Working Group’’) first met on June 7, In accordance with 49 U.S.C. (a) MINIMUM STANDARDS.—The 1995, and has assisted FRA throughout 20133(d), the evolving positions of the Secretary of Transportation shall prescribe the rulemaking process. Since its initial regulations establishing minimum standards Working Group members—as reflected for the safety of cars used by railroad carriers meeting, the Working Group has in the minutes of the group’s meetings to transport passengers. Before prescribing evolved so that its membership includes and associated documentation, together such regulations, the Secretary shall representatives from the following with data provided by the members consider— organizations: during their deliberations—have been (1) the crashworthiness of the cars; American Association of Private placed in the public docket of this (2) interior features (including luggage Railroad Car Owners, Inc. (AAPRCO) rulemaking. restraints, seat belts, and exposed surfaces) American Association of State Highway that may affect passenger safety; IV. Proceedings to Date (3) maintenance and inspection of the cars; and Transportation Officials (4) emergency response procedures and (AASHTO) On June 17, 1996, FRA published an equipment; and APTA Advance Notice of Proposed (5) any operating rules and conditions that AAR Rulemaking (ANPRM) concerning the directly affect safety not otherwise governed Brotherhood of Locomotive Engineers establishment of comprehensive safety by regulations. (BLE) standards for railroad passenger The Secretary may make applicable some or Brotherhood Railway Carmen (BRC) equipment (61 FR 30672). The ANPRM all of the standards established under this FRA provided background information on subsection to cars existing at the time the Federal Transit Administration (FTA) of the need for such standards, offered regulations are prescribed, as well as to new DOT preliminary ideas on approaching cars, and the Secretary shall explain in the rulemaking document the basis for making National Railroad Passenger Corporation passenger safety issues, and presented such standards applicable to existing cars. (Amtrak) questions on various topics including: (b) INITIAL AND FINAL National Association of Railroad system safety programs and plans; REGULATIONS.—(1) The Secretary shall Passengers (NARP) passenger equipment crashworthiness;
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00003 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 25542 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations inspection, testing, and maintenance Appliance Standards), and 232 1997. A smaller body of the Working requirements; training and qualification (Railroad Power Brakes and Drawbars). Group met again on January 6, 1998, to requirements for mechanical personnel 62 FR 49728. The proposed part 238 set discuss in particular high-speed and train crews; excursion, tourist, and forth comprehensive Federal safety passenger equipment safety issues, as private equipment; commuter standards for the safety of railroad well as brake inspection, testing and equipment and operations; train make- passenger equipment, including maintenance issues for long-distance up and operating speed; tiered safety equipment design and performance intercity passenger trains. Minutes of standards; fire safety; and operating standards for passenger and crew these meetings, including copies of the practices and procedures. survivability in the event of a passenger discussion documents circulated at the FRA’s commitment to developing train accident, as well as inspection, meetings, are available in the public proposed regulations through the testing, and maintenance standards for docket of the rulemaking. See 63 FR Working Group necessarily influenced passenger equipment. 28496; May 26, 1998. FRA received one the role and purpose of the ANPRM. The 1997 NPRM generated written set of written comments on the minutes FRA specifically asked that members of comments from 34 separate parties, and of the meetings, which FRA had the Working Group not respond all of these comments may be found in prepared, and these comments are also formally to the ANPRM. The issues and the public docket of the rulemaking. available in the same docket. ideas presented in the ANPRM had The written comments included a already been placed before the Working request by the New York Department of V. Discussion of Specific Comments and Group, and the Working Group had Transportation (NYDOT) to extend the Conclusions commented on drafts of the ANPRM. As comment period for 90 days. The A. Application of the Final Rule to a result, FRA solicited the submission of NYDOT sought this additional time to Rapid Transit Operations and ‘‘Light written comments that might be of more thoroughly review the proposed Rail’’ assistance in developing a proposed rule rule, and secure expert testimony and from interested persons not involved in empirical data on the proposed rule’s In the 1997 NPRM, FRA proposed the Working Group’s deliberations. possible impact on the high-speed applying the rule to rapid transit FRA received 12 comments in intercity rail passenger program in the operations in an urban area, unless response to the ANPRM. These State of New York. FRA did not grant those operations are not connected with comments were shared with the the request, however, particularly the general system of railroad Working Group and were taken into because FRA had planned to convene transportation. In other words, FRA consideration by the members of the the Working Group in the interim and made clear that its rule would apply to group as they advised FRA during the needed to assemble the comments on rapid transit operations over the general development of a Notice of Proposed the rule for discussion within the system. The Utah Transit Authority Rulemaking (NPRM). The Working Working Group. FRA asked the NYDOT (UTA), in commenting on the NPRM, Group worked intensively, and to submit its comments by the close of expressed concern with the inclusion of concluded with a meeting in the comment period on November 24, rapid transit operations, including light Philadelphia on September 30-October 1997, and it did so. FRA did explain to rail transit, in the proposed rule. The 2, 1996. Working Group members the NYDOT that it would consider UTA stated that the rule provided no agreed to the preparation of a NPRM comments submitted after the formal definition of what is meant by the reflecting partial consensus on a number close of the comment period to the phrase ‘‘not connected with the general of the issues in the rulemaking. extent possible without incurring railroad system of transportation.’’ As a However, the industry parties were additional expense or delay in issuing result, the UTA requested that the final unable to agree on any option with the final rule, and FRA has done so. rule provide such a definition. Further, respect to inspection requirements for FRA held a public hearing on the the UTA requested that any such power brakes or daily inspection of proposed rule in Washington, D.C. on definition take into account rail equipment. Further, one labor November 21, 1997, at which nine operations that are time-separated or organization later advised FRA that it parties submitted oral comments. These physically separated (using derails and could not participate in a consensus on parties consisted of: APTA; the BRC; the electric locks), or both, so that under less than the full range of issues in the BLE; Amtrak; Renfe Talgo of America, such circumstances rapid transit rulemaking. Inc. (Talgo); WDOT; NARP; the systems would not be considered FRA prepared in draft an NPRM and Omniglow Corporation; and The connected with the general railroad shared it with the Working Group Institute of Electrical and Electronics system of transportation and, therefore, members on March 19, 1997. The NPRM Engineers, Inc. (IEEE). A copy of the be excluded from the rule. was then enriched with discussions of transcript of this hearing is available in In response to the 1997 NPRM, New issues and options reflecting concerns of the public docket of this rulemaking. Jersey Transit (NJT) commented that by Working Group members in response to As noted earlier, FRA convened the permitting FRA to rule on whether a the draft, and some changes were Passenger Equipment Safety Standards transit agency may operate light rail incorporated into the proposed rule. Working Group following the close of service over a freight right-of-way, On September 23, 1997, FRA the comment period to consider the FRA’s jurisdiction would be expanded published the NPRM (1997 NPRM) in comments received in response to the in conflict with FTA’s mandate in 49 the Federal Register to add a new part, 1997 NPRM and help develop the final C.F.R. part 659. NJT explained that the 49 CFR part 238 (Passenger Equipment rule. This continued the consultative Intermodal Surface Transportation Safety Standards), and to amend 49 CFR process FRA has used throughout the Efficiency Act of 1991, Public Law 102– parts 216 (Special Notice and rulemaking. Notice of the Working 240, and 49 C.F.R. part 659 promulgated Emergency Order Procedures: Railroad Group meetings was available through in its pursuance, required states to Track, Locomotive and Equipment), 223 the FRA Docket Clerk, as stated in the designate an agency of the state, other (Safety Glazing Standards— NPRM, see 62 FR 49729, and the than a transit agency, to oversee and Locomotives, Passenger Cars and meetings were open to the public. implement requirements concerning all Cabooses), 229 (Railroad Locomotive The Working Group met in full in fixed-guideway systems not under Safety Standards), 231 (Railroad Safety Washington, D.C., on December 15–16, FRA’s jurisdiction.
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The safety jurisdictions of FRA and FRA’s jurisdiction whether or not they general system for a portion of its length FTA are mutually exclusive. FTA’s are connected to the general railroad but has significant portions of street regulatory authority to issue regulations system. For operations on or over the railway that are not part of the general creating a state safety oversight program general system, the commuter/rapid system would be subject to FRA’s rules applies only to ‘‘rail fixed guideway transit distinction has no jurisdictional only with respect to the general system mass transportation systems not subject relevance—all general system portion. The remaining portions would to regulation by the Federal Railroad operations are within FRA’s exercise of not be subject to FRA’s rules. If the non- Administration.’’ 49 U.S.C. 5330(a). jurisdiction. Because the only urban general system portions of the rapid Consistent with DOT Secretary of rapid transit operations that FRA transit line are considered a ‘‘rail fixed Transportation Rodney Slater’s concept intends to cover under this rule are guideway system’’ under 49 CFR part of One-DOT and the need to assure those on the general system, there is no 659, those rules, issued by FTA, would seamless application of intermodal need to expand on the commuter/rapid apply to them. transportation policies, FRA and FTA transit distinction here. As discussed above, it is the nature are jointly developing a proposed policy • Rapid transit operations in an urban and location of the railroad operation, statement outlining the scope of FRA’s area that are not connected to the not the nature of the equipment, that jurisdiction over ‘‘light rail’’ operations general railroad system are not within determines whether FRA has that share the use of rights-of-way with FRA’s jurisdiction. This is the sole jurisdiction under the safety statutes. conventional railroads. As discussed exception to FRA’s jurisdiction over all Light rail operations that operate on the later in this document, the two agencies railroads. There is no exception for general system are always within that will be soliciting input from rail ‘‘light rail,’’ a term not found in the statutory jurisdiction. They are not operators and other interested entities statute. Although FRA could assert within the sole statutory exception during the development of this policy jurisdiction over a rapid transit (urban rapid transit not connected to the statement. operation based on any connection it general system) so they are railroads FRA’s safety jurisdiction is very broad has to the general railroad system, FRA under the safety statutes. The greatest and extends to all types of railroads believes there are certain connections risk inherent in the shared use of the except for urban rapid transit operations that are too minimal to warrant the trackage is a collision between the light not connected to the general railroad exercise of its jurisdiction. For example, rail equipment and conventional system. The term ‘‘railroad’’ is defined a rapid transit system that has a switch equipment. The light rail vehicles are by statute as follows: for receiving shipments from the general not designed to withstand such a system railroad is not one over which collision with far heavier equipment. In this part— FRA would assert jurisdiction. This Were such a crash to occur with either (1) ‘‘railroad’’— (A) Means any form of nonhighway ground assumes that the switch is used only for or both equipment operating at high transportation that runs on rails or that purpose. In that case, any entry speeds, the consequences for passengers electromagnetic guideways, including— onto the rapid transit line by the freight in the light rail vehicle(s) would likely (i) Commuter or other short-haul railroad railroad would be for a very short be catastrophic. passenger service in a metropolitan or distance and solely for the purpose of In the past, FRA has withheld suburban area and commuter railroad service dropping off or picking up cars. In this exercise of its jurisdiction with respect that was operated by the Consolidated Rail situation, the rapid transit line is in the to light rail operations over general Corporation on January 1, 1979; and same situation as any shipper or system trackage where there was full (ii) High speed ground transportation systems that connect metropolitan areas, consignee; without this sort of time separation (freight operations without regard to whether those systems use connection, it cannot receive goods by limited to nighttime hours). The recent new technologies not associated with rail. Absent a change in policy, FRA proliferation of proposals for light rail traditional railroads; but will not attempt to apply this rule to operations on the general system and (B) does not include rapid transit rapid transit systems with these sorts of the issuance of this final rule operations in an urban area that are not connections. However, if such a system establishing the first comprehensive connected to the general railroad system of is properly considered a rail fixed Federal standards for railroad passenger transportation. guideway system, FTA’s rules (49 CFR equipment call for changing this 49 U.S.C. 20102. 659) will apply to it. approach. Moreover, recent The statutory definition of the term • Rapid transit operations in an urban developments have indicated that FRA’s ‘‘railroad’’ makes certain elements of area that are connected to the general current approach assumes a degree of FRA’s safety jurisdiction quite clear: railroad system of transportation are separation that is unlikely to be • FRA, with one exception, has within FRA’s jurisdiction. FRA will maintained over time. Proposals for jurisdiction over all railroads regardless assert jurisdiction over a rapid transit limited overlap, deadhead movement of of the type of equipment they use, their operation that is conducted on or over transit equipment, etc., have connection to the general railroad the general system. It does not matter demonstrated the complexity of using system of transportation, or their status that the rapid transit operation occupies common trackage for disparate as a common carrier engaged in the track only at times when the freight, purposes. Accordingly, FRA has asked interstate commerce. FRA will, for commuter, or intercity passenger that new transit starts that propose example, assert jurisdiction over high- railroad that shares the track is not using the general rail system trackage speed intercity rail service even if operating. While such time separation submit appropriate waiver applications completely separated from the general could, as explained in the 1997 NPRM, to FRA; such applications should be railroad system that now exists and provide the basis for waiver of certain submitted as early as possible. As magnetic levitation systems that are not of FRA’s rules, it does not mean that previously noted, FTA and FRA are urban rapid transit. FRA will not assert jurisdiction. working toward the development of a • Commuter and other short-haul However, FRA will assert jurisdiction joint policy statement on the railroad passenger operations in a over only the portions of the rapid appropriate scope of FRA’s jurisdiction metropolitan or suburban area (except transit system that are conducted on the over ‘‘light rail’’ that shares rights-of- for one type of short-haul operation, i.e., general system. For example, a rapid way with conventional railroads. The urban rapid transit) are railroads within transit line that operates over the agencies foresee an approach intended
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Before equipment. equipment manufacturers and operators general implementation, the policy APTA recommended, in its comments likewise assumed that modifications in statement will be discussed with the on the rule, that FRA modify the basic structural standards would be affected communities of interest and proposal so that the requirement apply applicable only to equipment purchased may be published (together with any on or after the effective date of the final after January 1, 1999, or placed in needed regulatory amendments) for rule to passenger equipment placed in service after January 1, 2001, and that formal comment in the Federal Register. service for the first time. APTA stated much existing passenger equipment At the same time this joint policy is that the AEM–7 locomotive and the RTG operating in the United States would be issued, FRA plans to issue a separate model turbo train could not meet the unable to comply with the structural proposed statement of policy that, requirement as proposed. APTA requirements scheduled for early among other things, will provide estimated that the purchase of implementation. Talgo also stated that guidance on how light rail operators replacement equipment could take up to FRA did not properly identify the may seek waivers of FRA’s rules. In the four years and would cost more than economic impact of its proposal on interim, the policy expressed in this $500 million. Talgo equipment. Talgo requested that preamble will guide FRA’s actions with Amtrak commented that the proposed FRA modify the rule so that the static respect to this rule (subject to an requirement to have buff loading apply end strength requirement and other appropriate period of consultation and to the existing rail fleet is not justified structural requirements apply only to adjustment with respect to the two time- based on the industry’s experience. passenger equipment ordered on or after separated shared use projects currently Amtrak did agree that, in order to move January 1, 1999, or placed in service for in operation). the industry forward on crash energy the first time on or after January 1, 2001. FRA does, however, recognize that management, new equipment must be The WDOT commented that FRA’s lower speed rail operations that do not built to a uniform strength standard. proposal appeared to be directly operate over highway-rail grade Amtrak stated that it currently operates targeted at the State of Washington and crossings and that totally preclude the AEM–7 locomotives that do not meet Amtrak’s purchase of Talgo trains under sharing of trackage between light rail the proposed requirement. In addition, manufacture. WDOT stated that equipment and conventional equipment Amtrak was not sure it had available the imposition of the proposal in the middle provide an operating environment that appropriate technical information on of the construction process, without does not require the structural standards whether its fleet of Heritage equipment ‘‘grandfathering,’’ appeared to reveal an needed for commingled passenger and conformed to the proposal. At the effort to make its Talgo equipment non- freight operations. Accordingly, the public hearing, though, Amtrak did compliant. WDOT recommended that final rule (in § 238.201) provides that explain that it had no evidence that its the rule be modified so that the static passenger equipment, including fleet of passenger cars did not comply end strength provision only apply to locomotives, are not subject to the with the proposal. (See transcript of passenger equipment ordered after structural requirements of the rule if public hearing, pages 173–174). January 1, 1999. The NARP, in its they are used exclusively on a rail line The Northeast Illinois Regional comments on the proposed rule, shared (A) with no public highway-rail grade Commuter Railroad Corporation (Metra), WDOT’s opposition to imposing the crossings, (B) on which no freight in its comments on the rule, static end strength requirement on operations occur at any time, (C) on recommended that the static end existing passenger equipment, and it which only passenger equipment of strength provision apply only to new recommended instead applying the compatible design is utilized, and (D) on passenger equipment orders placed on requirement under a time-table similar which trains operate at speeds no higher or after January 1, 1998. Metra to that proposed generally for structural than 79 mph. FRA will discuss with the explained that it was awaiting delivery requirements—i.e., ordered on or after Working Group in Phase II of the of cars under construction, that some of January 1, 1999, or placed in service for rulemaking what structural standards the cars may be built after January 1, the first time on or after January 1, 2001. are appropriate for such operations. 1998, and that a change order would The NARP believed that the proposal cause a series of problems. could cancel WDOT’s rail passenger B. Static End Sstrength Requirement: In commenting on the 1997 NPRM, program and thereby lead to countless, Application to Existing Equipment Talgo expressed concern that FRA unnecessary highway deaths involving In § 238.203 of the 1997 NPRM, FRA proposed applying the static end people that otherwise would have been generally proposed that on or after strength requirement to existing on a WDOT passenger train. January 1, 1998, all passenger passenger equipment in service on or In commenting on the 1997 NPRM, equipment shall be required to have a after January 1, 1998. Talgo stated that the State of Vermont Agency of minimum static end strength (or ‘‘buff’’ this proposal would render unusable its Transportation (VAOT) explained that it or ‘‘compressive’’ strength) of 800,000 two trainsets then in service on lease to was in the process of implementing new pounds. As some commenters the WDOT. Additionally, Talgo passenger rail service with used rail recognized, FRA intended the date of explained that it was well underway in diesel cars manufactured by Budd. The January 1, 1998, to represent the manufacturing five new trainsets—two cars were originally built to meet the effective date of the final rule. Yet, in for the WDOT, one for Amtrak, and two AAR buff strength requirement, light of the actual publication date of others for future sale in the U.S. according to the VAOT, but it could not the 1997 NPRM, the date of January 1, market—that would likewise be assure that the vehicles meet the 1998, appeared anachronistic, and FRA rendered unusable in their current form. standards today. The VAOT requested should have modified the NPRM to Talgo stated that neither it nor any other that the Budd cars be grandfathered make its intent more explicit. A number manufacturer of rail equipment could because they were manufactured to of commenters nonetheless raised have anticipated the proposed AAR standards, built prior to April 1,
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1956, and have a proven service record. grade crossings used by heavy highway equipment can be used on another rail The VAOT believed it fair for the equipment. FRA has serious concerns line, a railroad must first file and secure rulemaking to grandfather these cars as about the operation in such an approval of a grandfathering petition for being compliant at the time ordered by environment of passenger equipment such usage. See discussion under VAOT. Similarly, the NYDOT not possessing a minimum buff strength § 238.203 for the contents of the petition recommended in its comments on the of 800,000 pounds. As a result, and in and the approval process. FRA will proposed rule that the structural response to Talgo’s and WDOT’s approve a petition for ‘‘grandfathering’’ requirements apply only to new comments on this rule, FRA cannot if it complies with the requirements of equipment, citing its intent to operate avoid directly addressing the current § 238.203 and the proposed usage of the rebuilt turboliner equipment in the operation in the United States of the equipment is in the public interest and Empire Corridor through a cooperative passenger trainsets manufactured by consistent with railroad safety. Amtrak effort with FRA and Amtrak. Further, Talgo unless FRA disregards its duty to and WDOT may file petitions for the North Carolina Department of provide for the safety of rail passenger grandfathering approval of their Talgo- Transportation (NCDOT) expressed transportation. Since FRA has raised the manufactured passenger equipment, in concern in its comments on the issue of compressive strength on accordance with the requirements of proposed rule that the rulemaking passenger equipment with all affected § 238.203. would require its fleet of rebuilt parties since well before the inception C. United States International Treaty passenger, food service and specialty of this rulemaking, it would strain Obligations cars to undergo additional renovations credulity to assert that a requirement for and retrofitting to comply with the rule. 800,000 pounds of compressive strength The United States is a party to the NCDOT commented that its trainsets could truly be a matter of surprise in a General Agreement on Tarriffs and were designed to meet the passenger rulemaking on railroad passenger Trade (GATT). One of the GATT equipment safety standards in effect at equipment safety. agreements is the Agreement on the time of their order, and that the Making the 800,000-pound Technical Barriers to Trade (TBT), proposed regulation has the potential to compressive strength requirement originally concluded in 1979 and thwart its rail passenger initiative. applicable to existing passenger approved by the United States Congress In the final rule, FRA is retaining the equipment creates a bright line that will in the Trade Agreements Act of 1979, 800,000-pound static end strength help bring needed clarity to the growing Pub. L. No. 96–39 (July 26, 1979). A new requirement for most new and existing number of situations where light rail TBT Agreement was reached as a result passenger equipment. However, the equipment is likely to be used on the of the 1994 Uruguay Round of GATT final rule does provide that the static general railroad system of multinational trade negotiations, and end strength standard and other transportation. Operation on the general subsequently approved by the United structural standards do not apply to system of this equipment, which is built States Congress in the Uruguay Round equipment used exclusively on a rail to standards far lower than the 800,000- Agreements Act, Pub. L. No. 103–465 line (A) with no public highway-rail pound standard specified in this rule, (December 8, 1994). The TBT grade crossings, (B) on which no freight presents enormous safety risks to the Agreement seeks to avoid creating operations occur at any time, (C) on occupants of the equipment, absent unnecessary obstacles to trade, while which only passenger equipment of imposition of strict conditions designed recognizing the right of signatory compatible design is utilized, and (D) on to virtually eliminate the risk of a light countries to establish and maintain which trains operate at speeds no higher rail/conventional equipment collision. technical regulations for the protection than 79 mph. See § 238.201. The need to address these risks as a of human, animal, and plant life or Furthermore, the final rule creates a condition of operation will be made health. The TBT Agreement has been presumption that passenger equipment perfectly clear by imposition of the buff codified into law at 19 U.S.C. 2531 et in service in the United States as of the strength requirement across the board. seq. effective date of the final rule meets the Light rail operators will have to seek a In commenting on the NPRM, Talgo 800,000-pound static end strength waiver of the requirement and will have believed that a number of the proposed requirement, unless the railroad to plan their operations in such a way structural standards were inconsistent operating the equipment knows, or FRA as to maximize the likelihood of with the TBT Agreement in that can show, that the equipment was not obtaining such a waiver. (A petition for domestic industry would be favored by built to this 800,000-pound strength grandfathering approval of the adopting the de facto standards of North requirement. See § 238.203(b). Under equipment could also be filed in certain American passenger equipment. Talgo this formulation, for example, Amtrak’s cases, as discussed below.) stated that many requirements in the fleet of Heritage passenger cars are In regulating the use of passenger proposed rule seem to have been presumed to comply with the static end equipment not possessing a minimum developed exclusively with strength requirement on the basis of buff strength of 800,000 pounds as domestically-manufactured equipment Amtrak’s testimony at the public specified in this final rule, the rule in mind, ‘‘arbitrarily making compliance hearing on the NPRM. permits non-compliant passenger with the rules by other, non-U.S. FRA has decided that it is in the best equipment to be continued in service for manufactured equipment—such as interest of safety to apply the buff a six-month period following Talgo equipment—extremely difficult.’’ strength requirement to existing publication of the rule in order to Talgo also asserted that domestic passenger equipment and effectively permit the filing of a grandfathering industry would be favored under the regulate the use of passenger equipment petition with FRA; if a petition is filed implementation schedule of the rule by not possessing at least 800,000 pounds within this six-month period, operation noting FRA’s statements in the NPRM of buff strength as specified in this rule. may continue for up to an additional six that several of the proposed structural As noted, the operating environment in months while the petition is being requirements chosen for early the United States requires railroad processed. Grandfathering approval of implementation reflect the current passenger equipment to operate non-compliant equipment is limited to construction practice for North commingled with heavy and long freight usage of the equipment on a particular American passenger equipment. Talgo trains, often over track with frequent rail line or lines. Before grandfathered contended that the implementation
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00007 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 25546 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations schedule disregards that, solely because America in distinction to passenger State of Washington. These trains are imported equipment has been designed equipment manufactured elsewhere. intended to be pulled by a conventional differently, it cannot satisfy the Talgo also commented that, to a locomotive and have unoccupied units requirements at once. significant extent, the proposed at the front and rear of the trainsets FRA believes that this final rule is requirements were design-based and which are available to absorb initial consistent with the United States’ phrased in a number of places in crash energy. Talgo contends that this obligations under the TBT Agreement, variables dependent on design rather configuration provides equivalent and that Talgo’s concerns arise, in part, than performance. In this regard, Talgo protection from loss of occupied volume from a misunderstanding of FRA’s use believed the proposed rule violates in a rear-end or head-on collision when of the term ‘‘North American passenger Article 2.8 of the TBT Agreement, compared with conventional cars which equipment.’’ Article 2.1 of the TBT which states: ‘‘Wherever appropriate, would be occupied by passengers or Agreement, cited by Talgo in its Members shall specify technical crew. FRA has provided a process for comments, states: regulations based on product WDOT and others to secure Members shall ensure that in respect of requirements in terms of performance grandfathering approval regarding the technical regulations, products imported rather than design or descriptive compressive strength requirement for from the territory of any Member shall be characteristics.’’ Talgo asserted that the passenger equipment placed in use prior accorded treatment no less favorable than rule can and should be stated in terms to November 8, 1999, as previously that accorded to like products of national of variables relating to the performance noted. However, as explained below, origin and to like products originating in any of the equipment rather than its design, other country. FRA is unable to relax the minimum and that the rule should accommodate compressive strength requirement for A ‘‘technical regulation’’ refers to different engineering designs, such as its passenger equipment simply on the mandatory product standards, and FRA articulated, lightweight trainsets. basis of train configuration, since to do agrees with Talgo that the structural The principal structural requirement so would diminish the safety provided standards in this rule fall under this of the final rule, which existing Talgo- for the rail travelling public as a whole. definition. See Annex 1 to the TBT manufactured passenger cars do not FRA believes the minimum static end Agreement, ‘‘Terms and Their meet, is in fact a performance-based strength requirement in the final rule is Definitions for the Purpose of this requirement. As further specified in not inconsistent with the TBT Agreement, 1.’’ However, the impact of § 238.203, the rule requires that new Agreement, in that it fulfills FRA’s this rule on Talgo passenger equipment, and existing passenger cars must objective of protecting human safety and specifically its passenger cars, has possess a minimum static end strength only restricts the use of equipment not nothing to do with the fact that the of 800,000 pounds. The rule does not meeting that objective because of the equipment originates in a foreign dictate how a passenger car must be performance of the equipment—not country, Spain, as opposed to the constructed to meet this requirement, as because of the origin of the equipment. United States. long as the car can resist the specified In this regard, 19 U.S.C. 2531(b) Through this rule, FRA is not favoring 800,000-pound load. This formulation is provides in part: rail passenger cars that are domestically consistent with the requirements of 19 manufactured over those of foreign U.S.C. 2532(3), which states: No standards-related activity of any * ** origin since, as far as FRA is aware, Federal agency * * * shall be deemed to there is currently no domestic Performance Criteria.—Each Federal constitute an unnecessary obstacle to the agency shall, if appropriate, develop manufacturer of rail passenger cars in foreign commerce of the United States if the standards based on performance criteria such demonstrable purpose of the standards- the United States. (The General Electric as those relating to the intended use of a Company and the General Motors related activity is to achieve a legitimate product and the level of performance that the domestic purpose including * * * the Corporation manufacture locomotives in product must achieve under defined protection of legitimate health or safety conditions, rather than on design criteria, the United States—not rail passenger ** * and if such activity does not operate such as those relating to physical form of the cars; and neither entity is being favored to exclude imported products which fully product or the types of material of which the by FRA in this rule over foreign meet the objectives of such activity. manufacturers of locomotives.) Of product is made. course, a significant portion of the (Of course, the rule does require that the Having a passenger car possess a nation’s rail passenger car fleet—the body structure of a passenger car be minimum compressive strength of oldest portion—has been manufactured designed, to the maximum extent 800,000 pounds, along with other in the United States. Yet, over the years, possible, to fail by buckling or crushing, features, has evolved as a result of a manufacturers from Japan, Canada, and or both, of structural members when long history of efforts by railroads and other countries have exported passenger overloaded in compression rather than suppliers to learn the hard lessons cars to the United States for service on by fracture of structural members or taught by a difficult operating the nation’s railroads. Overall, these failure of structural connections. See environment in the United States. imported rail passenger cars have § 238.203(c). Yet, in any regard, FRA Passenger train collisions and possessed the same minimum structural believes it unsafe to design a passenger derailments may occur in a variety of strength as their domestic forebearers; car to fail first by fracture of structural different scenarios and implicate they have been constructed to standards members or failure of structural structural features of passenger that are common to North American connections, as the ability of the car equipment in similarly numerous ways. passenger equipment, i.e., passenger structure to absorb collision energy is The rule cannot be applied in a general equipment operated in North America. negated.) way to both (1) except any consist of The five Talgo trainsets noted earlier FRA recognizes that the five Talgo passenger cars from the same have not been so constructed. FRA’s use trainsets were designed to international compressive strength requirements of the term North American passenger standards that require lesser applicable to all other passenger cars equipment (or United States passenger compressive strength. Talgo has pointed solely because the passenger car consist equipment, for that matter) was not out that these trainsets will be is buffered at each end by an intended to refer to passenger configured in the same manner as two unoccupied car and linked by equipment manufactured in North leased trainsets formerly operated in the articulated connections, and (2) provide
VerDate 06-MAY-99 17:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00008 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm03 PsN: 12MYR2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25547 for the safety of the occupants of compressive strength requirement travelling public. FRA has also done so passenger cars. applicable to existing passenger cars as with respect to the other structural Further, over the past few years, FRA explained in the preamble. However, requirements in the rule. has funded the most extensive and through the submission of appropriate FRA recognizes that the existing Talgo detailed research and analysis ever data and analysis, and approval by FRA trainsets presents unique challenges in conducted by a public body in the as further specified in § 238.203, terms of describing appropriate force United States concerning passenger car discussed below, certain passenger cars levels in several regards. FRA safety. That effort has included attention not possessing the minimum understands that the Talgo trainsets are to international practice, particularly for compressive strength of 800,000 pounds articulated, low-floor trainsets with high-speed equipment. However, given may operate on the general railroad independently rotating wheels. The car existing data and analysis, FRA is system of transportation, and the rule bodies are made from light-weight unable to specify an alternate does afford a reasonable time for that aluminum extrusions. In contrast, the performance standard for passenger car information to be gathered. vast majority of passenger carrying compressive strength that would meet In providing the possibility that some equipment used on the nations’s FRA’s safety objectives and be equally equipment now being used which does railroads is individually suspended, has applicable to passenger cars of any not meet the buff strength requirement automatic couplers, has a higher floor design that might some day be proffered of this rule might continue to be used height above the rail, has wheels fixed for use in the United States. Nor, so far (‘‘grandfathered’’), FRA intends to to an axle, and is constructed with a as FRA is aware, has any government or permit only very safe operations to steel underframe made up from international body achieved a similar occur. Petitioners will need to fabricated members. FRA has feat. Certainly doing so within the time demonstrate—through a quantitative conducted, and continues to conduct, available to issue standards under the risk assessment that incorporates design research which addresses the influence 1994 statutory mandate would not have information, engineering analysis of the of carbody construction, suspension been possible. equipment’s static end strength and of configuration, and coupling FRA notes that Talgo further the likely performance of the equipment arrangement on the crashworthiness, commented that the early in derailment and collision scenarios, derailment tendency, and other safety- implementation dates proposed for and risk mitigation measures to avoid related aspects of Talgo and other non- certain structural requirements are the possibility of collisions or to limit conventional equipment. inconsistent with Article 2.12 of the the speed at which a collision might TBT Agreement in that a sufficient occur, or both, that will be employed in Developing safety regulations requires amount of time would not be provided connection with the usage of the detailed technical knowledge of the foreign producers to modify their equipment on a specified rail line or system being regulated. At the time this products’ design or manufacturing lines—that use of the equipment, as rule is being written, FRA is unable to processes to comply with new or utilized in the service environment for specify alternative performance-based significantly revised regulatory which recognition is sought, is in the standards with respect to the structural requirements. Article 2.12 provides: public interest and is consistent with requirements in this rule that would railroad safety. In this regard, FRA notes meet FRA’s safety objectives for Except in those urgent circumstances passenger equipment of any design. referred to in [Article 2] paragraph 10 [of the that passenger equipment not TBT Agreement], Members shall allow a possessing the minimum static end Areas of particular technical concern reasonable interval between the publication strength specified in this rule does not with regard to the Talgo trainsets, which of technical regulations and their entry into have the same capacity to absorb safely need to be resolved by FRA through an force in order to allow time for producers in within its body structure the ongoing exchange of information, exporting Members * * * to adapt their compressive forces that develop in a include the nature of its articulated products or methods of production to the connection and its potential to allow requirements of the importing Member. collision as equipment meeting the standard. The engineering analysis override in a collision, and the welding In the final rule, the compressive submitted by the petitioner should of the aluminum extrusions which make strength requirement takes effect sooner address how these forces will be up the body shell. The Talgo tilt than any other principal structural dissipated in a manner that does not trainsets have characteristics that are requirement, and it applies to both new jeopardize occupant safety in collision unique, or nearly unique, that may and existing passenger cars and scenarios. either reduce or increase vulnerability locomotives. If any provision of the rule in a derailment or collision. For were found to be inconsistent with D. Non-Conventional Passenger instance, the articulated design of the Article 2.12 of the TBT Agreement, Equipment trainset may tend to keep the train in then, it would most likely be the As noted above, commenters have line in the case of a derailment where compressive strength requirement. requested that FRA specify design- the decelerations are reasonably However, the United States Congress neutral or performance-based uniform throughout the length of the has expressly authorized applying the requirements so that the safety of all train, preventing secondary impacts. On requirements of the final rule to existing passenger equipment may be evaluated the other hand, the absence of major passenger cars, provided only that the on the same basis. In comments in this structural members in the floor of the basis for doing so is explained in the docket, Talgo has suggested substituted passenger units could be a serious rulemaking document. See Section 215 (and reduced) force levels that it problem should the train be involved in of the Federal Railroad Safety believes are appropriate for inclusion in a collision with freight train cars or Authorization Act of 1994, above, as the final rule in lieu of those proposed lading that has fouled the track on codified at 49 U.S.C. 20133 (‘‘The for truck-to-carbody attachment and which the passenger train is travelling, Secretary may make applicable some or anti-climbing arrangements, for as a result of the freight train having all of the standards established under instance. As explained, FRA has derailed. In this regard, the absence of this subsection [, 49 U.S.C. 20133(a),] to specified the compressive strength major structural members in the floor of cars existing at the time the regulations requirement as fairly as we are able in the Talgo passenger units increases their are prescribed.’’). FRA has made the consideration of the safety of the rail vulnerability to penetration by the
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00009 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 25548 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations trainset’s trucks, should the trucks requirements in this rule. FRA will be area; whether FRA should mandate the separate from the train. pleased to work with Talgo and contents of system safety plans; whether Historically, the United States members of the Working Group in Phase the areas FRA proposed to require industry requirement for a minimum II of the rulemaking to determine railroads to address were appropriate; compressive strength has reinforced a whether different performance-based whether additional areas should be pattern of passenger car construction regulations are appropriate. In the added; and to what extent FRA should resulting in use of stiff, quite substantial interim, FRA has provided a special propose to enforce portions of the underframes that have served other approval process in § 238.201 for system safety plans. FRA further asked practical purposes in derailments and considering whether the new generation whether the rule should require that collisions, including prevention of car of Talgo equipment and any other system safety plans be comprehensive body buckling, prevention of harm to passenger equipment of special and address the entire railroad system passengers from failure of the floor construction provide an equivalent level in which the equipment operates, as structure and entry of debris, and of safety with the Tier I standards (other well as whether the emergency resistance to penetration of the car from than the static end strength preparedness planning requirements the side where the primary impact was requirements) contained in the final contained in the passenger train at the floor level. Both with respect to rule. See the discussion in the section- emergency preparedness rulemaking be compressive strength and other by-section analysis of § 238.201 for an expressly integrated with the system structural requirements that the Talgo explanation of the special approval safety planning requirements contained trainset may not be able to meet, it is process. in this part. Id. at 49733–4. important to ensure that alternative In commenting on the rulemaking, means of achieving crashworthiness are E. System Safety APTA believed FRA’s approach to just as successful as the standards FRA believes that passenger railroads system safety short-sighted in that it described in this final rule. should carefully evaluate their would apply only to the equipment Creating alternative performance- operations with a view toward component of the commuter railroad based standards for a particular type of enhancing the safety of those system and therefore ignore track, signal passenger equipment requires a very operations. The importance of formal system, other infrastructure, and early dialogue and technical safety planning has been recognized in operating practices components. information exchange. In the summer of Emergency Order No. 20 (61 FR 6880; Further, APTA questioned FRA’s 1995, FRA convened the first meeting of Feb. 22, 1996) and the rule on passenger general focus in the system safety plan equipment manufacturers (including train emergency preparedness (63 FR (on fire safety; software safety; representatives of Canadian, European 24630; May 4, 1998). In furtherance of inspection, testing and maintenance; and Japanese consortia) to discuss safety planning, the 1997 NPRM training; and new equipment) prior to passenger safety standards. That contained a set of system safety having a railroad identify its major meeting led to designation of equipment requirements to be applied to all safety risks through its individual manufacturer representatives as intercity passenger and commuter rail system level analysis. APTA stated that associate members of the Passenger equipment. See 62 FR 49760. FRA it supports a true system safety Equipment Safety Standards Working intended that each individual passenger approach that allows each railroad to Group. Although notified along with a railroad be required to develop a system determine its own major safety risks and number of other manufacturers of safety plan and a system safety program addresses all the components of the passenger equipment, Talgo tailored to its specific operation, passenger rail system—not just the representatives did not participate in including train speed. FRA explained, equipment component. the process. (For its part, the WDOT did however, that the Working Group did As an alternative to Federal not formally indicate to FRA an interest not reach consensus on system safety regulation, APTA proposed a system in participating in the rulemaking until requirements for Tier I equipment; safety program based on system safety after the Working Group had tentatively whereas the Tier II Subgroup did reach plans—developed using MIL–STD–882C agreed on the structural standard full consensus on system safety program as a guide—that would be submitted by proposals—FRA received a letter from requirements for Tier II equipment. its individual member railroad the WDOT commenting on the ANPRM Strong support did exist among Working properties and audited by APTA. APTA on September 4, 1996. However, Group members to apply formal system explained it would invite FRA to AASHTO had participated from the safety planning to Tier I equipment, yet observe the audits and the follow-up beginning of the rulemaking.) Talgo did views differed as to whether system actions taken by the commuter railroads not enter the discussions directly until safety planning should be required by in response to the audits. APTA publication of the NPRM in September law. requested that FRA hold Federal of 1997, and was still in the process of In particular, the 1997 NPRM noted requirements for commuter railroad providing engineering data through that APTA objected to FRA issuing any system safety plans in abeyance for a 3- October of 1998. Given the timing of regulations governing system safety year probationary period— this latest submission of data to FRA, plans because commuter railroads have corresponding to one complete audit approximately ten-months after the voluntarily agreed to adopt such safety cycle—while FRA observes and close of the public comment period on plans. 62 FR 49734. FRA also explained evaluates the program. the NPRM, FRA has not had the its understanding that APTA’s system Amtrak commented that it supports opportunity to fully evaluate the safety approach will be more APTA’s position on system safety for information provided by Talgo for comprehensive than what FRA both Tier I and Tier II equipment. purposes of this rule. proposed and address each commuter Amtrak believed it appropriate for FRA FRA appreciates Talgo’s recent railroad’s system more as an integrated to start with a voluntary system safety undertakings to conform any future whole, not focused principally on rail approach and then, based on actual trainsets (beyond the five trainsets noted equipment. See 62 FR 49734. FRA experience, follow up with specific earlier) built for North American service therefore invited comment on APTA’s regulations in the future. Amtrak to the 800,000-pound static end strength suggestion that commuter railroads be believed FRA needs to allow the requirement and any other applicable allowed to regulate themselves in this industry the time to establish the
VerDate 06-MAY-99 17:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00010 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm03 PsN: 12MYR2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25549 culture and process that allows system commented that the 1997 NPRM’s FRA believes the approach taken in safety to function without creating an provisions on system safety plans is the the emergency preparedness rulemaking unwarranted bureaucratic burden. most important section of the rule. The in requiring railroads to adopt a safety In its comments on the 1997 NPRM, UTU believed FRA should continue to plan addressing specific topics is more Metra agreed with the value of a system treat it as such and not allow it to be appropriate than imposing a general safety plan, but believed that such plans weakened. requirement for railroads to adopt a should not be regulated. Metra The NTSB commented that it comprehensive system safety plan. FRA recommended the rule contain only a supports FRA mandating the contents of believes this is consistent with the view top-level system safety plan requirement system safety plans for minimal of the commenters to mandate the for railroads to identify the most serious consistency and oversight, rather than contents of safety program plans for safety risks within their specific allowing the railroads to regulate minimal consistency and oversight, so operations, and then allow each railroad themselves in this area, so that that important safety elements are to create its own programs to reduce important safety elements are included in each safety plan. At the those risks. Metra explained that a consistently included in each safety same time, focusing the safety planning railroad’s system safety plan should plan. The NTSB believed that the requirements and streamlining the rule project beyond current practice to system safety plans should be will facilitate the regulated community’s continuously improve that practice and comprehensive and address the entire understanding of the rule’s that Federal enforcement of such a plan railroad system in which the passenger requirements and thereby aid in its would continually find violations equipment operates. The NTSB compliance. As further specified, the because current practice would not observed that if the industry does not final rule will require that each railroad reflect the ideals set forth in the plan. have a comprehensive system safety adopt safety program plans addressing: Metra believed that FRA regulation plan, it may not be able to identify, • Fire safety; would make a system safety plan a track, monitor, or rectify situations that • Employee training and useless tool for improving safety, as the can lead to unsafe conditions. Further, qualifications; plan would be limited to mimicking the NTSB remarked that system safety • Equipment inspection, testing, and Federal regulation and describing should be a continuous, iterative maintenance; current practice. In addition, Metra process that has a built-in feedback • Pre-revenue service acceptance noted that a system safety plan is mechanism and should be used testing of equipment; and distinct from a document that describes throughout the program’s life cycle to • Train hardware and software safety. current practice for routine and arrive at the best plan possible. In addition, more particular safety regulated activities. Metra proposed that The NTSB noted that it has made this document, a safety policy, reference planning requirements are imposed on safety recommendations urging FRA to Tier II passenger equipment, as all current-practice safety-related include specific safety requirements in procedures and require railroads to discussed below, reflecting both the a system safety plan. It urged FRA to greater risks to safety from operating the adhere to them. incorporate the following Bombardier commented that the 1997 equipment at such high speeds and the recommendations into FRA’s general importance of advanced planning in NPRM does not provide the latitude for requirements for system safety plans: each railroad to tailor or customize its order to meet new safety challenges. system safety plan to its individual Require carriers to train employees in As FRA recognized in the 1997 operations and needs. Further, emergency procedures to be used after an NPRM, FRA’s proposed approach to accident, to establish priorities for emergency Bombardier believed that the NPRM system safety focused principally on rail action, and to conduct accident simulation to passenger equipment. This was not a confuses the requirements for the test the effectiveness of the program, inviting railroad’s system safety plan with those civic emergency personnel participation. (R– pure system safety approach, inasmuch required for equipment acquisition. If 76–29) as FRA did not focus on safety planning FRA insists that the rule contain a Develop and validate through simulated for others elements of the railroad requirement for a system safety plan, disaster exercises a model emergency infrastructure such as the track and according to Bombardier, it should be response plan for the guidance of the railroad signal system, or for a host of items limited to requiring each railroad to industry in formulating individual plans to including platform safety, security and develop its own plan based on MIL- be utilized by their train crewmembers in the trespasser prevention. event of an emergency. (R–80–6) STD–882C or APTA’s Manual for the FRA will closely monitor Tier I Development of a System Safety Plan for In this regard, FRA did issue final railroad operations in their development Commuter Railroads. Separately, the regulations governing the preparation, and adherence to voluntary, rule should require a system safety plan adoption, and implementation of comprehensive system safety plans. specifically addressing equipment emergency preparedness plans by FRA has already established a liaison procurement. railroads connected with the operation relationship with APTA and has already The BRC commented that FRA must of passenger trains, in the passenger begun participating in system safety mandate the contents of system safety train emergency preparedness plan audits on commuter railroads. FRA plans to ensure that vital topics are rulemaking. See 63 FR 24630, May 4, is using this involvement to enrich included in such plans. Further, the 1998. That rule specifically requires FRA’s Safety Assurance and BRC believed FRA must have the power emergency preparedness plans to Compliance Program (SACP) efforts on to enforce compliance with system address such subjects as these railroads—which, unlike the safety plans. Otherwise, the BRC communication, employee training and triennial audit process for system safety believed the plans themselves would qualification, joint operations, tunnel plans, is a continuous activity with amount to little more than suggested safety, liaison with emergency frequent on-property involvement by operating practices. The BRC also responders, on-board emergency FRA safety professionals. FRA will believed that FRA must review each equipment, and passenger safety reconsider its decision not to impose a railroad’s system safety plan and information. The plan adopted by each general requirement for system safety approve it only if it complies with affected railroad is also subject to formal plans on Tier I railroad operations if the Federal regulations. Similarly, the UTU review and approval by FRA. need to do so arises. FRA expects that
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Tier I railroad operations will be able to passengers would generally be able to in fact, the proposed requirement did integrate the specific safety planning move through a passenger car’s end not specifically require that passenger requirements contained in this final rule doors to seek refuge in adjacent cars. In cars have four side doors. For instance, into their own system safety plans, in fact, it is safer for passengers to remain the requirement would have been met if the same way the railroads will on a train unless doing so in itself risks a passenger car had two double-wide incorporate into their plans the their safety, because of hazards along doors that permit two 95th-percentile emergency planning requirements the railroad right-of-way such as males to pass through each such door at contained in 49 CFR part 239. electrified rails and other trains. the same time—the functional FRA is retaining more extensive safety However, the tragic September 22, 1993 equivalent of four side doors having planning requirements for Tier II Amtrak train derailment near Mobile, openings of the same size in the railroad operations. These requirements Alabama, and the February 16, 1996 aggregate. FRA invited comments are directed at ensuring the safety of the collision involving MARC and Amtrak concerning the extent to which existing equipment in its operating environment passenger trains near Silver Spring, designs of passenger cars could not and that the introduction of novel Maryland, show that in a life- comply with the proposed requirement, technology is thoroughly analyzed prior threatening situation passengers have no noting that modifications to the to procurement of the equipment. Tier alternative but to exit the train. All of proposal may be necessary based on the II railroad operations will be operations the 42 passenger fatalities in the Mobile, information supplied. Further, as a long- with new characteristics that require Alabama train derailment resulted from term approach, FRA explained that it is special attention and have heightened asphyxia due to drowning (NTSB investigating an emergency evacuation safety risks due to the speed of the Railroad-Marine Accident Report 94/ performance requirement similar to that equipment. In particular, each railroad 01), and the deaths of at least eight of used in commercial aviation where a must a have safety program plan for the the eleven persons killed in the Silver sufficient number of emergency exits operation of its Tier II passenger Spring, Maryland train collision must be provided to evacuate the equipment prior to placing the resulted from the fire that ensued (NTSB maximum passenger load in a specified equipment into revenue service. In Railroad Accident Report (RAR) 97/02). time for various types of emergency addition, each railroad must have a FRA is not suggesting that the cars situations. safety program plan for each involved in those accidents lacked a In its comments on the 1997 NPRM, procurement of Tier II passenger sufficient number of emergency exits; APTA stated that the proposed equipment or major upgrade or nevertheless, these are examples of requirement would eliminate certain introduction of new technology in Tier instances where passengers have died types of cars as well as certain desirable II passenger equipment. The railroad because they could not leave the train. car design safety features. Specifically, must also receive FRA approval of a pre- (However, the NTSB did note in its Amtrak would not be able to procure revenue service acceptance testing plan, investigation report of the Silver Spring, Viewliner cars and NJT would not be as well as FRA approval prior to placing Maryland train collision that ‘‘[e]xcept able to increase the number of Comet IV such new or modified equipment into for those passengers who died of blunt cab cars with extra structural protection revenue service. trauma injuries, others may have for train operators, according to APTA. In general, however, the final rule survived the accident, albeit with APTA recommended that the rule text does not require that FRA approve a thermal injuries, had proper and be modified to include passenger car railroad’s safety plans required under end doors in the calculation of the immediate egress from the car been the rule. As noted, FRA believes it best required number of door exits. APTA available.’’ Id. at page 63. The NTSB to focus its resources on Tier II believed this would encourage explained in its explicit findings on the passenger equipment operations due to structural changes that involve the collision that ‘‘the emergency egress of their special circumstances. Further, elimination of a side door to provide passengers was impeded because the FRA approval may not be necessary additional protection to train operators passenger cars lacked readily accessible when, by operation of the rule, each and allow Amtrak to continue its and identifiable quick-release railroad must independently comply Viewliner cars in service. with specific safety planning mechanisms for the exterior doors, Amtrak, in commenting on the requirements or face sanction from FRA. removable windows or kick panels in proposal, expressed particular concern Under 49 CFR § 238.11 of the final rule, the side doors, and adequate emergency that the proposed requirement would any person who violates any instruction signage.’’ Id. at 73.) prevent the future construction of its Bi- requirement of this part or causes the So that each passenger car has Level Superliner equipment in a violation of any such requirement is sufficient doorway openings to allow configuration that maximizes the subject to a civil penalty. passengers and crewmembers to exit equipment’s economic performance. quickly in a life-threatening situation, Amtrak noted that its current policy F. Side Exit Doors on Passenger Cars FRA proposed requiring that passenger calls for equipping every window in In the 1997 NPRM, FRA generally cars be equipped with side doors. such equipment with at least one proposed that new passenger cars have Exiting a passenger train through a emergency pane, and that the proposed a minimum of four exterior side doors— functioning emergency window exit is requirement would not take that into or the functional equivalent of four such slower than exiting a train through a consideration. Amtrak supported doors—each door permitting at least one functioning door, and presents a risk of APTA’s recommended modification to 95th-percentile male to pass through at non-fatal injury. FRA made clear in the the rule text. a single time. See 62 FR 49807 1997 NPRM that the proposed side door The NARP also questioned the (§ 238.237), and 62 FR 49820 requirement was not a recommendation proposed side exterior door requirement (§ 238.441). Exterior side doors are the of the Working Group, although FRA for passenger cars. The NARP noted that primary means of egress from a believed such a requirement necessary the most common way to exit a car in passenger train, yet there is no Federal at least as an interim measure. See 62 an emergency is through the car’s end requirement that a passenger car be FR 49770. FRA also recognized that doors, and it suggested that emergency equipped with such doors. FRA does existing designs of passenger cars do not window exits are probably more reliable recognize that in an emergency always provide for four side doors, and, than additional doors, believing the
VerDate 06-MAY-99 17:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00012 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm03 PsN: 12MYR2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25551 doors are more likely to be rendered through the door at the opposite end of 2 of Public Health Service Publication inoperable. The NARP stated that the car. Bombardier believed the use of No. 1000, Series 11, No. 8, ‘‘Weight, research should focus on the such end doors should be considered in Height, and Selected Body Dimensions relationship between a car’s seating determining the time needed to of Adults,’’ June 1965. (A copy of this capacity and layout and its emergency- evacuate a passenger car, and it noted in document has been placed in the public exit capacity. The NARP opposed this regard that intercity passenger cars docket for this rulemaking.) The stated requiring four doors on a 44-foot Talgo generally carry fewer passengers than height of 72.8 inches was recorded for car, and saw little benefit from adding commuter cars. adult males not wearing shoes, and FRA additional doors to a Superliner dining Based on the comments received, FRA has adjusted for this. FRA did not find car without a costly stairwell has decided to modify the requirement this Public Health Service Publication installation. The NARP asserted that a for exterior side doors on Tier I that useful for purposes of specifying a requirement for four side doors may be passenger cars ordered on or after horizontal dimension of the doorway as economically fatal for a single-level September 8, 2000 or placed in service the stated body dimensions were, in dining car, and advised instead that one for the first time on or after September effect, recorded without clothing (see side door may be provided in the 9, 2002, and for any Tier II passenger car page 5)—and of course did not address hallway opposite the kitchen and a placed in service. The final rule requires the size of equipment carried by second side door placed in the kitchen. that each such passenger car have a emergency response personnel. FRA In commenting on the proposal, minimum of two exterior side doors, notes that the Americans with WDOT believed it not appropriate to and each door must have a minimum Disabilities Act (ADA) Accessibility require four side doors on a 44-foot clear opening of 30 inches horizontally Specifications for Transportation Talgo passenger car, which is by 74 inches vertically. Since the Vehicles also contain requirements for approximately half the length of minimum number of required side doorway width clearance (See 49 CFR conventional passenger cars. WDOT doors has been reduced from that part 38). These ADA requirements apply stated that a Talgo passenger car has two proposed in the NPRM, this provision by their own force independent of the exterior doors for a maximum of 36 should not hinder railroads from requirements of this rule. people in each car, while an Amtrak removing the locomotive engineer’s Further, unlike the proposed rule, the Horizon coach has four exterior doors exterior side door in cab car and MU final rule no longer provides that a and seats 72 passengers. WDOT locomotive control compartments for passenger car may have the functional maintained that the rule should reflect purposes of adding to the structural equivalent of the specified number of these differences or provide clear, integrity of the equipment. As the BLE side doors. Each passenger car must concise performance-based standards in raised in its comments on the rule, have at least two separate, exterior side the alternative. In this regard, WDOT removing this side door allows for a doorway openings. This will increase found the term ‘‘functional equivalent’’ continuous side sill structure along the the likelihood that at least one of a as used in the rule to be vague and in control compartment, thereby passenger car’s side doorway openings need of better definition. Further, enhancing the compartment’s structural will allow passage in the event a train WDOT commented that, traditionally, integrity and reducing the risk the collision or derailment results in either, dining and bistro cars have not had compartment will be crushed in a or both, structural damage to—or exterior side doors; and requiring such corner or side impact. A dining car or blockage of—the door. In this regard, doors in these cars would significantly other food service car is subject to the railroads should consider where the decrease the amount of available dining side door requirement as a passenger car passenger car side doors are located so space, decrease revenue-generating under this rule, since FRA believes that as to facilitate passenger and crew space, and add substantial costs. WDOT all passenger cars must have exterior escape in a life-threatening situation. recommended FRA remove dining and side doorway openings to allow for FRA reemphasizes that this bistro cars from any exterior side door passenger and crew escape in a life- requirement is only an interim measure requirement as it would decrease the threatening situation, and also permit that will prevent passenger cars from amount of available dining space and emergency rescue access. being introduced into service without thereby reduce passenger convenience, Unlike the proposed rule, FRA has side exterior doors. In Phase II of the comfort and satisfaction. Talgo similarly specified the dimensions of the doorway rulemaking, FRA will focus on commented that the proposed opening in inches rather than retain the formulating a systems approach to requirement should be modified to state language referencing a 95th-percentile emergency egress that provides for a that the functional equivalent of four adult male. This modification clarifies sufficient number of emergency exits to side doors in a car of conventional the rule for the regulated community in evacuate the maximum passenger car length is two side doors in a car of half that what constituted a 95th-percentile load in a specified time for various the length, and that dining and bistro adult male was originally not defined. types of emergency situations. FRA will cars be exempted from any requirement. FRA believes that a doorway with a evaluate with the Working Group In response to the proposal in the minimum clear opening of 30 inches whether APTA’s recommended NPRM, Bombardier recommended that horizontally by 74 inches vertically will approach to emergency egress under the wording of the rule be changed to provide passage for a large, fully-clothed development in APTA’s PRESS Task require that each passenger car have a person and accommodate emergency Force should be incorporated into the minimum of two side doors. Bombardier response personnel equipped with fire Phase II rulemaking. noted that on Amtrak’s high-speed and rescue gear. For instance, see the trainsets (HST), the passenger cars that discussion below of § 238.113 G. Fuel Tank Standards will be positioned next to the power (Emergency window exits) for detail on Locomotive diesel fuel tanks are cars are equipped with only two exterior the sizes of adult backboards used by vulnerable to damage from collisions, side doors, both of which are located on emergency responders to evacuate derailments, and debris on the roadbed the end nearest to the power car. In the injured persons. FRA has specified the due to their location on the underframe event of an evacuation, Bombardier vertical dimension of 74 inches based and between the trucks of locomotives. explained that passengers could exit on the height of the 95th-percentile Damage to the tank frequently results in through those side doors as well as adult male (72.8 inches) stated in Table spilled fuel, creating the safety problem
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Although 49 Minimum performance standards for maintenance of fuel tank integrity to CFR 229.71 does require a minimum locomotive fuel tanks should be higher than typical fuel tank ground clearance of 2.5 inches between the top included in Federal safety regulations. clearance, not found in conventionally of the rail and the lowest point on a part Accordingly, FRA proposed in the 1997 designed, frame-suspended fuel tanks. or appliance of a locomotive, such as a NPRM that AAR Recommended Practice Accordingly, the NTSB specifically fuel tank, FRA regulations do not No. 506 (RP–506), Performance recommended that fuel tank regulations address the safety of fuel tanks in Requirements for Diesel-Electric should require higher ground clearance particular. Locomotive Fuel Tanks, be incorporated for both Tier I and Tier II operations. In In 1992, the NTSB issued a report into the rule as the external fuel tank light of the strong potential safety identifying concerns regarding safety requirements for Tier I passenger benefits associated with higher problems caused by diesel fuel spills locomotives. FRA believes that RP–506 locomotive fuel tank ground clearance, from ruptured or punctured locomotive represents a good, interim safety FRA will carefully consider with the fuel tanks. Entitled ‘‘Locomotive Fuel standard for Tier I passenger Working Group how best to implement Tank Integrity Safety Study,’’ the NTSB locomotives. In the final rule, FRA has the NTSB’s recommendation in Phase II report cited in particular a collision restated the requirements of RP–506 as of this rulemaking. involving an Amtrak train and an MBTA Appendix D to part 238, as explained In addition, FRA invited comments commuter train on December 12, 1990, below, and has thereby incorporated it whether the proposed rule should as both trains were entering a station in into the final rule. require that locomotive fuel tanks be Boston, Massachusetts. (NTSB Safety FRA does note that further study may compartmentalized. The Working Group Study-92/04.) Fuel spilled from a tank yield additional safety improvements specifically discussed requiring whether which had separated from an Amtrak for locomotive fuel tank design, and in the interior of fuel tanks be divided into locomotive during the collision. The September of 1997 FRA convened a a minimum of four separate fuel ignited. Smoke and fumes from the Locomotive Crashworthiness Working compartments so that a penetration in burning diesel fuel filled the tunnel, Group of the Railroad Safety Advisory the exterior skin of any one increasing the hazard level in the post- Committee (RSAC) to develop standards compartment results in loss of fuel only crash phase of the accident, and regarding a broad range of from that compartment. The Working hindering emergency response activity. crashworthiness issues for both Group recommended that such a As a result of the safety study, the NTSB passenger and freight locomotives, requirement be addressed in the second made several safety recommendations to including fuel tanks. Freight locomotive phase of the rulemaking, to allow for FRA, including in particular that FRA: fuel tanks can cause a risk to passengers additional research to remedy fuel in the event of a train-to-train collision feeding disruptions that may result from Conduct, in conjunction with the involving a passenger and a freight the compartmentalization of fuel tanks. Association of American Railroads, General Electric, and the Electro-Motive Division of train. Therefore, in addition to the Commenters were therefore requested to General Motors, research to determine if the economy that can be achieved from provide the results of specific research locomotive fuel tank can be improved to standard fuel tank design requirements and operating experience showing how withstand forces encountered in the more for the entire industry, industry-wide compartmentalization can be practically severe locomotive derailment accidents or if design requirements benefit both public accomplished. Commenters were also fuel containment can be improved to reduce and employee safety. Based on currently asked to explain why the issue of the rate of fuel leakage and fuel ignition. available information through the compartmentalization should or should Consideration should be given to crash or Locomotive Crashworthiness Working not be addressed in the final rule of this simulated testing and evaluation of recent Group, it appears that locomotives built first phase of the rulemaking. and proposed design modifications to the The NTSB commented that it locomotive fuel tank, including increasing with AAR RP–506-compliant fuel tanks the structural strength of end and side wall are performing well in derailments and supported continued research for fuel plates, raising the tank higher above the rail, highway-rail crossing collisions. tank compartmentalization to remedy and using internal tank bladders and foam In its comments on the proposed rule, fuel loss during derailments. It stated inserts. (Class II, Priority Action) (R–92–10) the NTSB agreed that external fuel tanks that compartmentalization is required in Establish, if warranted, minimum on Tier I locomotives should aviation applications, where fuel tanks performance standards for locomotive fuel incorporate at a minimum, and on an within the airframe contour must be tanks based on the research called for in interim basis, RP–506. Yet, the NTSB able to resist rupture and retain fuel recommendation R–92–10. (Class III, Longer believed that more demanding safety under inertial forces prescribed for Term Action) (R–92–11) standards for passenger locomotives be emergency landing conditions (citing 14 The NTSB reiterated Safety included in the permanent Tier I fuel CFR 25.963). Therefore, research should Recommendation R–92–10 in a letter to tank regulations, specifically: higher be conducted to determine if similar FRA dated August 28, 1997, conveying ground clearance, successes can be attained in railroad the NTSB’s final safety compartmentalization, and a bottom application, according to the NTSB. The recommendations arising from the skid plate. The NTSB noted that the BLE also commented that it supports February 16, 1996, collision between a advantages of higher fuel tank ground requirements for compartmentalized MARC commuter train and an Amtrak clearance were shown in Amtrak fuel tanks on all passenger locomotives. passenger train. During the collision, the derailments in Kingman, Arizona, and Noting that diesel fires create fuel tank on the lead Amtrak locomotive Garden City, Georgia. According to the devastating results in passenger train ruptured catastrophically. The fuel NTSB, investigation of both accidents accidents, the BLE believed every effort sprayed into the exposed interior of the revealed that essentially no fuel loss should be made to avoid them, MARC cab control car and ignited, occurred in the involved locomotive including using the most advanced engulfing the car. (Letter at 12.) units (GE Models P40 and P42), despite technology possible. Further, APTA As explained in FRA’s report to a substantial accumulation of debris commented that it believes fuel tank Congress on locomotive beneath the fuel tanks that may have compartmentalization has the potential crashworthiness and working otherwise damaged current, to reduce the amount of fuel
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Principal conclusions from that FRA make a priority to resolve that cost effectiveness considerations the research to date are that an existing these technical difficulties. In differ when considering the application inter-city passenger coach seat can be accordance with these comments, FRA of occupant protection strategies to a modified to accept lap and shoulder will carefully consider with the train crew as compared to passengers. belts. In particular, for Amtrak’s Working Group in Phase II of the For instance, it believed that the traditional seat design, appropriate rulemaking a requirement to relatively high expense of passive modification of the connections compartmentalize fuel tanks on new restraints may be justified for one or two between the seat and floor, and between locomotives, drawing upon research crewmembers in a particularly severe the seat pan and seat back, allow it to conducted and experience gained in the environment—for instance, a support the loads associated with two interim through the Locomotive locomotive cab. Simula agreed with restrained 95th-percentile adult males Crashworthiness Working Group and FRA that more research is needed to occupying the seats as well as the loads the APTA PRESS Task Force. determine the most cost effective means associated with being struck from of providing occupant safety behind by two 95th-percentile adult H. Train Interior Safety improvements. males. Such seats can be designed to Based on previous research results, APTA, in its comments on the NPRM, compartmentalize safely an the interior passenger protection believed that FRA has taken the correct unrestrained single 5th-percentile adult requirements for Tier I and II passenger approach in not mandating active seat female striking the seat from behind. equipment rely on restraints in this stage of the Existing three-position commuter seat ‘‘compartmentalization’’ as a passenger rulemaking. APTA found accurate the designs cannot be modified to accept protection strategy. Such a strategy has description of the physics of passenger lap and shoulder belts. The additional the advantages of being passive, i.e., motion during a collision which was loads associated with the third requiring no action to be taken on the contained in the preamble of the NPRM. restrained and the third unrestrained part of the occupants, of being effective APTA noted that active seat restraints occupant cause multiple structural for a range of occupant sizes, and provide the most benefit in high failures for existing three-position potentially being effective in a wide passenger deceleration situations, such commuter seat designs—these designs range of interior configurations. as in automobile collisions; whereas, in simply fold up under the load. In order Research results indicate that during a the case of the low decelerations of to meet weight requirements, advanced collision the interior environment of a passenger train collisions, other types of structural materials and fabrication passenger coach car is substantially less protection measures such as techniques are likely to be required to hostile than the interiors of automobiles compartmentalization to minimize the develop a three-position commuter seat and aircraft. Owing to this lower distance a passenger travels before design which can support the loads hostility in a collision environment, the striking an interior surface and padding associated with three restrained 95th- interior of a typical passenger coach car of interior surfaces can be as effective as percentile adult males in the seats and can provide a level of protection to active seat restraints in protecting the loads associated with being struck passengers without active restraints at passengers from secondary collisions. from behind the seats by three 95th- least as effective in preventing fatality as In its comments on the NPRM, the percentile adult males. that protection afforded to automobile BRC stated that, ideally, passenger For the intercity passenger coach seat, and transport aircraft passengers with equipment should have seat belts or FRA currently plans to complete work active restraints. See the discussion on other restraints to keep occupants from on the details of the necessary train interior safety in the NPRM for striking seats from behind or striking modifications to Amtrak’s traditional more detail. 62 FR 49745–49749. other interior surfaces and occupants. seat design, modify accordingly four to Conclusions from the research The BRC believed this to be a true cause six pairs of seats for testing, and then previously conducted on passenger of serious injury and death during rapid dynamically sled test these seats. For protection in train collisions show that decelerations in collisions and the commuter seat, a study is planned lap belts and shoulder restraints, if derailments. The BRC further to develop an engineering model design used, provide the highest level of commented that a seat must be strong of a three-position commuter car occupant protection of those protection enough to hold an occupant utilizing passenger seat which incorporates lap strategies studied—greater than the level such restraints and yet resist the force(s) and shoulder belts. Composite of protection afforded by of other unrestrained occupants striking structures and advanced manufacturing compartmentalization. However, as the seat. In addition, a member of the techniques will be considered in this noted in the NPRM, FRA believes that public commented that Amtrak should study. Principal design considerations more research is necessary to determine provide its passengers with lap belts include the need to address secondary the feasibility and effectiveness of these and shoulder harnesses, noting that they collision loads, as well as active restraints, as well as the impact can reduce injuries to all occupants manufacturing and maintenance costs, on seat design and strength necessary to when used. weight, and durability. support the loads associated with use of FRA has continued to pursue research In the second phase of the the restraints. In this regard, FRA into implementing seat belts and rulemaking, FRA and the Working requested information and comment shoulder restraints in intercity and Group will reevaluate the feasibility and from interested parties whether there is commuter passenger equipment. The effectiveness of requiring active any existing research or experience purpose of this research is to develop restraints such as lap belts and shoulder which would justify active seat the information required by FRA to harnesses in passenger equipment, restraints in this phase of the determine if occupant restraints should based on the results of the ongoing rulemaking. See 62 FR 49745. be required in future regulations. This research.
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I. Fire Safety The 1997 NPRM addressed fire safety release rate increases. As a result, even by proposing to make FRA’s fire safety if passengers do not come in direct In 1984, FRA published guidelines guidelines mandatory for the contact with a fire, they may likely be recommending test methods and construction of new passenger injured from the high temperatures, performance criteria for the equipment as well as the refurbishing of high heat fluxes, and large amounts of flammability, smoke emission, and fire existing equipment. See 62 FR 49803. toxic gases emitted by materials endurance characteristics for categories As explained below in the discussion of involved in the fire. The results of the and functions of materials to be used in this final rule, FRA has simplified and Phase I tests showed a strong correlation the construction of new or rebuilt rail revised the table of tests and between the FRA-cited test data and the passenger equipment. See 49 FR 33076, performance criteria for the Cone Calorimeter test data. Aug. 20, 1984; 49 FR 44582, Nov. 7, flammability and smoke emission Phase I test data were used in the 1984. The guidelines were originally characteristics of materials used in second phase of the NIST project to developed by the Volpe Center for the passenger cars and locomotive cabs. In perform a fire hazard analysis of Urban Mass Transit Administration addition, FRA has clarified in the final selected passenger train fire scenarios. (UMTA now FTA) of DOT in the late rule the application of the required tests Also included in this analysis were data 1970s, and were intended for and performance criteria. As proposed obtained from tests of larger interior application to rail transit vehicles. See in the NPRM, the final rule also furthers components, including seat assemblies, 47 FR 53559, Nov. 26, 1982; 49 FR fire safety through a fire protection plan using the ASTM E 1537 Furniture 32482, Aug. 14, 1984. FRA and program to be carried out by each Calorimeter. The analysis employed recommended applying the guidelines operating railroad, which will include computer modeling to assess the impact to intercity and commuter rail cars, due conducting a fire safety analysis of on passenger train fire safety for a range to the similarity of use for many of the existing passenger equipment and of construction materials and system materials in these cars. taking appropriate action to reduce the design. The interim report documenting The intent of the guidelines is to risk of personal injuries. Phase II is in final preparation by NIST. prevent fire ignition and to maximize As noted in the NPRM, the National In the final phase of the project, selected the time available for passenger Institute of Standards and Technology real-scale proof tests using an Amfleet evacuation if fire does occur. FRA later (NIST) of the United States Department coach rail car and interior assemblies reissued the guidelines in 1989 to of Commerce is conducting research will be performed to verify the small- update the recommended test methods. under the direction of FRA and the scale (bench-scale) criteria and hazard See 54 FR 1837, Jan. 17, 1989. Test Volpe Center involving the fire safety of analysis studies in actual end use methods cited in the FRA guidelines rail passenger vehicles. The NIST configurations. include those of the American Society project is investigating the use of Overall, the NIST research effort for Testing and Materials (ASTM) and alternative fire testing methods and follows upon FRA-sponsored studies by the Federal Aviation Administration computer hazard analysis models to the National Bureau of Standards in (FAA). In particular, the ASTM and identify and evaluate approaches to 1984 and NIST in 1993 which noted, FAA testing methods provide a useful passenger train fire safety. The among their findings, that the screening device to identify materials evaluation is examining the effects and performance of individual components that are especially hazardous. tradeoffs of passenger car and system of a rail passenger car in a real-world design (including materials), fire fire environment may be different from FRA sought comments in the ANPRM detection and suppression systems, and that experienced in bench-scale tests on the need for more thorough passenger egress time. A peer review due to vehicle geometry and materials guidelines or Federal regulations committee has been established to interaction.2 The results of the NIST concerning fire safety. See 61 FR 30696. provide project guidance and review research project will help in developing FRA noted that fire resistance, interim results and reports. The a broad set of performance criteria for detection, and suppression technologies committee includes representatives materials using the Cone Calorimeter have all advanced since the guidelines from FRA, the Volpe Center, the NFPA, and the Furniture Calorimeter in a were first published. In addition, FRA builders of rail passenger vehicles, context similar to that provided explained that a trend toward a systems producers of materials, Amtrak and generally in the table of FRA fire safety approach to fire safety is evident in commuter railroads, and testing requirements contained in Appendix B most countries with modern rail laboratories. to part 238. In addition, unlike data systems. In response, the National Fire In the first phase of the NIST project, derived from most test methods Protection Association (NFPA) selected materials which satisfy the referenced in Appendix B, heat release commented that perhaps more thorough testing methods referenced in FRA’s fire rate and other measurements obtained guidelines are needed, or at least should safety guidelines were evaluated using from the Cone Calorimeter and the be evaluated. Fire Cause Analysis also the ASTM E1354 Cone Calorimeter.1 Furniture Calorimeter can be used in a responded that, at a minimum, more in The Cone Calorimeter provides a fire modeling methodology to evaluate depth guidelines based on current measurement of heat release rate (the the contribution of materials to the system safety procedures and available amount of energy that a material overall fire safety of a passenger train. fire safety engineering techniques are produces while burning), specimen Although FRA has targeted for needed. The commenter noted in mass loss, smoke production, and consideration in the second phase of the particular that Federal maintenance combustion gases. For a given confined standards related to fire safety are space such as a rail car interior, the air 2 ‘‘Fire Tests of Amtrak Passenger Rail Vehicle necessary to ensure that materials temperature and risk of harm to Interiors.’’ (NBS Technical Note 1193, May 1984); ‘‘Fire Safety of Passenger Trains: A Review of U.S. carefully qualified for use in rail passengers are increased as the heat and Foreign Approaches.’’ (DOT/FRA/ORD–93/ passenger vehicles because of their fire 23—DOT–VNTSC–FRA–93–26, December, 1993). safety characteristics are not replaced 1 ‘‘Fire Safety of Passenger Trains: Phase I The 1993 report is available to the public through with either substandard materials or Material Evaluation (Cone Calorimeter).’’ (DOT/ the National Technical Information Service, FRA/ORD/–98/01–DOT–VNTSC–FRA–98–2, Springfield, VA 22161. A copy of both reports have materials whose origin and fire January, 1999). A copy of the report has also been been placed in the public docket for this performance cannot be determined. placed in the public docket of this rulemaking. rulemaking.
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00016 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25555 rulemaking a broad set of performance In its comments on the NPRM, the selection criteria for new equipment (as criteria employing the Cone Calorimeter NFPA urged FRA to adopt NFPA 130 well as the proposed fire safety program and Furniture Calorimeter for materials upon completion of its revision. The for new equipment discussed below). used in passenger cars and locomotive NFPA cited the National Technology APTA also recommended that FRA cabs, FRA has introduced use of the Transfer and Advancement Act of 1995, consider updating the fire safety Cone Calorimeter and Furniture Pub. L. 104–113, and one of its standards based on the work of the Calorimeter in a limited manner in this provisions which requires, in general, NFPA 130 task force and the research final rule as explained below in the that Federal agencies ‘‘use technical being conducted by the NIST. The BRC, discussion of Appendix B to part 238. standards that are developed or adopted in its comments on the NPRM, stated FRA notes that the ASTM has by voluntary consensus standards that interior materials in passenger developed a standard which describes bodies’’ (Section 12, paragraph (d)(1)). equipment must be required to meet how to evaluate fire hazard assessment In the second phase of this rulemaking, strict standards for flammability and techniques (ASTM E 1546, Guide for the FRA will consider with the Working smoke emission. The BRC believed that Development of Fire Hazard Assessment Group the incorporation of NFPA 130, compliance with the current guidelines Standards). An ASTM group, the E–5.17 as revised, into this rule. alone is insufficient for safety, and that Subcommittee on Transportation, is In response to the NPRM, FRA additional technology, preventative currently completing a document received a number of other comments measures, and fire safety standards must entitled ‘‘Standard Guide for Fire on the provisions of the rule related to be considered. Hazard Assessment of Rail Passenger fire safety. Those comments on the In the final rule, FRA has not Vehicles.’’ The proposed guide is proposed fire protection plan and significantly changed the table of test intended to provide an alternative program are noted in particular, below, methods and performance criteria for approach to ensuring an equivalent in the discussion of 49 C.F.R. § 238.103 the flammability and smoke emission level of fire safety using a performance- in the final rule. In regard to the characteristics of materials used in based approach which examines fire proposed table of tests and performance passenger cars and locomotive cabs, as scenarios, as well as design criteria for the flammability and smoke contained in Appendix B to part 238. considerations, to evaluate the potential emission characteristics of materials FRA has sought to maintain the current fire hazard of a rail transportation used in passenger cars and locomotive high levels of safety provided by the fire vehicle. One of the principal issues cabs contained in Appendix B to part safety guidelines, while developing a related to the proposed guide is that 238, Fire Cause Analysis commented on more workable framework for their use calculation methods are suggested the advisability of making such tests as a regulation. In fact, as part of the which use models that have not been and performance criteria mandatory NIST fire safety research, specific input validated for application to rail cars. In without considerable and detailed on the 1989 FRA fire safety guidelines this regard, the results of the NIST fire enabling language. Fire Cause Analysis was solicited from rail system operators, safety research will be helpful for the noted in particular that the table of tests car builders, and consultants at a ASTM subcommittee, as NIST is using and performance criteria in Appendix B workshop held at the NIST Building and the Hazard I computer model to develop contained confusing and overlapping Fire Research Lab (BFRL) in July, 1997. correlations between small-scale tests of component and function categories for (The minutes of that workshop are materials and full-scale tests of rail cars. materials; that application of the tests contained in Follow-Up Workshop In the NPRM, FRA explained that the and performance criteria to ‘‘small Notes.3 ) This input was used to help NFPA publishes a standard (NFPA 130) parts’’ requires special consideration to simplify and revise the table of tests and covering fire protection requirements for provide flexibility for car builders; and performance criteria contained in fixed guideway transit systems and for that the fire performance of electrical Appendix B. In summary, the specific life safety from fire in transit stations, wiring and cable was not expressly changes FRA has made to the table in trainways, vehicles, and outdoor addressed in the NPRM, although the final rule include: maintenance and storage areas. See 62 addressed by NFPA 130. • FR 49744–5. (A copy of the 1997 edition A member of the public commented Reorganizing table component and function categories; of this standard has been placed in the that he considered FRA’s fire safety • public docket for this rulemaking.) guidelines good in some but not all Adding a dynamic testing requirement for cushions; However, this standard has not respects. The commenter stated in • historically been applied to passenger particular that the current acceptance Adding a new test method for evaluating seat assemblies; railroad systems, including those that levels of smoke emission are inadequate • provide commuter service (NFPA 130 to protect passengers from toxic levels Providing a test exception and test alternative for small component parts; 1–1.2). FRA noted that an APTA of smoke; and that permitting glazing • representative on the Working Group and lighting lenses to have a flame Adding express requirements for who is a member of the NFPA initiated spread index of 100 with flaming wire and cable testing; • an NFPA-sponsored task force to revise running and flaming dripping is not Updating test methods for the scope of NFPA 130 to cover all rail justified based on the location of these elastomers; • passenger transportation systems, objects, ease of ignition, and Btu content Providing an alternative test including intercity and commuter rail, of polycarbonate. Nonetheless, the method for smoke generation; • and revise other provisions as commenter recommended adoption of Adding express requirements for necessary. The NFPA task force met the guidelines into law, noting that structural assemblies other than floors; several times in 1997 and 1998, and some vendors, car builders, and and • submitted recommended revisions to agencies operating rail equipment have Renumbering and adding notes to the NFPA 130 Committee in August, not taken the guidelines seriously. the table to reflect the changes. 1998. Although the NFPA 130 Otherwise, the commenter believed that Committee accepted the task force the fire safety guidelines will be 3 ‘‘Follow-Up Notes: NIST/CFR FRA Project, Meeting/Workshop of 7/23/97.’’ September 15, recommendations in principle, the discounted. 1997. Prepared by J. Zicherman. A copy of this standard revision approval process will APTA, in its comments on the NPRM, document has been placed in the public docket for not be complete until late 1999. supported the proposed materials this rulemaking.
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The discussion of Appendix B to part two homes and blocked a street north of power brake and mechanical standards 238, below, provides a detailed the Palatka station. The derailment for passenger equipment. The 1997 explanation of the changes made to the resulted in eleven passengers sustaining NPRM, upon which this final rule is table of test methods and performance serious injuries and 41 others receiving based, was developed by FRA in criteria for the flammability and smoke minor injuries. In addition, five consultation with this Working Group. emission characteristics of materials members of the operating crew and four In addition, FRA determined that a used in passenger cars and locomotive onboard service personnel received second NPRM covering freight cabs. minor injuries. By letter dated equipment power brake standards September 16, 1993, FRA told the NTSB would be developed with the assistance VI. Inspection and Testing of Brake that it was in the process of reviewing of FRA’s RSAC. See 61 FR 29164, June Systems and Mechanical Components and rewriting the power brake 7, 1996. Furthermore, in the interest of A. Background Prior to 1997 NPRM regulations and would consider the public safety and due to statutory as NTSB’s recommendation during the well as internal commitments, FRA In 1992, Congress amended the process. determined that it would separate the Federal rail safety laws by adding Based on comments and information issues related to two-way end-of-train- certain statutory mandates related to received, FRA published a Notice of telemetry devices from both the power brake safety. These amendments Proposed Rulemaking in 1994 (1994 passenger and freight issues. FRA specifically address the revision of the NPRM) regarding revision of the power convened a public regulatory conference power brake regulations and state in brake regulations. The 1994 NPRM and published a final rule on two-way pertinent part: contained specific requirements related end-of-train devices on January 2, 1997. (r) POWER BRAKE SAFETY.—(1) The to intercity passenger and commuter See 62 FR 278. Secretary shall conduct a review of the train operations, including: general Beginning in December of 1995, the Department of Transportation’s rules with design requirements; movement of Passenger Equipment Safety Standards respect to railroad power brakes, and not defective equipment; employee Working Group adopted the additional later than December 31, 1993, shall revise qualifications; inspection and testing of task of attempting to develop power such rules based on such safety data as may brake and mechanical inspection and be presented during that review. brake systems and mechanical components; single car testing maintenance standards applicable to * * * * * requirements and periodic maintenance; intercity passenger and commuter train Pub. L. No. 102–365, § 7; codified at 49 operating requirements; and operations and equipment. The Working U.S.C. 20141, superseding 45 U.S.C. requirements for the introduction of Group met on four separate occasions, 431(r). new train brake system technology. See for a total of ten days of meetings, with In response to the statutory mandate, 59 FR 47676, 47722–53, September, 16, a good portion of these meetings being various recommendations to improve 1994. Following publication of the 1994 devoted to discussion of power brake power brake safety, and due to its own NPRM, FRA held a series of public and mechanical inspection and determination that the power brake hearings in 1994 to allow interested maintenance issues. From the outset, a regulations were in need of revision, parties the opportunity to comment on majority of the members, as well as FRA published an ANPRM on December specific issues addressed in the 1994 FRA, believed that any requirements 31, 1992, concerning railroad power NPRM. Due to the strong objections developed by the group regarding the brake safety. See 57 FR 62546. The raised by a large number of commenters, inspection and testing of the brake and ANPRM provided background FRA announced by notice published on mechanical equipment should not vary information and presented questions on January 17, 1995, that it would defer significantly from the current various subjects related to intercity action on the 1994 NPRM and permit requirements and should be consistent passenger and commuter train the submission of additional comments with current industry practice. operations, including: training of testing prior to making a determination as to FRA’s accident/incident data related and inspection personnel; electronic how it would proceed in this matter. to intercity passenger and commuter braking systems; cleaning, oiling, See 60 FR 3375. train operations support the assumption testing, and stenciling (COT&S) After review of all the comments that the current practices of these requirements; performance of brake submitted, FRA determined that in operations in the area of power brake inspections; and high speed passenger order to limit the number of issues to be inspection, testing, and maintenance are train brakes. Following publication of examined and developed in any one for the most part sufficient to ensure the the ANPRM, FRA conducted a series of proceeding it would proceed with the safety of the public. Between January 1, public workshops. The ANPRM and the revision of the power brake regulations 1990 and October 31, 1996, there were public workshops were intended as fact- via three separate processes. In light of only five brake related accidents finding tools to elicit views of those the testimony and comments received involving commuter and intercity persons outside FRA charged with on the 1994 NPRM, emphasizing the passenger railroad equipment. No ensuring compliance with the power differences between passenger and casualties resulted from any of these brake regulations on a day-to-day basis. freight operations and the brake and accidents and the total damage to Furthermore, on July 26, 1993, the mechanical equipment utilized by the railroad equipment totaled NTSB made the following two, FRA decided to separate passenger approximately $650,000, or $96,000 recommendation to FRA: ‘‘Amend the equipment power brake and mechanical annually. In addition, between January power brake regulations, 49 Code of standards from freight equipment power 1, 1995 and October 31, 1996, FRA Federal Regulations 232.12, to provide brake standards. inspected approximately 13,000 appropriate guidelines for inspecting As passenger equipment power brake commuter and intercity passenger rail brake equipment on modern passenger and mechanical standards are a logical units for compliance with 49 CFR part cars.’’ (R–93–16). The recommendation subset of passenger equipment safety 232. The defect ratio for these units arose out of the NTSB’s investigation of standards (see 49 U.S.C. 20133(c)), FRA during this period was approximately the December 17, 1991, derailment of an requested the Passenger Equipment 0.8 percent. Furthermore, during this Amtrak passenger train in Palatka, Safety Standards Working Group to same period FRA inspected Florida. The derailed equipment struck assist FRA in developing appropriate approximately 6,300 locomotives for
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The that any requirements developed by the railroads to conduct the inspections at brake defect ratio for these units was group regarding the inspection, testing, locations that are more conducive to approximately 4.65 percent. and maintenance of the brake and permitting a full inspection of the Consequently, the defect ratio for brake mechanical equipment should not vary equipment than many of the outlying related defects on locomotives and other significantly from the current locations where trains are stationed passenger equipment during this period requirements and should be consistent overnight and where the ability to was approximately 2.08 percent. with current industry practice. observe all the equipment may be The existing regulations covering the However, the Working Group was hampered. It was further contended inspection and testing of the braking unable to reach consensus on any power that, if the railroads are allowed some systems on passenger trains are brake or mechanical equipment flexibility in conducting these type of contained in 49 CFR part 232. The standards, despite the positing of inspections, then the equipment can be current regulations do provide some multiple alternatives, use of a facilitator, moved to a location where a fully requirements relevant to passenger train and the foundation provided by the qualified mechanical inspector can operations, including: initial terminal 1994 NPRM. The Working Group perform detailed inspections under inspection and testing, intermediate identified and discussed options with optimum conditions. inspections, running tests, and general which the agency and labor can agree, Several parties also pointed out that, maintenance requirements. See 49 CFR and others with which FRA and the with proper maintenance, ‘‘tread brake 232.12, 232.13(a), 232.16, and 232.17. railroads can agree. However, bridging units’’ and other friction brake However, most of the existing the gap between those various options components, commonly used in regulations are written to address freight proved elusive. Consequently, as the commuter train operations, are highly train operations and do not sufficiently Working Group could not reach any reliable and that the non-functioning of address the unique operating type of consensus on the inspection and any individual unit would in no way environment of commuter and intercity testing requirements, it was determined compromise the overall safety of the passenger train operations or the that FRA would address these issues train. Furthermore, permitting the equipment currently being used in those unilaterally, based on the information inspection of brake components in the operations. Therefore, it has been and discussions provided by the middle of the day, rather than at the necessary for FRA to provide Working Group and the information beginning of the day, involves no greater interpretations of some of the current gathered from the 1994 NPRM. safety risk to passengers because friction regulations in order to address these brake systems and their components unique concerns. B. 1997 NPRM on Passenger Safety degrade in performance based largely on Currently, all non-MU (multiple unit) Equipment Standards use, and nothing short of a continuous commuter trains that do not remain During the Working Group brake inspection can guarantee 100- connected to a source of compressed air discussions, labor representatives, percent performance at all times. overnight and all MU commuter trains particularly the BRC, insisted that a Railroad representatives suggested an equipped with RT–5 or similar brake comprehensive power brake inspection inspection scheme that would permit an systems must receive an initial terminal must be performed prior to a train’s first in-depth, comprehensive brake inspection of the brake system pursuant run on a given calendar day. The BRC inspection to be performed sometime to § 232.12(c)–(j) prior to the train’s first also believed that it is necessary for the during the day in which the equipment departure on any given calendar day. first inspection of the day to determine is used with a brake inspection being All non-MU commuter trains that whether the brake shoes and the disc performed prior to the first run of the remain connected to a source of pads actually apply as intended. The day verifying the continuity of the compressed air over-night are permitted BRC further contended that in order to trainline by performing a set and release to receive an initial terminal inspection perform a comprehensive inspection on the rear car of the train. of the brake system sometime during equivalent to an initial terminal APTA and other passenger railroad each 24-hour period in which they are inspection the train must be walked or representatives strongly maintained that used. Furthermore, all intercity otherwise inspected on a car-to-car basis specific inspection criteria or limits passenger trains must receive an initial and that these principal inspections related to the mechanical components of terminal inspection of the brake system should be performed only by carmen or passenger equipment were not at the point where they are originally other qualified mechanical personnel as necessary. During the ongoing meetings made up and must receive an they are the only employees sufficiently of the Working Group, FRA repeatedly intermediate inspection in accordance trained to perform the inspections. Rail requested that railroad representatives with § 232.12(b) every 1,000 miles. labor representatives also advocated a provide a recommended list of There are currently no regulations daily inspection of all safety-related mechanical components and criteria for which specifically require the mechanical components with pass/fail their inspection. These representatives inspection of the mechanical criteria or limits written into the Federal consistently responded with very broad components on passenger equipment. safety standards much like the requirements basically limited to Although the current regulations do not requirements contained in 49 CFR part inspections for obvious and visible contain any mechanical inspection 215 addressing freight equipment. defects. Although passenger railroad requirement of passenger equipment, Representatives of intercity passenger representatives did not object to the virtually every passenger railroad and commuter railroads expressed the safety principle of a mechanical currently performs some type of daily desire to have the flexibility to conduct inspection, they did not want their mechanical inspection on its passenger comprehensive in-depth inspections of operations to be bound by a rigid list of equipment with highly qualified the brake and mechanical system components and criteria for the personnel. For several years Amtrak has sometime during the day in which the inspection. been conducting voluntary mechanical equipment is utilized. These parties Based on consideration of all of the safety inspections of passenger train argued that safety would be better information outlined above, FRA components. served by allowing the railroads the published an NPRM on Passenger As noted previously, most of the flexibility to conduct these inspections Equipment Safety Standards on members of the Working Group believed on a daily basis as it would allow the September 23, 1997. See 62 FR 49728.
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This NPRM contained specific operate for long distances, with trips which the equipment is used. FRA proposals related to the inspection, between the beginning terminal and believed that the flexibility permitted by testing, and maintenance of both the ending terminal taking a day or more the proposed requirement would allow brake and mechanical components on and traversing multiple states with railroads to move equipment to passenger equipment. The proposal relatively long distances between locations that are most conducive to the attempted to balance the concerns of rail passenger stations. Consequently, FRA inspection of the brake equipment and labor representatives and proposed the terms ‘‘commuter train,’’ would allow railroads to combine the representatives of intercity and ‘‘short-distance intercity passenger daily mechanical inspections with the commuter railroads. train,’’ and ‘‘long-distance intercity brake inspection for added efficiency. passenger train’’ in order to identify the In the NPRM, FRA recognized the 1. Proposed Brake System Inspections inspection and testing requirements differences between commuter or short- In the 1997 NPRM, FRA proposed to associated with each. See 62 FR 49737– distance intercity operations and long- abandon the terminology related to the 38, 49774–76, 49810–11. For the most distance intercity passenger train power brake inspection and testing part, commuter and short-distance operations. FRA noted that long- requirements contained in the current intercity passenger trains were treated distance intercity passenger trains do regulations, and proposed to identify similarly, whereas long-distance not operate in shorter turn around various classes of inspections based on intercity passenger trains had slightly service over the same sections of track the duties and type of inspection different proposed inspection and on a daily basis for the purpose of required. See 62 FR 49737, 49774–77, testing requirements. In addition, FRA transporting passengers from major 49810–11. FRA believed that this type proposed slightly different requirements centers of employment. Instead, these of classification system would avoid with regard to the movement of trains tend to operate for extended confusion with the power brake defective equipment in long-distance periods of time, over long distances inspection and testing requirements intercity passenger trains (see the with greater distances between applicable to freight operations and discussion below on the ‘‘Movement of passenger stations and terminals. would avoid the connotations Equipment with Defective Brakes’’). Further, these trains may operate well historically attached to the current The proposed Class I brake test over 1,000 miles in any 24 hour period. terminology. FRA also believed that this basically required an inspection similar Thus, FRA believed that the opportunity approach was better suited for providing to an initial terminal inspection as for conducting inspections on these operational flexibility to commuter currently described at § 232.12(c)-(j), but trains was somewhat diminished. operations while maintaining the safety was somewhat more extensive and Therefore, FRA determined that a provided by the current inspection and specifically aimed at the types of thorough inspection of the braking testing requirements. Although FRA equipment being used in commuter and system on these types of operations proposed a change in the terminology intercity passenger train service. See 62 must be conducted prior to the train’s used to describe the various power FR 49738–39, 49774–76, 49810. The departure from an initial starting brake inspections and tests, the proposed Class I brake test would terminal. Consequently, FRA proposed requirements of the inspections and require an inspection of the application that a Class I brake inspection be tests closely tracked the current and release of the friction brakes on performed on long-distance intercity requirements with some modifications each side of each car as well as an passenger trains prior to departure from made to address the unique operating inspection of the brake shoes, pads, an initial terminal. See 62 FR 49810. environment of, and equipment discs, rigging, angle cocks, piston travel, FRA did not believe there would be any operated in, commuter and intercity and brake indicators if the equipment is significant burden placed on these passenger train service. Members of the so equipped. The Class I brake test operations as the current regulations Working Group appeared receptive to would also require testing of the require that an initial terminal this kind of classification system and communication signal system and the inspection be performed at these discussed various options using some of emergency braking control devices. In locations. this terminology. Consequently, FRA recognition of the advanced technology FRA also recognized that these long- proposed four different types of brake and various designs used in many of distance intercity passenger trains could inspections, ‘‘Class I,’’ ‘‘Class IA,’’ these operations, which make conceivably travel significant distances ‘‘Class II,’’ and ‘‘running brake test,’’ observation of the piston travel virtually if Class I inspections were required only that were to be performed by commuter impossible, FRA proposed to permit the once every 24 hours the equipment is in and intercity passenger railroads some inspection of the piston travel to be service as proposed for commuter and time during the operation of their conducted either through direct short-distance intercity passenger trains. equipment. observation of the clearance between the Thus, FRA believed that some outside In the proposal, FRA also divided brake shoe and the wheel or by mileage limit had to be placed on these passenger train operations into two observation of a brake actuator. trains between brake inspections. Under distinct types for purposes of brake Furthermore, FRA proposed to require a the current regulations a passenger train inspections and testing. FRA recognized brake pipe leakage test only when is permitted to travel no farther than that there were major differences in the leakage will affect service performance. 1,000 miles from its initial terminal, at operations of commuter or short- As FRA proposed that Class I brake which point it must receive an distance intercity passenger trains, and tests be comprehensive inspections of intermediate inspection of brakes that long-distance intercity passenger trains. the braking system, FRA believed that includes an application of the brakes Commuter and short-distance intercity commuter and short-distance intercity and the inspection of the brake rigging passenger trains tend to operate for passenger train operations should be to ensure it is properly secured. See 49 fairly short distances between passenger permitted some flexibility in conducting CFR 232.12(b). However, in recognition stations and generally operate in these inspections. Consequently, FRA of the improved technology used in relatively short turn-around service proposed that commuter and short- passenger train brake systems combined between two terminals several times in distance intercity passenger train with the comprehensive nature of the any given day. In contrast, long-distance operations perform a Class I brake test proposed Class I brake tests and intercity passenger trains tend to sometime during the calendar day in mechanical safety inspections being
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Although unpowered vehicles used in passenger that the equipment is used or every FRA tended to agree with the position trains (which includes, e.g., not only 1,500 miles, which ever occurred first. advanced by many labor representatives coaches, MU locomotives, and cab cars See 62 FR 49739, 49775, 49810. that some sort of car-to-car inspection but also any other rail rolling equipment FRA also proposed that the brake must be made of the brake equipment used in a passenger train), and that all inspection and testing intervals prior to the first run of the day, FRA did exterior mechanical inspections be proposed for long-distance passenger not agree that it is necessary to perform performed by highly qualified trains apply to all Tier II equipment a full Class I brake test in order to personnel. A mechanical safety (i.e., equipment operating at speeds ensure the proper functioning of the inspection of freight cars has been a greater than 125 mph but not exceeding brake equipment in all situations. longstanding Federal safety 150 mph), regardless of whether it is However, contrary to the position requirement, and FRA believed that the used in short-or long-distance intercity espoused by APTA, FRA believed that lack of a similar requirement for trains. As FRA’s proposal permitted something more than just a passenger equipment created a serious operators of Tier II equipment to determination that the brakes on the void in the current Federal railroad develop inspection and testing criteria rear car set and release is necessary. safety standards. and procedures, these operations would In addition to the proposed Class I Rail labor representatives advocated a be required to develop a brake test that and Class IA brake tests, FRA also daily inspection of all safety-related is equivalent to a Class I brake test for proposed a Class II brake test. The mechanical components with pass/fail Tier II equipment. Due to the speeds at proposed Class II brake test would be an criteria or limits written into the Federal which this equipment will be allowed to inspection intended to verify the safety standards much like the operate, FRA believed it was a necessity continuity of the train brake system and requirements contained in 49 CFR part that an equivalent Class I brake test be would be similar to the intermediate 215, whereas APTA and other passenger performed on Tier II equipment before terminal inspection currently prescribed railroad representatives on the other it departs from its initial terminal. at § 232.13(a). A Class II brake test hand strongly maintained that specific Similarly, FRA proposed that the basically required a set and release of inspection criteria or limits are not equivalent Class I brake test be the brakes on the rear car. The proposed necessary. During the meetings of the performed every calendar day in which Class II test would be required in those Working Group, FRA repeatedly Tier II equipment is used or every 1,500 circumstances where minor changes to requested that railroad representatives miles, whichever comes first. See 62 FR a train consist occur, such as the change provide a recommended list of 49739, 49784, 49821. of a control stand, the removal of cars mechanical components and criteria for The proposed Class IA brake test was from the consist, the addition of their inspection. These representatives somewhat less comprehensive than the previously tested cars, and the consistently responded with very broad proposed Class I brake test but included situations in which an operator first requirements basically limited to a detailed inspection of the brake takes control of the train. See 62 FR inspections for obvious and visible system to verify the continuity of the 49739, 49777, 49811. defects. Although passenger railroad brake system and the proper functioning FRA also proposed that a running representatives did not object to the of the brake valves on each car. A Class brake test be conducted as soon as safety principle of a mechanical IA brake test would be similar to the conditions safely permit it to be inspection, they did not want their intermediate brake inspection currently conducted after a train receives a Class operations to be bound by a rigid list of required for freight trains prescribed at I, Class IA, or Class II brake test. FRA components and criteria for the § 232.13(d)(1). The proposed Class IA believed that this test should be inspection. brake test would generally require a conducted in accordance with each FRA agreed with labor representatives walking inspection of the set and release railroad’s operating rules. The proposed that a specific list of components to be of the brakes on each car; however, the ‘‘running brake test’’ requirement was inspected with enforceable inspection proposal allowed brake indicators to be similar to the ‘‘running test’’ or pass/fail criteria needed to be used to verify the set and release if the requirements currently contained at included as part of the proposed railroad determined that operating § 232.16. See 62 FR 49740, 49777, Passenger Equipment Safety Standards. conditions pose a safety hazard to an 49811. In the 1997 NPRM, FRA identified the inspector walking along the train. The components that were to be inspected as Class IA brake test also required a 2. Proposed Mechanical Inspections part of the exterior calendar day leakage test if leakage affects service In the 1997 NPRM, FRA proposed mechanical safety inspection and performance, as well as an inspection three types of mechanical inspections, provided measurable inspection criteria of: angle cocks; piston travel, if these included: a calendar day exterior for the components. The proposal determinable; brake indicators; and interior inspection, and a periodic required the railroad to ascertain that emergency brake control devices; and inspection. See 62 FR 49771–73, 49807– each passenger car, and each communication of brake pipe pressure 09. The proposed exterior calendar day unpowered vehicle used in a passenger changes at the rear of train to the mechanical inspection for passenger train conforms with the conditions controlling locomotive. See 62 FR cars and unpowered vehicles used in enumerated in the proposal. The 49738–39, 49776–77, 49810. passenger trains was patterned after a Working Group members generally FRA proposed that a Class IA brake combination of the current calendar day agreed that the components contained test would be performed prior to a inspection required for locomotives in the proposal represented valid safety- commuter or short-distance intercity under the Railroad Locomotive Safety related components that should be passenger train’s first departure on any Standards and the pre-departure frequently inspected by railroads.
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However, members of the Working to operate defective equipment in defective conditions and the repair or Group had widely different opinions passenger service to end at the calendar replacement of certain components regarding the criteria to be used to day mechanical inspection. which would trigger the requirement to inspect the components. Therefore, as Initially, FRA considered requiring a perform a single car test. See 62 FR FRA was not provided any clear more extensive list of components to be 49774, 49809. In an attempt to promote guidance from the Working Group, FRA checked at each interior calendar day the prompt repair of defective selected inspection criteria based on the mechanical inspection. However, based equipment, FRA proposed some locomotive calendar day inspection and on discussions conducted with the flexibility in the performance of the test the freight car safety pre-departure Working Group, FRA determined that by permitting cars to be moved to a inspection required by 49 CFR parts 229 the daily inspection and repair of some location where the test could be and 215, respectively. FRA believed that interior items could be burdensome to performed if repairs were made at a passenger equipment should receive an the railroads without producing an location that could not perform the test. inspection which is at least equivalent offsetting safety benefit. As a result, to that received by locomotives and FRA proposed a periodic mechanical 3. Proposed Qualifications of Inspection freight cars. The components and inspection for passenger cars in order to and Testing Personnel conditions identified by FRA to be reduce the frequency with which certain In the 1997 NPRM, FRA proposed the included in the exterior calendar day components require inspection. FRA terms ‘‘qualified person’’ and ‘‘qualified mechanical inspection included: proposed that the following components mechanical inspector’’ to differentiate couplers; suspension system; trucks; be inspected for proper operation and between the type of personnel that will side bearings; wheels; jumpers; cable repaired, if necessary, as part of the be permitted to perform certain brake or connections; buffer plates; products of periodic maintenance of the equipment: mechanical inspections required in the combustion; batteries; diaphragms; and emergency lights; emergency exit proposal. A ‘‘qualified person’’ was secondary brake systems. See 62 FR windows; seats and seat attachments; defined as a person determined by the 49807–08. overhead luggage racks and railroad to have the knowledge and FRA also proposed that each railroad attachments; floor and stair surfaces; skills necessary to perform one or more perform an interior calendar day and hand-operated electrical switches. functions required under this part. mechanical inspection by individuals See 62 FR 49808–09. Whereas, a ‘‘qualified mechanical FRA determined that virtually all qualified by the railroad to do so. FRA inspector’’ was defined as a ‘‘qualified passenger railroads have defined originally contemplated requiring the person’’ who as a part of the training, periodic maintenance intervals for all of interior inspections to be performed by qualification, and designation program the equipment they operate with highly qualified personnel to track the required by the proposal had received intervals varying from 60 to 180 days, exterior calendar day mechanical instruction and training that included depending on the type of equipment inspection requirements. However, after ‘‘hands-on’’ experience (under and the service in which it is used. several discussions with members of the appropriate supervision or Working Group and several other Although FRA did not intend to limit apprenticeship) in one or more of the representatives of passenger railroads, the railroad’s flexibility to set periodic following functions: trouble-shooting, FRA determined that the training and maintenance intervals, FRA believed inspection, testing, and maintenance or experience typical of a mechanical that an outside limit had to be placed on repair of the specific train brake and inspector is not necessary and often the performance of the periodic other components and systems for does not apply to inspecting interior mechanical inspection. Thus, FRA which the inspector is assigned safety components of passenger proposed that the periodic mechanical responsibility. Further, the mechanical equipment. In addition, the most inspection be performed at least every inspector was to be a person whose economical way to accomplish the 180 days, as that appeared to be the primary responsibility includes work mechanical inspection is to combine the outside limit of currently established exterior inspection with the Class I maintenance cycles. generally consistent with those brake test and then have a crew member In addition to the daily and periodic functions. See 62 FR 49754. or train coach cleaner combine the mechanical inspections, FRA also As FRA intended for Class I brake interior mechanical inspection with proposed extensive requirements inspections and exterior calendar day coach cleaning. FRA listed the following regarding the performance of single car mechanical inspections to be in-depth components that were to be inspected as tests on passenger equipment. FRA inspections of the entire braking system part of the interior calendar day believed that the proposed single car and the safety-critical mechanical mechanical inspection: trap doors; end test has proven itself effective in components, which most likely will be and side doors; manual door releases; uncovering brake system problems that performed only one time in any given safety covers, doors and plates; are the root cause of certain wheel day in which the equipment is used, vestibule step lighting; and safety- defects or that have been caused by and because of the flexibility FRA related signs and instructions. See 62 FR repairs made to the brake system. The proposed in the performance of such 49808. current regulations require that a single inspections, FRA proposed that these Because FRA intended the daily car test be performed on passenger cars inspections had to be performed by exterior and interior mechanical whenever they are on a shop or repair individuals possessing not only the inspections to serve as the time when track. As the current requirement carries knowledge to identify and detect a the railroad repairs defects that occurred the potential of permitting a railroad to defective condition in all of the brake en route, FRA further proposed that avoid the performance of the test by equipment required to be inspected but safety components not in compliance calling a repair track something other also the knowledge to recognize the with this part would be required to be than a repair track, FRA believed it was interrelational workings of the repaired before the equipment was prudent to base the requirement to equipment and the ability to permitted to remain in or return to perform a single car test on the type of ‘‘troubleshoot’’ and repair the passenger service after the performance defect or repair involved rather than the equipment. Consequently, FRA of the mechanical inspections. In other location where the defect is repaired. proposed that only qualified mechanical words, FRA intended for the flexibility Therefore, FRA proposed a list of inspectors would be permitted to
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00022 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25561 perform Class I brake tests and exterior provide a brief overview of the thrust of train is in operation and the system is calendar day mechanical inspections. the comments received in this portion of attempted to be used. As the definition of qualified the preamble and provide general FRA APTA representatives also mechanical inspector required the conclusions while addressing the commented on the proposed person’s primary responsibility to be the specific comments of various parties in requirements for performing single car inspection, testing, or maintenance of the section-by-section analysis. For tests. APTA recommended that FRA passenger equipment, the definition purposes of discussion, the comments adopt the new single car test procedures largely ruled out the possibility of train are grouped in three categories: (1) recently developed by the PRESS brake crew members becoming qualified railroad management representatives; committee rather than the outdated mechanical inspectors because the (2) railroad labor representatives; and AAR standard. These commenters also primary responsibility of a train crew (3) other commenters. recommended that the replacement or member is generally the operation of the Railroad management representatives, repair of certain proposed components train. FRA intended the definition to APTA and its member railroads and not trigger the requirement to perform a allow the members of the trades Amtrak, generally agreed with the single car test since most of the brake associated with the testing and concept of performing the proposed system is not disturbed by the repairs maintenance of equipment such as comprehensive daily brake and and some sort of partial test could carmen, machinists, and electricians to mechanical inspections. However, these sufficiently demonstrate proper become qualified mechanical representatives raised a number of operation of the brake system. These inspectors. However, FRA made clear concerns with the proposed inspections. commenters also sought the flexibility that membership in labor organizations Commenters for APTA believed that the not to perform the test if a wheel defect or completion of apprenticeship proposed requirement to perform a is known to be caused by other than a programs associated with these crafts Class IA brake test prior to the first run brake-related problem. APTA further was not required to be designated a of the day for commuter and short- recommended that railroads be qualified mechanical inspector. The two distance intercity trains is unnecessary permitted to perform single car tests primary qualifications were the and adds no value to the proposed from the locomotive control stands. The major issue raised by railroad possession of the knowledge required to inspection scheme. APTA recommends management representatives addressed do the job and a primary work that a Class I brake test remain valid for FRA’s proposal that all Class I brake assignment inspecting, testing, or up to 12 hours after it is performed, if tests and all exterior calendar day maintaining the equipment. the train remains intact with FRA included a clear definition of mechanical inspections be performed by compressors running, and that the ‘‘qualified person’’ to allow railroads the a qualified mechanical inspector (QMI). performance of a Class II brake test prior flexibility of having train crews perform APTA representatives objected to the Class IA, Class II, and running brake to the first departure would be sufficient use of this designation for several tests and interior calendar day to ensure the proper operation of the reasons and recommended the mechanical inspections. A qualified brake system. APTA contends that the alternative term ‘‘qualified maintenance person had to be trained and designated performance of a Class II brake test prior person.’’ The main objection of these as able to perform the types of brake and to departure would detect any brake commenters relates to the requirement mechanical inspections and tests that problems caused by vandalism and that that a QMI’s primary responsibility the railroad assigned to him or her. commuter railroads have been operated must be the inspection, testing, However, a qualified person did not safely in this fashion for years. maintenance, troubleshooting, or need the extensive knowledge of brake Railroad management representatives maintenance of the brake system or systems or mechanical components or also raised issues concerning the mechanical components. These be able to trouble-shoot and repair them. performance of the proposed exterior commenters also object to FRA’s The qualified person was considered to calendar day mechanical inspection. statement that the definition of QMI be the ‘‘checker.’’ He or she was to The major concern of these commenters largely rules out the possibility of train possess the knowledge and experience was that the proposal was unclear as to crew members being designated as necessary to be able to identify brake whether trainsets had to be uncoupled QMIs. These commenters contend that system problems. or placed over a pit to perform the any person who is properly trained can inspections. These commenters perform the inspections proposed by C. Overview of Comments Relating to recommended that the rule text FRA. These commenters also object to Proposed Inspection and Testing explicitly state that the inspection is to the use of the term qualified mechanical Requirements be performed to the extent possible inspector based on the concern that Those parties filing comments, without uncoupling the cars or placing such a title might lead employees presenting testimony and participating the cars over an elevated pit. APTA designated as such to seek premium pay in the Working Group meetings with representatives also recommended that due to the title bestowed. regard to the proposed inspection and some of the items proposed in the APTA representatives contend that testing requirements have provided the exterior calendar day mechanical the proposed definition of QMI violates agency with a wealth of facts and inspection be moved to the periodic the Administrative Procedure Act informed opinions, and have been mechanical inspection as they could not (APA), exceeds FRA’s statutory extremely helpful to FRA in resolving reasonably be seen without uncoupling authority, and is counter to the Railway the issues. Most commenters provided the car or placing it over an elevated pit. Labor Act. These commenters contend testimony or written comments on more These included certain requirements that the Administrative record does not than one issue and generally were related to the inspection of the couplers, support a finding by FRA that only supported by the positions of other the truck and car body assembly, and employees whose ‘‘primary commenters. Rather than attempt to the center castings on trucks. Some responsibility’’ includes work in the paraphrase each commenter’s response commenters also recommended area of troubleshooting, testing, to each of the proposed regulatory elimination of the requirement that all inspecting, maintenance, or repair to sections, FRA believes it would be secondary braking systems be working, train brake and other components are better, and more understandable, to since that could not be known until the capable of performing Class I and
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00023 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 25562 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations exterior mechanical inspections. These definition of QMI which specifically records 66 percent of the 609 cars commenters also contend that FRA’s excludes train crew members from the identified by the BRC were in trains that proposed definition is counter to FRA’s definition. terminated at Washington, DC and statutory mandate not to prescribe Labor representatives agreed with should not be considered in employee qualifications except where APTA representatives that FRA should determining brake inspection intervals. clearly necessary for safety reasons. See adopt the single car testing procedures Of the 204 cars alleged to be defective 49 U.S.C. 20110. Furthermore, it is developed through the PRESS brake and that were part of trains which run contended that the proposed definition committee. These representatives through Washington, DC, Amtrak is counter to the Railway Labor Act believed that the newly developed records show that only 7 of the cars because it impinges upon the exclusive procedures were better than the existing were shopped at Washington, DC and jurisdiction of the National Mediation AAR procedures but stressed that the that 110 additional cars were shopped Board to make final determinations over test must be conducted whenever any of within 7 days after the date of the employee classes or crafts and to the items listed in the NPRM occurred. reported defect. In almost all cases the interpret collective bargaining Labor commenters believed a single car repairs were made at a location other agreements. In essence, this argument test should be performed prior to than Washington, DC, which was contends that by limiting the employees permitting a car to be moved and that frequently the end destination for the who can perform a Class I brake test or the test should not be permitted to be train. Amtrak concludes that the defects an exterior mechanical inspection, FRA performed with a locomotive. reported by the BRC at Washington, DC is in effect making an employee class or The primary concern raised by labor constitute items from an in-bound craft designation. representatives, particularly the BRC, inspection but were not true defects that A concern raised by Metra is involves the proposed 1,500-mile required shopping a car from an en interrelated to the proposed QMI inspection interval for performing Class route train. requirement, in that Metra seeks I brake tests on long-distance intercity Amtrak provided additional flexibility or relief from the QMI passenger trains. Although the BRC information containing a summary of requirement on weekends. Metra agrees that the current 1,000-mile the set-outs which took place on the contends that train crews perform most inspection should be replaced with the railroad during the period from March of the brake tests conducted by the proposed Class I brake test, the BRC 1997 to February 1998 for safety and railroad on weekends and have been for objects to extending the distance non-safety related causes. This several years. Metra claims that there is between brake tests to 1,500 miles. The information showed that 301 cars were no data showing a decrease in safety on BRC claims that the proposed increase set-out by Amtrak during this period. Of Metra during weekend operations to is not justified by the facts. The BRC those 301 cars that were set-out, only 29 support FRA’s proposal that these brake contends that an inspection at 1,000 were set-out at intermediate (1,000 mile) inspections must be performed by a mile intervals is necessary to ensure the inspection points and only 15 of those QMI rather than a train crew member. safety of passenger train operations due 29 were for brake-related defects. Metra seeks relief from the QMI to the numerous defective conditions Therefore, Amtrak contends that 90 requirement on weekends for railroads being found during 1,000 mile percent of the cars that were set-out which have established a successful inspections. As support for this were set-out en route and were not operating history of performing the tests contention, the BRC submitted found during intermediate inspections. with qualified persons rather than information compiled by a carman During this same period Amtrak QMIs. stationed at Union Station in conducted 1,000-mile inspections on Rail labor representatives, while Washington, D.C. from January 1996 approximately 130,000 cars. generally supportive of the proposed through February of 1997 who allegedly Consequently, Amtrak contends that the inspection and testing requirements, performed 1,000-mile inspections at this annual defect rate at intermediate also raised a number of concerns related location. The BRC also cited other inspection points for this period was to the proposed requirements. Labor specific examples of defective 0.02 percent and that it was costing representatives objected to the proposed equipment being moved in passenger Amtrak approximately $175,000 per Class IA brake test and continued to trains. Based on this information and defect found to conduct 1,000-mile insist that railroads should be required extrapolating similar conditions across inspections. to conduct a full Class I brake test prior the country, the BRC contends that The BRC submitted a response to the to the first run of the day. These numerous defective conditions are information provided by Amtrak. In this commenters also advocated against uncovered at 1,000 mile brake submission the BRC contends that providing any leeway for weekend inspections and that there is no safety Amtrak’s analysis regarding the reported operations with regard to the proposed justification for extending the distance defects is faulty and self-serving. This inspections and tests, claiming that in between brake inspections. commenter contends that all the defects many instances equipment used on Amtrak responded to the information found at Union Station must be weekends is used more rigorously than provided in the BRC’s submission considered when evaluating an when used during the week and, regarding defects found during extension of the 1,000-mile inspection therefore, quality inspections are inspections at Washington, D.C. in regardless of whether Union Station is probably more important. Labor January 1996 through February 1997. a 1,000-mile inspection point and representatives also noted that FRA Amtrak contends that Washington, D.C. regardless of the distance traveled by failed to address what tests or is not a 1,000-mile inspection point and the cars involved. The BRC contends inspections are to be performed on thus, should not be used to determine that any defective conditions found are equipment added to an en route the appropriate interval for brake indicative of what will be traveling past passenger train. Furthermore, these inspections. Amtrak also contends that 1,000-mile inspection locations should commenters supported the concept of the data presented was not sufficiently the distance between brake inspections requiring that QMIs perform all Class I detailed to determine if the listed be extended to 1,500 miles. The BRC brake tests and exterior mechanical defects violated the railroad’s standards further contends that Amtrak’s analysis inspections but recommended that FRA for equipment operating en route. regarding the number of cars set-out at develop a clear and unequivocal Amtrak contends that based upon their intermediate inspections is flawed for
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00024 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25563 several reasons. The BRC claims that proposal to address circumstances when exterior calendar day and periodic intermediate inspection points cited by cars are added to an en route train. If a mechanical inspection provisions. FRA Amtrak are not 1,000-mile inspection car has received such inspection, the believes that proper and accurate locations and that the same type of railroad will be required to perform a recordkeeping is a cornerstone of any inspection is not performed. (FRA’s Class II brake test at the time the car is inspection process and is essential to review of Amtrak’s submission indicates added to the train. FRA believes that ensuring the performance and quality of that when Amtrak referred to these provisions will ensure the the required inspections. Without such intermediate inspection points it was integrity of the brakes and mechanical records the inspection requirements referring to 1,000 mile inspection components on every car added to an would be difficult to enforce. Although locations.) Further, it is contended that existing train and should not be a recordkeeping was discussed in the looking solely at the number of cars set- burden for railroads since cars are Working Group and FRA believes them out at these locations is improper generally added to passenger trains at to be an integral part of any inspection because it does not take into account the major terminals with the facilities and requirement, FRA inadvertently omitted defects that are repaired while a car personnel available for conducting such any such requirements in the NPRM remained entrained. The BRC reasserted inspections. Furthermore, these specifically related to mechanical its position that the data does not inspection requirements are very similar inspections. This omission was brought support an extension of the 1,000-mile to what is currently required when a to FRA’s attention through verbal and inspection interval and, if anything, the freight car is added to a train while en written comments provided by various data supports reducing the inspection route. See 49 CFR §§ 215.13 and 232.13. interested parties. requirement to 500 miles. FRA is also modifying the FRA is also making minor changes requirements for when a Class IA brake and clarifications to the proposed D. General FRA Conclusions test must be performed. FRA continues exterior calendar day mechanical After consideration of all the to believe that some type of car-by-car inspection. In the final rule, FRA is comments submitted, both in writing inspection must be performed prior to a explicitly stating that the exterior and through oral testimony and passenger train’s first run of the day if mechanical inspection is to be discussion within the Working Group, the train was used in passenger service performed to the extent possible FRA intends for the requirements the previous day without any brake without uncoupling the trainset and regarding the inspection and testing of inspection being performed after it without placing the equipment over a passenger equipment contained in the completed service and before it laid-up pit or on an elevated track. This explicit final rule to closely track the proposed for the evening. However, FRA agrees statement is being added in response to requirements contained in the 1997 with the comments submitted by APTA APTA’s concerns regarding what would NPRM. In this final rule, FRA will make representatives that the need for such an constitute proper performance of these slight modifications to the proposed inspection is minimized if a Class I inspections. FRA intended the requirements in an attempt to clarify the brake test is performed within a inspection to be very similar to the requirements, to cover areas that were relatively short period of time prior to freight car safety inspection currently not adequately addressed, and to the first run of the day and the train has required pursuant to Part 215. FRA also address the specific comments not been used in passenger service since recognizes that certain items contained submitted. FRA generally believes that the performance of that inspection. in the proposed exterior mechanical the approach taken in the NPRM to the From a safety standpoint, it appears to inspection could not have been easily inspection and testing of passenger be unnecessary to require the inspected without proper shop facilities. equipment incorporates the current best performance of a second comprehensive Therefore, FRA is moving some of the practices of the industry, effectively brake test when the equipment has not exterior mechanical inspection balances the positions of the various been used and has remained on a source requirements related to couplers and parties involved, and increases the of compressed air since the last trucks to the periodic mechanical overall safety of passenger train comprehensive brake test was inspection requirements as these operations. performed. In such circumstances, FRA periodic inspections will likely be 1. Brake and Mechanical Inspections believes that the performance of a Class performed at locations with facilities II brake test would be sufficient to available that are more conducive to FRA intends to modify the Class I determine if there are any problems inspecting the specific components. The brake test and the exterior calendar day with the braking system due to changes made in the final rule were mechanical inspection requirements to vandalism or other causes since the last discussed with the Working Group at ensure the proper operation of all cars comprehensive Class I brake test. the December 15–16, 1997 meeting. added to a train while en route. FRA is Furthermore, as APTA’s comments FRA is also adding various provisions adding certain provisions to require the point out, commuter railroads have been related to the performance of periodic performance of a Class I brake test and safely operated in a fashion similar to mechanical inspections. As noted an exterior mechanical inspection on this for a number of years. above, FRA is moving certain items each car added to a passenger train at Consequently, the final rule will require from the exterior calendar day the time it is added to the train unless the performance of a Class II brake test mechanical inspection to the periodic documentation is provided to the train prior to the first run of the day if a Class mechanical inspections as they cannot crew that a Class I brake test and an I brake test was performed within the be easily inspected without proper shop exterior mechanical inspection was previous twelve hours and the train has facilities. In the NPRM, FRA proposed performed on the car within the not been used in passenger service and that a periodic mechanical inspection be previous calendar day and the car has has not been disconnected from a source performed every 180 days. After a not been disconnected from a source of of compressed air for more than four review of the industry’s practices compressed air for more than four hours since the performance of the Class regarding the performance of periodic hours. FRA is adding this requirement I brake test. mechanical-type inspections, FRA in order to address the concerns raised FRA will also include certain minimal believes that the items removed from by various labor representatives that no recordkeeping requirements related to the calendar day mechanical inspection provisions were provided in the the performance of the interior and as well as some of the items previously
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00025 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 25564 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations proposed in the 180 day periodic establish a default interval, FRA intends unpowered vehicles used in passenger mechanical inspection should be and to make clear that FRA will allow trains. are currently inspected on a more railroads to develop alternative intervals FRA is also modifying some of the frequent basis by the railroads. As it is for performing such inspections for circumstances under which a single car FRA’s intent in this proceeding to specific components or equipment test is required to be performed. FRA attempt to codify the current best based on a more quantitative reliability agrees with several of the commenters practices of the industry, FRA believes assessment completed as part of their that the 1997 NPRM may have been that the current intervals for inspecting system safety programs. FRA expects over-inclusive in listing the components certain components should be that railroads will utilize reliability- whose repair, replacement, or removal maintained. Therefore, FRA will require based maintenance programs as would trigger the performance of a the periodic inspection of certain appropriate, given this opportunity to single car test. Thus, in accordance with mechanical components, floors, do so. As successful reliability based the discussions conducted with the passageways, and switches on a 92-day maintenance programs are dynamic, it is Working Group in mid-December of basis. Furthermore, FRA will also expected that, in the process of defining 1997, FRA is amending the list of brake require a 92-day inspection of and documenting the reliable use of components to include only those emergency lighting systems as they are equipment or specific components, over circumstances where a relay valve, critical to the safety of passengers in the time, continued assessments may service portion, emergency portion, or event of an accident or derailment. FRA indicate a need to increase or decrease pipe bracket is removed, repaired, or is adding an inspection of the roller inspection intervals. FRA will only replaced. Whenever any other bearings to the 92-day inspection. permit lengthened inspection intervals component previously contained in the Although this component was beyond the default intervals when such 1997 NPRM is removed, repaired, or inadvertently left out of the 1997 NPRM, changes are justified by a quantitative replaced FRA will require that only that they were covered in the 1994 NPRM; reliability assessment. The previously portion that is renewed or replaced be and FRA believes that roller bearings are described inspection intervals are based tested. FRA believes that the items an integral part of the mechanical on sound but limited information removed from the previously proposed components and must be part of any provided to FRA that FRA believes list can generally be removed, replaced, mechanical inspection scheme. represents a combination of operating or repaired without affecting other Furthermore, several labor commenters experience, analytical analyses, portions of the brake system and, thus, recommended inspections criteria knowledge and intuition. FRA does the need to perform a single car test is similar to that contained in 49 CFR part expect that railroads will collect and reduced. FRA also will not mandate the 215, which specifically addresses the respond to additional data throughout performance of a single car test for condition of roller bearings. See 49 CFR the operating life of the equipment. (A wheel defects, other than a built-up § 215.115. As roller bearings are best detailed discussion of reliability-based tread, if the railroad can establish that viewed in a shop facility context, FRA maintenance programs is contained in the wheel defect is due to a cause other is adding the inspection of this the section-by-section discussion of than a defective brake system. Thus, the component to the 92-day periodic § 238.307.) burden will fall on the railroad to mechanical inspection, which is establish and maintain sufficient consistent with the current practices of FRA is also modifying the proposed documentation that a wheel defect is the industry. requirements related to the performance due to something other than a brake- FRA will also retain a semi-annual of single car tests. Based on the related cause. FRA intends to make it periodic inspection for certain recommendations of representatives clear that if the railroad cannot establish components as proposed in the 1997 from both rail labor and rail the specific non-brake related cause for NPRM. FRA proposed a 180-day management, FRA will reference the a wheel defect, it is required to perform periodic inspection, but in order to single car testing procedures which a single car test. remain consistent with the 92-day were developed by APTA PRESS rather 2. Qualified Maintenance Person inspection scheme, FRA will require a than the AAR single car testing 184-day periodic inspection of certain procedures referenced in the 1997 An issue related to the inspection and components, including: seats; luggage NPRM. The single car test procedures testing requirements on which FRA has racks; beds; and emergency windows. were issued by APTA on July 1, 1998 received extensive comment, FRA removed the inspection of the and are contained in APTA Mechanical particularly from APTA representatives, couplers from the calendar day Safety Standard SS–M–005–98. The is the proposed definition of ‘‘qualified inspection and added them to the 184- single car test procedures issued by mechanical inspector (QMI).’’ FRA day inspection requirement. FRA is APTA are more comprehensive and recognizes the concern raised by some placing the coupler inspection at this better address passenger equipment commenters that the term QMI might interval rather than the 92-day interval than the older AAR recommended result in employees designated as such in order to reduce the amount of practices. In the 1997 NPRM, FRA to seek some sort of premium pay status. coupling and uncoupling that will be proposed to require the performance of Although FRA is not overly swayed by required. FRA is also extending the single car tests on all passenger cars and this concern, FRA is changing the term inspection interval related to manual other unpowered vehicles used in in the manner suggested by these door releases. Due to the general passenger trains. However, the commenters to ‘‘qualified maintenance reliability of these devices and because definition of passenger cars includes person (QMP).’’ FRA believes that the they are partially inspected on a daily self-propelled vehicles such as MU term used to describe the individual basis, FRA believes that an annual locomotives, to which FRA did not responsible for conducting certain brake inspection of the releases will ensure intend to apply the proposed single car and mechanical inspections has little their proper operation. Thus, FRA will test requirements. Thus, FRA is bearing on the qualifications or require an inspection of the manual modifying the language of the single car knowledge of the individual and, thus, door releases every 368 days. test requirements to clarify that the is not adverse to accommodating a Although FRA has established certain testing requirements apply to nonself- change in the term. However, but for periodic inspection intervals in order to propelled passenger cars and clarifying language, FRA is not changing
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00026 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25565 the underlying definition of what is FRA’s independent knowledge of the of thumb FRA will consider a person’s required to be designated as a QMP. passenger rail industry do support a ‘‘primary responsibility’’ to be the task The major concern raised by APTA requirement that only a QMI (or QMP) that the person performs at least 50 representatives centered on the conduct Class I brake tests and exterior percent of the time. Therefore, a person requirement contained in the definition mechanical inspections. Except for who spends at least 50 percent of the of a QMI that the person’s ‘‘primary limited weekend service operated by time engaged in the duties of inspecting, responsibility’’ include work in the area Metra, virtually every passenger train testing, maintenance, troubleshooting, of troubleshooting, testing, inspecting, operation affected by this rule currently or repair of train brakes systems and maintenance, or repair to train brake conducts daily brake and mechanical other mechanical components could be systems and other components. These inspections utilizing employees who, designated as a QMP, if the person is commenters believed that anyone who except for training on the requirements properly trained to perform the tasks is properly trained can perform the of this rule, would meet the definition assigned and possesses a current required inspections regardless of the of a QMI (or QMP). That is, the understanding of what is required to amount of time actually spent engaged employees who are currently properly repair and maintain the safety- in the activity. responsible for conducting the major critical brake or mechanical components The entire concept of QMI (or QMP) daily brake and mechanical inspections for which they are assigned is premised on the idea that flexibility on virtually all passenger trains meet responsibility. However, FRA will in the inspection of passenger the ‘‘primary responsibility’’ consider the totality of the equipment, flexibility in the movement requirement contained in the definition circumstances surrounding an of defective equipment and slight of QMI (or QMP). Therefore, the employee’s duties in determining a reductions in periodic maintenance industry’s current practice person’s ‘‘primary responsibility.’’ For could be provided if the mechanical acknowledges and supports the need to example, a person may not spend 50 components and brake system were conduct daily inspections with percent of his or her day engaged in any inspected on a daily basis by highly employees whose primary responsibility one readily identifiable type of activity; qualified individuals. Thus, the is the troubleshooting, inspection, in those situations FRA will have to requirement that a highly qualified testing, maintenance, or repair of train look at the circumstances involved on a person perform certain brake and brake systems or other mechanical case-by-case basis. mechanical inspections is part of a components. Furthermore, due to the The definition of QMP largely rules package which includes flexibility in flexibility provided in this rule for out the possibility of train crew the performance of brake and conducting brake and mechanical members being designated as these mechanical inspections, permits wider inspections and moving defective highly qualified inspectors since the latitude in the movement of defective equipment as well as the extension of primary responsibility, as defined equipment, and provides reductions in certain periodic maintenance, FRA above, of virtually all current train crew the periodic maintenance that is believes that the current best practices personnel is the operation of trains and required to be performed on certain of the railroads with regard to brake and for the most part train crew personnel equipment. Therefore, FRA expects the mechanical inspections must be highly qualified person to be an maintained, especially as they relate to do not possess a current understanding individual who can not only identify a the quality of the personnel performing of what is required to properly repair particular defective condition but who the inspections and the continuity of and maintain the safety-critical brake or will have the knowledge and experience observation provided by a dedicated mechanical components that are to know how the defective condition work force (which is important to inspected during Class I brake tests or affects other mechanical components or detection of developing hazards in the exterior calendar day mechanical other parts of the brake system and will fleet). inspections. However, contrary to the have an understanding of what might FRA further believes that APTA’s contentions raised by APTA, there is have caused a particular defective contention that the definition of QMI (or nothing in the rule which prevents a condition. FRA believes that in order for QMP) violates the Railway Labor Act is railroad from utilizing employees who a person to become highly proficient in due to a misunderstanding of the are not designated as QMPs from the performance of a particular task that definition. FRA is not attempting to conducting brake and mechanical person must perform the task on a make any determinations over employee inspections provided those inspections repeated and consistent basis. As it is classes or crafts or to interpret collective are not intended to constitute the almost impossible to develop and bargaining agreements. In the 1997 required Class I brake test or the exterior impose specific experience NPRM, FRA stated that the definition calendar day mechanical inspection. requirements, FRA believes that a would allow the members of trades Furthermore, the rule provides that requirement that the person’s primary associated with testing and maintenance certain required brake and mechanical responsibility be in one or more of the of equipment such as carmen, inspections (Class IA brake tests, Class specifically identified work areas and machinists, and electricians to become II brake tests, running brake tests, and that the person have a basic QMIs (or QMPs). However, FRA further interior calendar day mechanical understanding of what is required to stated that membership in a labor inspections) may be performed by a properly repair and maintain safety- organization or completion of an properly ‘‘qualified person’’ and do critical brake or mechanical components apprenticeship program associated with mandate the use of a QMP. FRA believes is necessary to ensure the high quality a particular craft is not required. FRA that these are the types of inspections inspections envisioned by the rule. made clear that the two overriding which train crew members are currently FRA disagrees with the contentions qualifications are possession of the assigned to perform and have been raised by APTA representatives that the knowledge required to do the job and a performing effectively for years. definition of QMI (or QMP) violates the primary work assignment inspecting, Consequently, FRA believes that the APA and exceeds FRA’s statutory testing, or maintaining the equipment. inspection requirements and the authority. Contrary to the assertions FRA also intends to clarify the qualification requirements contained in made by APTA representatives, the meaning of ‘‘primary responsibility’’ as this rule are merely a codification of the administrative record together with used in the definition of QMP. As a rule current best practices of the passenger
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00027 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 25566 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations train industry and are necessary to potential abuses by other railroads that every 1,500 miles or every calendar day ensure the continued safety of those are not similarly situated. thereafter, whichever comes first, by operations while providing the industry highly qualified inspectors. Thus, at 3. Long-Distance Intercity Passenger some flexibility in the performance of least every 1,500 miles or every calendar Trains certain inspections and in the day a long-distance passenger train will movement of defective equipment as FRA is also retaining the requirements be required to receive a brake inspection well as providing slight increases in proposed in the 1997 NPRM related to which is more comprehensive than the periodic maintenance cycles for some the performance of Class I brake tests on current initial terminal inspection and equipment. long-distance intercity passenger trains. which requires that the train have 100 FRA does not intend to provide any FRA will require that a Class I brake test percent operative brakes and have special provisions for weekend be performed on long-distance intercity piston travel set within established operations with regard to the passenger trains prior to the trains’ limits. Furthermore, this rule will conducting of Class I brake tests and departure from an originating terminal require the performance of an exterior calendar day mechanical inspection by and once every 1,500 miles or every and interior mechanical inspection QMPs as suggested in the comments by calendar day, whichever occurs first. every calendar day that the train is in some APTA representatives. The After reviewing the information and service. Consequently, the inspection rationale for requiring daily brake and comments submitted by labor scheme proposed in the 1997 NPRM mechanical attention by highly qualified representatives, the information and and retained in this final rule will, in inspectors, a proposition generally comments provided by Amtrak, and FRA’s view, increase the safety and accepted by Working Group members, based upon the independent better ensure the integrity of the brake appears to apply equally to weekend information developed by FRA, FRA and mechanical components of long- periods. In fact based on FRA’s believes that the enhanced inspection distance passenger trains. experience, equipment used on scheme contained in this final rule will FRA also believes that some weekends is generally used more ensure the continued safety of long- recognition must be given to the various rigorously than equipment used during distance intercity passenger trains. types of advanced braking system weekday operations. At present only Contrary to the statements made in technologies used on many long- one commuter operation (Metra) has the comments submitted by some labor distance intercity passenger trains. raised significant concerns regarding representatives, FRA is not merely Many of these advanced technologies weekend operations. Although there is increasing the distance between brake are not found with any regularity in no specific data suggesting that existing inspections. Rather, FRA is increasing freight operations. Dynamic brakes are weekend operations on Metra, which both the quality and the content of the typically employed on these types of involves having many of the brake inspections that must be performed on trains to limit thermal stresses on inspections conducted by train crew long-distance intercity passenger trains friction surfaces and to limit the wear members, have created a safety hazard, and, thus, increasing the safety of such and tear on the brake equipment. FRA has found it virtually impossible to trains. Under the current regulations Furthermore, the brake valves and brake draft and justify provisions providing these passenger trains are required to components used on today’s long- limited flexibility for Metra that do not receive an initial terminal brake distance passenger trains are far more create potential loopholes that could be inspection at the point where they are reliable than was the case several abused by other passenger train originally assembled; from that point decades ago. Other technological operations that have not had the the train must receive an intermediate advances utilized with regularity by apparent safety success of Metra. brake inspection every 1,000 miles. The these passenger trains include: Moreover, based on FRA’s independent current 1,000-mile inspection merely • The use of brake cylinder pressure investigation of Metra’s operation, it is requires the performance of a leakage indicators which provide a reliable believed that the impact of this final test, an application of the brakes and the indication of the application and release rule on Metra’s weekend operations will inspection of the brake rigging on each of the brakes. be significantly less than that indicated car to ensure it is properly secured. See • The use of disc brakes which in APTA’s written comments and 49 CFR 232.12(b). The current 1,000- provide shorter stopping distances and originally perceived by Metra. FRA mile brake inspection does not require decrease the risk of thermal damage to believes that most of the personnel 100 percent operative brakes prior to wheels. needed by Metra to conduct its weekend departure and does not require piston • The ability to cut out brakes on a operations in accordance with this final travel to be inspected. The current per-axle or per-truck basis rather than a rule are available to Metra or its regulations also do not require the per car basis, thus permitting greater use contractors and that minor adjustments performance of any type of mechanical of those brakes that are operable. could be made to its weekend inspection on passenger equipment at • Brake ratios that are 21⁄2 times operations that might avoid significant 1,000-mile inspection points or at any greater than the brake ratios of loaded new expense. other time in the train’s journey. Thus, freight cars. As the concerns regarding weekend under the current regulations a long- The reliability and performance of operations appear to involve just one distance intercity passenger train can brake systems on these passenger trains commuter operation and because the travel from New York to Los Angeles on enhance the safety of these trains and, precise impact on that operation is not one initial terminal inspection, a series when combined with other aspects of known or available at this time, FRA of 1,000-mile inspections, and no this discussion, support FRA’s believes that the waiver process would mechanical inspections. determination that these brake systems be the best method for evaluating any Whereas, this rule will require the can be safely operated with the lingering concerns that may be raised by performance of a Class I brake test, inspection intervals that were proposed that operator. This would afford FRA an which is more comprehensive than the in the 1997 NPRM. Although some of opportunity to provide any appropriate current initial terminal inspection, at the technologies noted above have relief based on the specific needs and the point where the train is originally existed for several decades, most of the the safety history of the individual assembled and will require the technologies were not in wide spread railroad without opening the door to performance of another Class I brake test use until after 1980. Furthermore, most
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00028 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25567 of the noted technological advances just by the exterior calendar day mechanical in BRC’s submission were in fact started to be integrated into one efficient inspection contained in this final rule defective as alleged, it appears that and reliable braking system within the which will be required to be performed approximately 750 cars were defective. last decade. Consequently, the every calendar day that a piece of However, the information also reveals technology incorporated into the brake equipment is in service. that approximately 1,300 trains were equipment used in today’s long-distance FRA agrees with the comments inspected, thus, using a conservative intercity passenger trains has increased submitted by the BRC that the data and estimate of 10 cars per train, the reliability of the braking system and information submitted by Amtrak approximately 13,000 cars were permits the safe operation of the regarding the allegedly defective inspected. Therefore, approximately equipment for extended distances even equipment found at Washington, D.C., only 6 percent of the cars inspected though a portion of the braking system does not fully address whether the cars were found to contain either a may be inoperative or defective. identified by carmen at that location mechanical or brake defect. FRA also disagrees with the were defective and does indicate that at Furthermore, of the approximate 750 contentions raised by certain labor least many of the cars were repaired for cars alleged to have been found representatives that the facts and data the defective condition noted within defective, only approximately 20 do not support the 500 mile extension several days after moving through percent of those cars contained a power in the brake inspection interval even Washington, D.C. However, contrary to brake-related defect. Consequently, only with the more comprehensive the conclusions reached by labor about 1–2 percent of the total cars inspection scheme. These commenters representatives, the fact that a car inspected contained a power brake- recommend that the current 1,000-mile remained in service with an alleged related defect. Moreover, from the brake inspection interval be retained defective mechanical or brake condition information provided it appears that together with the increased inspection does not necessarily mean the train none of the trains contained in the BRC regiment. These commenters contend involved was in an unsafe condition or submission were involved in any type of that due to the large number of defects that the equipment was being moved accident or incident related to the being found at 1,000-mile inspections illegally. The current regulations defective conditions alleged. that the need to retain the inspection is regarding freight mechanical equipment FRA believes that the key to any justified. As an example and support for and the existing statutory mandates inspection scheme developed for long- this position, the BRC submitted regarding the movement of equipment distance intercity passenger trains is the information containing numerous with defective safety appliances and defective conditions compiled by brakes permit the movement of a certain quality of the inspection which is carmen stationed at Union Station in amount of defective equipment to performed at a train’s point of origin. Washington D.C. from January 1996 certain locations provided it is FRA is convinced that if a train is through February of 1997 that the determined by a qualified person that properly inspected with highly qualified carmen allegedly found on trains such a movement can be made safely or inspectors and has 100 percent traveling through Union Station. After that a sufficient percentage of the brakes operative brakes at its point of origin, reviewing the documentation submitted, remain operative. See 49 U.S.C. 20303, then the train can easily travel up to FRA does not believe the information 49 CFR 215.9. As this final rule will 1,500 miles between brake inspections supports the conclusion that 1,000-mile specifically address the inspection of without significant deterioration of the brake inspections must be maintained the mechanical components on braking system. FRA independently and that it would be unsafe to extend passenger equipment and the movement monitored a few long-distance intercity the distance between brake inspections of defective mechanical components, passenger trains running from New York under the inspection scheme contained which is not covered by existing to Miami, New York to New Orleans, in this final rule. regulations, FRA believes that the and New York to Chicago and found Due to the lack of detail contained in amount of defective equipment being that when the trains departed from their the information submitted by the BRC, operated will be reduced significantly point of origin with a brake system that it is impossible to determine whether and will be handled safely in revenue was defect free they arrived at the vast majority of the alleged defective trains. Although FRA agrees that the destination without any defective conditions were defective under the information submitted by Amtrak conditions existing on the trains’ brake Federal regulations or whether the regarding the number of cars set out at system. These findings are consistent conditions were merely in excess of 1,000-mile inspection points does not with FRA’s experience in inspecting Amtrak’s voluntary maintenance reflect the true number of defects being long-distance intercity passenger trains standards or operating practices. In found during the inspections, FRA does over the last several years. It should be addition, based on the description of find it significant that a very small noted that during this independent some of the conditions, they would not percentage of cars set-out by Amtrak are monitoring, FRA did find some trains be considered defective conditions set-out at 1,000-mile inspection that after receiving initial terminal under current Federal regulations. locations and that most set-outs occur inspections still contained some Furthermore, the vast majority of the en route. (In its April 17, 1998 letter, defective conditions on the brake conditions alleged in the document Amtrak used the term intermediate system. Although FRA believes that were not power brake defects, and thus, inspections which upon FRA’s review none of the defective conditions found under the current regulations, would of the information provided was would have prevented the safe not have been required to have been intended to describe 1,000-mile operation of the trains, FRA recognizes inspected at a 1,000-mile inspection, inspection locations.) that FRA as well as the railroads must nor do the current regulations mandate FRA also feels it is necessary to make be vigilant in ensuring that quality brake any type of mechanical inspection on clear that the number of cars alleged to system inspections are performed on a passenger equipment. Moreover, as the have been found in defective condition train at its point of origin and at each vast majority of the alleged conditions at Union Station in Washington D.C. is location where a Class I brake test is were mechanical and wheel defects, not indicative of a safety problem on required to be performed. Consequently, FRA believes that these types of long-distance intercity passenger trains. due to the comprehensive nature of defective conditions will be addressed Assuming that all of the cars contained Class I brake tests and the exterior
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00029 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 25568 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations calendar day mechanical inspection essence a requirement that 100 percent disruption of this service, when combined with the technological of the cars in a train have operative applying the requirements regarding the advances incorporated into the braking power brakes, unless being hauled for movement of equipment with defective systems utilized in these types of trains repairs pursuant to 49 U.S.C. 20303. brakes on a day-to-day basis. In and after a review of the data and Consequently, FRA currently requires addition, the representatives of information provided and based on that equipment with defective or commuter and intercity passenger train FRA’s experience with these types of inoperative air brakes make-up no more operations participating in the operations, FRA intends to retain the than 15 percent of the train and that, if proceeding requested that the proposed 1,500 mileage interval for the it is necessary to move the equipment regulations be brought up to date, performance of Class I brake tests in this from where the railroad first discovered recognizing that brakes will have to be final rule. it to be defective, the defective cut out en route from time to time (e.g., equipment be moved no farther than the because of damage from debris on the VII. Movement of Defective Equipment nearest place on the railroad’s line track structure or because of sticking A. Background where the necessary repairs can be brakes), and that contemporary braking The current regulations do not made or, at the option of the receiving systems and established stopping carrier, to a repair point that is no contain requirements pertaining to the distances provide a very considerable farther than the repair point on the movement of equipment with defective margin of safety. Representatives from delivering line. power brakes. The movement of APTA proposed a method of updating The requirements regarding the the existing requirements regarding the equipment with these types of defects is movement of equipment with defective currently controlled by a specific movement of commuter passenger or insecure brakes noted above can and equipment with defective brakes to statutory provision originally enacted in do create safety hazards as well as 1910, which states: bring them more in line with the operational difficulties in the area of realities of today’s operations. FRA (a) GENERAL.— A vehicle that is equipped commuter and intercity passenger believed that the restrictions proposed in compliance with this chapter whose railroad operations. As the provisions equipment becomes defective or insecure by APTA were very conservative and regarding the movement of defective effectively ensure a high level of safety nevertheless may be moved when necessary brake equipment were written almost a to make repairs, without a penalty being in light of the reliability of braking imposed under section 21302 of this title, century ago, they do not address the systems currently used in commuter from the place at which the defect or realities of these types of operations in and intercity passenger train operations. insecurity was first discovered to the nearest today’s world. Strict application of the FRA believed that affirmatively available place at which the repairs can requirements has the potential of recognizing appropriate movement be made— causing major disruptions of service and restrictions would actually enhance (1) on the railroad line on which the defect serious safety and security problems. safety, since compliance with the or insecurity was discovered; or For example, requiring repairs to be (2) at the option of a connecting railroad existing restrictions is potentially made at the nearest location where the unsafe. carrier, on the railroad line of the connecting necessary repairs can be made could carrier, if not further than the place of repair result in passengers being discharged FRA recognized that some of the described in clause (1) of this subsection. between stations where adequate restrictions proposed in the NPRM were 49 U.S.C. 20303(a) (emphasis added). facilities for their safety are not not in accord with the requirements Although there is no limit contained available or in the overcrowding of contained in 49 U.S.C. 20303(a). in 49 U.S.C. 20303 as to the number of station platforms and trailing trains due Therefore, FRA proposed the utilization cars with defective equipment that may to discharging passengers from a of the authority granted in 49 U.S.C. be hauled in a train, FRA has a defective train at a location other than 20306 to exempt passenger train longstanding interpretation which the passenger’s destination. In addition, operations covered by this part from the requires that, at a minimum, 85 percent strict application of the statutory statutory requirements contained in 49 of the cars in a train have operative requirements could result in the moving U.S.C. 20303(a) permitting the brakes. FRA bases this interpretation on of trains with defective brake equipment movement of equipment with defective another statutory requirement which against the current of traffic during busy or insecure brakes only if various permits a railroad to use a train only if commuting hours. Irregular movements requirements are met, including the Aat least 50 percent of the vehicles in of this type increase the risk of requirement that the movement for the train are equipped with power or collisions on the railroad. Furthermore, repair be only to the nearest location train brakes and the engineer is using many of today’s commuter train where the necessary repairs can be the power or train brakes on those operations often utilize six cars or less made. FRA believed that the granting of vehicles and on all other vehicles in trains and in many instances operate this exemption was justified based on equipped with them that are associated just two-car trains. Consequently, the the technological advances made in the with those vehicles in a train.’’ 49 necessity to cut out the brakes on one brake systems and equipment used in U.S.C. 20302(a)(5)(B). As originally car can easily result in noncompliance passenger operations, and was necessary enacted in 1903, section 20302 also with the 85-percent requirement for for these operations to make efficient granted the Interstate Commerce hauling the car for repairs, thus use of the technological advances and Commission (ICC) the authority to prohibiting the train’s movement and protect the safety of the riding public. increase this percentage, and in 1910 resulting in the same type of safety See 62 FR 49740–42, 49756–58. the ICC issued an order increasing the problems noted above. Although FRA recognized that it could minimum percentage to 85 percent. See be argued that the purpose of section 49 CFR 232.1, which codified the ICC B. Overview of 1997 NPRM 20306 is too narrow to comprehend the order. In the NPRM, FRA attempted to instant application, FRA believed that As virtually all freight cars are recognize the nature of commuter and the use of the provision as contemplated presently equipped with power brakes intercity passenger operations and the in this proposal was consistent with the and are operated on an associated importance of addressing the safety of authority granted the Secretary of trainline, the statutory requirement is in passengers, as well as avoiding Transportation. As noted previously, the
VerDate 06-MAY-99 17:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00030 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm03 PsN: 12MYR2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25569 statutory requirements regarding the decades, most of the technologies were movements past locations where the movement of equipment with defective not in wide spread use until after 1980. necessary repairs could be made. brake equipment were written nearly a Furthermore, most of the noted However, to ensure the safety of these century ago and, in FRA’s opinion, were technological advances just started to be trains with lower percentages of focused generally on the operation of integrated into one efficient and reliable operative brakes, FRA also proposed freight equipment and did not braking system within the last decade. various speed restrictions and other contemplate the types of commuter and In addition to the technological operating restrictions, based on the intercity passenger train operations advances, commuter and intercity percentage of operative brakes. FRA currently prevalent throughout the passenger train operations have believed that the proposed speed nation. Since the original enactment in experienced considerable growth in the restrictions were very conservative and 1910 of the provisions now codified at last 15 years necessitating the need to ensured a high level of safety. In fact, 49 U.S.C. 20303(a), there have been provide more reliable and efficient test data established that with the substantial changes both in the nature of service to the riding public. Since 1980, proposed speed restrictions the stopping the operations of passenger trains as the number of commuter operations distances of those trains with lower well as in the technology used in those providing rail service has almost percentages of operative brakes were operations. doubled and the number of daily shorter than if the trains were operating In the NPRM, FRA noted that passengers serviced by passenger at normal speed and had 100 percent contemporary passenger equipment operations has more than doubled over operative brakes. Consequently, FRA incorporates various types of advanced the same time period. Furthermore, believed that the proposed approach to braking systems; in some cases these commuter and intercity passenger train the movement of equipment with include electrical activation of brakes on operations conduct more frequent single defective brakes not only enhanced the each car (with pneumatic application car tests, COT&S, and maintenance of overall safety of train operations but through the train line available as a the braking systems than is generally the benefitted both the railroads, by backup). Dynamic brakes are also practice in the freight industry. providing operational flexibility, and typically employed to limit thermal Consequently, FRA concluded that the the traveling public, by permitting them stresses on friction surfaces and to limit technology incorporated into the brake to get to their destinations in a more the wear and tear on the brake equipment used in today’s commuter expedient and safe fashion. equipment. Furthermore, the brake and intercity passenger train operations FRA also proposed various valves and brake components used has increased the reliability of the requirements to ensure that equipment today are far more reliable than was the braking system and permits the safe being hauled for repairs is adequately case several decades ago. In addition to operation of the equipment for extended identified. Currently, there is no these technological advances, the brake distances even though a portion of the requirement that equipment with equipment used in commuter and braking system may be inoperative or defective power brakes be tagged or intercity passenger train operations defective. otherwise identified, although most incorporate advanced technologies not FRA also proposed an exemption for railroads voluntarily engage in such found with any regularity in freight passenger train operations from a long- activity. Furthermore, the current operations. These include: standing agency interpretation, based on regulations regarding freight cars and • The use of brake cylinder pressure a 1910 ICC order codified at 49 CFR locomotives contain tagging indicators which provide a reliable 232.1, that prohibits the movement of a requirements for the movement of indication of the application and release train for repairs under 49 U.S.C. 20303 equipment not in compliance with those of the brakes. if less than 85 percent of the train’s parts. See 49 CFR 215.9 and 229.9. • The use of disc brakes which brakes are operative. FRA found that Therefore, FRA proposed specific provide shorter stopping distances and many passenger operations utilize a requirements related to the decrease the risk of thermal damage to small number of cars in their trains and identification of equipment with wheels. the necessity to cut out the brakes on defective power brakes through either • The ability to effectuate a graduated just one car can easily result in the traditional tags which are placed in release of the brakes due to a design noncompliance. FRA believed that the established locations on the equipment feature of the brake equipment which proposed speed restrictions would or by an automated tracking system permits more flexibility and more compensate for the loss of brakes on a developed by the railroad. See 62 FR forgiving train control. minority of cars. See 62 FR 49740–42, 49796–98. FRA also proposed that • The ability to cut out brakes on a 49756–58. certain information be contained per-axle or per-truck basis rather than a Based on the preceding discussions, whichever method was used by a per car basis, thus permitting greater use FRA proposed various restrictions on railroad. FRA believed that the of those brakes that are operable. the movement of vehicles with defective proposed tagging or tracking • The use of a pressure-maintaining brake equipment which allow commuter requirements add reliability, feature on each car which continuously and intercity passenger train operations accountability, and enforceability to maintains the air pressure in the brake to take advantage of the efficiencies ensure the timely and proper repair of system, thereby compensating for any created due to the advanced braking equipment with defective power brakes. leakage in the trainline and preventing systems these operations employ as well FRA also proposed a new method for a total loss of air in the brake system. as the improvements made in brake calculating the percentage of operative • The use of a separate trainline from equipment over the years, while power brakes (operative primary brakes) the locomotive main reservoir to ensuring if not enhancing the safety of in a train. Although the statute continuously charge supply reservoirs the traveling public. See 62 FR 49756– discusses the percentage of operative independent of the brake pipe train line. 58, 49796–98. FRA proposed to permit brakes in terms of a percentage of • Brake ratios that are 21⁄2 times trains to be operated with up to 50 vehicles, the statute was written nearly greater than the brake ratios of loaded percent inoperative brakes to the next a century ago and at that time the only freight cars. forward passenger station or terminal way to cut out the brakes on a car or Although some of the technologies based on the percentage of operative locomotive was to cut out the entire noted above have existed for several brakes, which may have resulted in unit. See 49 U.S.C. 20302(a)(5)(B).
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Today, virtually every piece of passenger equipment with defective or permitting the movement of equipment equipment used in passenger service insecure safety appliances. with defective or insecure brakes only if can have the brakes cut out on a per- Consequently, in the NPRM, FRA various requirements are met, including truck or per-axle basis. Consequently, required that passenger equipment that the requirement that the movement for FRA merely proposed a method of develops a defective or insecure safety repair be only to the nearest location calculating the percentage of operative appliance continue to be subject to all where the necessary repairs can be brakes based on the design of passenger the statutory restrictions on its made. These commenters contend that equipment used today, and thus, a movement. It should be noted that the the statutory provisions contained in 49 means to more accurately reflect the proposed requirements applicable to U.S.C. 20306 were not intended to true braking ability of the train as a Tier I equipment merely referenced the permit FRA to waive the movement for whole. FRA believed that the proposed Railroad Safety Appliance Standards (49 repair provisions contained in the method of calculation was consistent CFR part 231); however, FRA proposed Safety Appliance Acts for an entire with the intent of Congress when it separate safety appliance requirements segment of the industry. Furthermore, drafted the statutory requirement and for Tier II passenger equipment. these commenters contend that FRA is simply recognized the technological FRA proposed that passenger improperly relying on technological advancements made in braking systems equipment that is found with conditions advances that exist on passenger trains over the last century. Consequently, not in compliance with this part, other to invoke the authority under 49 U.S.C. FRA proposed that the percentage of than power brake defects, be moved 20306 because many of the operative brakes would be determined only after a QMI has determined that the technological advances cited by FRA do by dividing the number of axles in the equipment is safe to move and not currently exist or are not currently train with operative brakes by the total determined any restrictions necessary used on a large portion of the passenger number of axles in the train. for the equipment’s safe movement. fleet. Labor representatives contend that Furthermore, for equipment utilizing FRA also allowed railroads to move passenger equipment which develops tread brake units (TBU), FRA proposed equipment based on an assessment defective brake equipment should only that the percentage of operative brakes made by a QMI in communication with be permitted to move to a location be determined by dividing the number on-site personnel. FRA proposes this where the passengers can be off-loaded of operative TBUs by the total number based on the reality that mechanical with appropriate speed restrictions. of TBUs. See 62 FR 49757, 49797. personnel are not readily available at Labor representatives also objected to The NPRM also contained proposed every location on a railroad’s line of provisions regarding the movement of FRA’s statement that the term ‘‘power road. However, FRA further proposed brake defect’’ does not include a failure equipment with other than power brake that if a QMI does not actually inspect defects. See 62 FR 49758–59, 49798–99. to inspect such a component. These the equipment to determine that it is commenters claim that FRA’s exclusion There are currently no statutory or safe to move, then, at the first forward regulatory restrictions on the movement of the failure to properly inspect a brake location where a QMI is on duty, an component eliminates an important of passenger cars with defective inspector will perform a physical conditions that are not power brake or means of enforcement necessary to inspection of the equipment to confirm ensure that proper power brake safety appliance related. The proposed the initial assessment made while in provisions contained in the NPRM were inspections are performed. It is claimed communication with on-site personnel that by excluding the failure to inspect similar to the provisions for moving previously. defective locomotives and freight cars from being a power brake defect, FRA The NPRM also required the tracking has eliminated any incentive for currently contained in 49 CFR 229.9 and of defective equipment in either of two 215.9, respectively. As these provisions railroads to ensure that trains have ways. One option was to tag the operative brakes because there will be have generally worked well with regard equipment in a manner similar to what to the movement of defective little financial repercussion to is currently required under § 215.9 for continuing to use improperly inspected locomotives and freight cars and in freight cars. The second option was to order to maintain consistency, FRA equipment. These commenters also record the specified information in an objected to the proposed provision that modeled the proposed movement automated tracking system. The latter requirements on those existing requires the railroad operating long- alternative was offered to provide distance intercity passenger trains to requirements. FRA proposed to allow railroads some flexibility and was made passenger railroads the flexibility to designate those location where power in recognition of advances in electronic brake repairs will be conducted. It is continue to use equipment with non- recordkeeping. safety-critical defects until the next claimed that by allowing the carriers to scheduled calendar day exterior C. Discussion of Comments on the 1997 designate such locations the carrier is in mechanical inspection. However, FRA NPRM and General FRA Conclusions absolute control of how far defective intended for the calendar day equipment will travel and abuse of the 1. Movement of Equipment With mechanical inspections to be the tool provision may occur. Labor Defective Brakes used by railroads to repair all reported representatives also objected to allowing defects and to prevent continued use of Labor representatives raised several railroads to use automated tracking defective equipment to carry passengers. concerns, both in their written systems to record information regarding In the NPRM, FRA intended for 49 comments and at the Working Group defective equipment. These commenters CFR 229.9 to continue to govern the meetings, regarding the proposed believe that tagging the equipment must movement of locomotives used in provisions related to the movement of be required in order for inspectors to passenger service which develop passenger equipment with defective readily identify defective equipment. It defective conditions, not covered by power brakes. These commenters is further contended that an automated part 238, that are not in compliance objected to FRA’s use of the authority tracking system is susceptible to with part 229. FRA also did not intend granted in 49 U.S.C. 20306 to exempt manipulation, abuse and reduces to alter the current statutory passenger train operations covered by accountability. One commenter requirements contained in 49 U.S.C. this part from the statutory requirements recommended that FRA add further 20303 regarding the movement of contained in 49 U.S.C. 20303(a) restrictions on the use and movement of
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00032 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25571 cars with defective brakes at the front or FRA intends to retain those portions that the operators of these long-distance rear of the train. of the movement for repair requirements intercity trains are in the best position Railroad representatives and APTA that are consistent with the existing to determine which locations have the representatives did not provide many statutory provisions regarding the necessary expertise to handle the repairs comments on the proposed provisions movement of equipment with power of the somewhat advanced braking related to the movement of passenger brake defects and revise those that are systems utilized in passenger trains. equipment with defective brakes. These contrary. Therefore, passenger trains Due to the unique technologies used on commenters did note that there was not operating with 75–99 percent operative the brake systems of these operations a major benefit to the railroads with brakes will not be permitted to travel to and the unique operating environments, being able to haul certain defective the next forward terminal as proposed, the facilities and personnel necessary to equipment to the next forward terminal but will be permitted to travel only to conduct proper repairs on this as proposed. These commenters did the next forward location were the equipment are somewhat specialized recommend that FRA provide the necessary repairs to the brake and limited. Moreover, FRA is retaining railroads at least two years to develop equipment can be effectuated as the broad performance-based and implement the defect reporting and mandated in the existing statute. In requirement that railroads operating this tracking system proposed in the NPRM. FRA’s view, all of the other proposed equipment designate a sufficient After considering the written methods for moving defective power number of repair locations to ensure the comments submitted and the brake equipment are consistent with safe and timely repair of the equipment. information provided at the Working and are in accordance with the current Contrary to the beliefs of some labor Group meetings, FRA has determined statutory requirements and can be commenters, FRA believes that this that some minor changes need to be retained. For example, FRA will retain performance standard provides FRA made to the requirements proposed in the provisions which permit a passenger sufficient grounds to institute civil the NPRM regarding the movement of train with 50–75 percent operative penalty enforcement actions or take equipment with defective power brakes. brakes to be moved at reduced speeds to other enforcement actions if, based on In order to avoid the legal implications the next forward passenger station. its expertise and experience, FRA involved with employing the statutory Although the percentage of operative believes the railroad is failing to authority contained at 49 U.S.C. 20306 brakes is lower than currently permitted designate an adequate number of repair for exempting equipment from the by FRA’s longstanding agency locations. statutory requirements related to safety interpretation (which FRA believes is Rather than attempt to develop a appliances and power brakes, and fully compensated for by the speed because railroad representatives standard applicable to all situations in restrictions), FRA believes that the the context of short-distance intercity acknowledged that the flexibility movement of the defective equipment to provided through reliance on the and commuter trains, which FRA does the next passenger station is in exemption is minimal, FRA will not rely not believe can be accomplished, FRA accordance with the statutory on the statutory exemption provision intends to approach the issue of what requirement as the safety of the contained at 49 U.S.C. 20306 in this constitutes the next forward location passengers must be considered in final rule and will modify the where repairs can be effectuated based determining the nearest location where movement for repair provisions on a case-by-case analysis of each necessary repairs can be made. In accordingly. FRA will retain the situation. FRA believes that its field addition, permitting passenger trains to exemption for passenger train inspectors are in the best position to continue to the next forward location operations from a long-standing agency determine whether a railroad exercised where the necessary repairs can be interpretation that prohibits the good faith in determining when and movement of a train for repairs under 49 performed is also consistent with the where to move a piece of defective U.S.C. 20303 if less than 85 percent of statutory requirement as such equipment. In making these the train’s brakes are operative. The movement is necessary to ensure the determinations both the railroad as well interpretation is based on a 1910 ICC safety of the traveling public by as FRA’s inspectors must conduct a order codified at 49 CFR 232.1, FRA protecting them from the hazards multi-factor analysis based on the facts believes that this requirement is overly incident to performing movements of each case. In determining whether a restrictive when applied to passenger against the current of traffic. particular location is a location where train operations as many passenger Furthermore, retention of the movement necessary repairs can be made or operations utilize a small number of provisions related to long-distance whether a location is the next forward cars in their trains and the necessity to intercity passenger trains and long- repair location in a passenger train cut out the brakes on just one car can distance Tier II equipment are context, the accessibility of the location, easily result in noncompliance. FRA consistent with the current statutory the ability to safely make the repairs at believes that the retention of the speed requirements as these provisions permit that location, and the safety of the restrictions contained in the proposal the movement of defective brake passengers are the overriding factors will fully compensate for the loss of equipment on these trains only to the that must be considered in any analysis. brakes on a minority of cars. FRA rejects next passenger station or the next repair These factors have a multitude of sub- the BRC’s recommendation that location, with various speed restrictions factors which must be considered, such passenger trains with defective brakes depending on the percentage of as: the type of repair required; the safety be permitted to move no farther than the operative brakes. of employees responsible for conducting next passenger station because such a FRA will also retain the requirement the repairs; the safety of employees stringent requirement is unnecessary, that operators of long-distance responsible for getting the equipment to more restrictive that the current passenger trains designate the locations or from a particular location; the statutory mandate regarding the where repairs can be conducted on the switching operations necessary to movement of defective brake equipment. Although FRA agrees that effectuate the move; the railroad’s recent equipment, and is radically counter to this provision puts the control of what history and current practice of making the way passenger trains currently locations constitute repair locations in repairs (brake and non-brake) at a handle defective equipment. the hands of the railroad, FRA believes particular location; relevant weather
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00033 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 25572 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations conditions; potential overcrowding of position to determine what the components on passenger equipment passenger platforms; and the appropriate speed restriction should be and could be used in circumstances overcrowding of trailing trains. given the circumstances involved. where passenger equipment is not FRA will also retain the requirement Consequently, FRA is modifying the inspected prior to being placed in that equipment found with conditions requirements for the use of such cars service. Consequently, the final rule will not in compliance with this part must and will add provisions requiring that not only retain all of the enforcement be appropriately tagged or recorded in appropriate speed restrictions be tools available to FRA under the current an automated tracking system. Although imposed and that equipment with regulations but will include other FRA is sensitive to the concerns raised inaccessible handbrakes or with methods for ensuring compliance by the by labor representatives regarding the handbrakes located outside the interior railroads and provide both a financial use of automated tracking systems, FRA of a car be removed or repositioned in and operational incentive for railroads believes that provisions must be the train at the first possible location. to properly inspect passenger provided to allow railroads to take FRA believes that the concern raised equipment. advantage of existing and developing by certain labor representatives Some of the members of the Working technologies regarding the electronic regarding FRA’s definition of ‘‘power Group, particularly those representing maintenance and retention of records. brake defect’’ is due to a lack of labor organizations, expressed concern Although railroad and FRA inspectors understanding of the proposed rule as that any alteration of the movement for may require additional training on the well as a misunderstanding of the repair provisions made in the context of use of electronic records, FRA believes current regulations. Under the current commuter and intercity passenger train that the use of such a medium to track power brake regulations the unit of operations may have a spillover effect defective equipment can expedite the violation for failure to inspect is the into the freight industry. FRA wishes to identification and repair of defective train not individual cars, although FRA make clear that it has no intention, at equipment and, thus, reduce the time can take a separate violation for each car this time, of providing freight operations that defective equipment is operated in containing a defective condition upon the flexibility to handle defective brake passenger service. In response to labor’s departure after the train received or equipment that it is providing passenger concerns, the final rule contains a should have received an initial terminal operations. As noted above, many of the provision which will give FRA the inspection or for each car not identified advanced brake system technologies ability to monitor and review a as defective after the performance of an currently used in passenger service are railroad’s automated tracking system intermediate inspection. Moreover, the not used in the freight context. and will provide FRA the ability to failure to inspect a piece of equipment Furthermore, even if freight operations prohibit or revoke a railroad’s ability to cannot be cured through any of the were to make similar advances in the utilize an automated tracking system in proposed provisions regarding the braking equipment they employ, this lieu of directly tagging defective movement of defective equipment. That development on the freight side may not equipment if FRA finds that the is, if a railroad fails to inspect a piece create the efficiencies created in the automated tracking system is not of equipment as required, the railroad passenger train context since the properly secure, inaccessible to FRA or cannot avoid civil penalty liability by operating environments of freight trains a railroad’s employees, or fails to moving the equipment in accordance and passenger trains differ significantly. adequately track and monitor the with the proposed provisions. More importantly, the special safety movement of defective equipment. Furthermore, the final rule contains considerations relative to passengers are Furthermore, if the automated tracking specific civil penalties for a railroad’s not present in freight operations. system developed and implemented by failure to perform inspections as 2. Movement of Equipment With Other a railroad does not accurately and required. Railroads will also continue to Than Power Brake Defects adequately record the information be subject to potential civil penalty for required by this part, the railroad will any car found in defective condition Railroad representatives expressed be in violation of the movement for after it has performed or should have some concerns regarding the provisions repair provisions and subject to civil performed a Class I or Class IA brake related to the movement of equipment penalty liability. test and any car not properly moved or with other than a power brake defect. In response to one labor commenter’s identified as defective at other times. The primary recommendation of these concerns, FRA is slightly modifying the The final rule will also retain the commenters was that FRA should revise provisions related to the operation of proposed provision providing that the proposed provisions to require the trains with defective brakes on the front passenger equipment will be considered use of a ‘‘qualified maintenance person’’ or rear car. In the NPRM, FRA proposed ‘‘in use’’ prior to departure but after it (qualified mechanical inspector (QMI) that if the power brakes on the front or has received or should have received an in the NPRM) only when a potentially rear unit become inoperative then a inspection required by this part. Thus, safety-critical running gear defect is qualified person must be stationed at FRA inspectors will no longer have to involved. These commenters believed the handbrake on the unit. See 62 FR wait until a piece of equipment departs that the requirement to have the car 49797. FRA recognizes that in some a location before issuing a civil penalty, inspected by a QMP whenever a instances the handbrake on a car located a practice continually criticized by both nonsafety-critical running gear at the front or rear of a train may not be labor and railroad representatives. component becomes defective would accessible to a member of the train crew In addition, the NPRM as well as this impose unnecessary, significant delays or may be located outside the interior of final rule provides FRA inspectors the to their operations and is counter to the car and, thus, unsafe for a crew ability to issue Special Notices for current operating practices. These member to operate while the train is in Repair, which enable an FRA inspector commenters contended that a ‘‘qualified motion. FRA also recognizes that in to remove an unsafe piece of equipment person’’ as defined in the proposal many circumstances when a car at the from service until appropriate action is would be sufficient to determine the front or rear of the train has inoperative taken by the railroad. See 62 FR 49790. safety implications in moving many of brakes certain speed restrictions should This enforcement tool is not currently the mechanical components covered by be placed on the train; however, FRA available to FRA inspectors in the area the rule if they were to become defective believes that railroads are in the best of power brakes and mechanical en route. For example, it was noted that
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00034 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25573 a highly qualified inspector was not whenever a potential running gear personnel. Although FRA recognizes the necessary to determine whether a car defect is involved. FRA rejects the concerns raised by labor representatives, that experiences a defective door, language proposed by APTA that the FRA believes that the rule must cracked window, or burnt out light defect be a potentially ‘‘safety-critical’’ recognize the reality of current bulbs could or should remain in service. running gear defect as FRA believes that operations and acknowledge the fact Railroad representatives also sought any defect to a running gear component that mechanical personnel are not additional flexibility in the movement is potentially safety-critical. In order to readily available at every location on a of equipment with a nonsafety-critical avoid confusion, FRA is providing an railroad’s line of road. Furthermore, running gear defect from a calendar day explicit definition of ‘‘running gear when such off-site determinations are mechanical inspection. defect.’’ FRA is defining the term to made the rule requires that the Labor representatives also raised a mean any defective condition which equipment only be moved to the next number of concerns with the provisions involves a truck component, the forward location where the equipment related to the movement of equipment propulsion system, the draft system, a can be inspected by a QMP to verify the with other than power brake defects. wheel or a wheel component. In the description of the defect provided by One concern raised by these final rule, FRA will permit the use of a the on-site personnel. commenters indicated that FRA should qualified person to determine the safety FRA is also adding a provision to the not allow railroads to determine which and establish appropriate movement requirements dealing with the mechanical components are ‘‘safety- restrictions on continued use of movement of equipment with other than critical’’ as such an approach would equipment which involves non-running power brake defects to address the create a massive loophole and render gear defects. inspection of roller bearings on a car some of the movement restrictions FRA will also provide very limited whose truck is involved in a derailment. unenforceable. These commenters also flexibility to the railroads to operate The added requirement prohibits a voiced concerns over FRA’s proposal defective equipment from a location railroad from continuing in service a that an off-site mechanical inspector where a calendar day mechanical piece of passenger equipment that has a could make an assessment regarding the inspection was performed in order to roller bearing whose truck was involved safety of moving a certain piece of effectuate repairs. FRA intends for the in a derailment unless the bearing is equipment based on the communication calendar mechanical inspection to be as inspected and tested in accordance with with on-site personnel. Although these comprehensive as possible and to be the the stated provisions. The added commenters appeared to recognize the time when all defective components are provision is identical to the requirement flexibility provided by such an identified and repaired. In order to currently contained in 49 CFR approach, they raised concerns that ensure that these daily inspections are § 215.115(b). Although the existing such an approach is ripe for abuse and performed by highly qualified provision is applicable to freight cars, would require a mechanical inspector to personnel, FRA has provided the virtually every passenger train operation rely on the observation of personnel railroads with considerable flexibility to follows the provisions contained in that lacking the necessary training and perform these inspections at locations section prior to returning a piece of expertise. The commenters believed that that are best suited to a quality and equipment to service after it was further restrictions need to be placed on comprehensive inspection. Therefore, involved in a derailment and, thus, these communications but they failed to FRA will permit the movement of should not result in any added burden specify any specific restrictions that defective equipment from these to the industry. FRA believes that the could be utilized. Labor representatives inspection locations with very stringent practice is critical to ensuring the again raised concerns over FRA’s restrictions. Equipment containing proper operation of the roller bearing allowance of an automated tracking running gear defects may only be moved after a derailment occurs and should be system in lieu of direct tagging of from such locations if it is not in incorporated into this final rule. defective equipment. These commenters passenger service and is in a non- FRA also intends to make clear that reiterated their concerns that such a revenue train. Equipment containing the movement of equipment with a system can be easily manipulated and non-running gear defects may be moved defective safety appliance will continue removes accountability from the system in a revenue train provide the to be governed by the statutory of repairing defective equipment. equipment is locked-out and empty. provisions contained at 49 U.S.C. 20303. After review of the comments Any equipment moved must also be As noted previously this provision submitted and provided orally at the properly identified and moved in permits the movement of defective Working Group meetings, FRA has accordance with any movement equipment to the nearest location where made some modest changes in the final restriction imposed. FRA believes these the necessary repairs can be made. The rule regarding the movement of stringent movement restrictions will determination of what constitutes the equipment with non-power brake provide railroads limited flexibility to nearest location where the necessary defects. FRA agrees with the comments move defective equipment to a location repairs can be effectuated in a safety of railroad representatives that the where it can best be repaired but will appliance context is identical to the NPRM may have been over-reaching in limit a railroad’s desire or ability to analysis required when dealing with a requiring a QMP to make a move defective equipment from these power brake defect. In making these determination regarding the safety of inspection locations and will encourage determinations both the railroad as well moving a piece of defective equipment the performance of the calendar day as FRA’s inspectors must conduct a for any of the mechanical components mechanical inspections at locations multi-factor analysis based on the facts addressed in this regulation. However, where repairs to equipment can be of each case. In determining whether a FRA also agrees with the comments conducted. particular location is a location where submitted by labor representatives that FRA has also retained the requirement necessary repairs can be made or railroads should not determine what that the QMP may make his or her whether a location is the nearest repair components are considered safety- determination regarding the continued location in a passenger train context, the critical. Therefore, FRA will require a use of equipment containing a potential accessibility of the location, the ability determination regarding the safety of running gear defect based on the to safely make the repairs at that moving a piece of equipment by a QMP description provided by on-site location, and the safety of the
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00035 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 25574 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations passengers are the overriding factors the safety of operations that permit recommendations on railroad safety that must be considered in any analysis. passengers to occupy the leading car in matters. See 61 FR 9740, Mar. 11, 1996. These factors have a multitude of sub- a train. 61 FR 6876, Feb. 22, 1996. Both RSAC consists of 48 individual factors which must be considered, such the New Jersey Transit and MARC train representatives, drawn from 27 as: the type of repair required; the safety collisions involved operations where a organizations representing various rail of the passengers if a move against the cab car occupied the lead position in a industry perspectives, and two associate current of traffic is conducted; the safety passenger train. The Emergency Order nonvoting representatives from the of employees responsible for conducting explained that in collisions involving agencies with railroad safety regulatory the repairs; the safety of employees the front of a passenger train, operating responsibility in Canada and Mexico. In responsible for getting the equipment to with a cab car in the forward position September of 1997, FRA convened the or from a particular location; the or a multiple unit (MU) locomotive, i.e., Locomotive Crashworthiness Working switching operations necessary to a self-propelled locomotive with Group through RSAC to make effectuate the move; the railroad’s recent passenger seating, presents an increased recommendations as to the best way to history and current practice of making risk of severe personal injury or death address the findings of FRA’s report to repairs (brake and non-brake) at a as compared with locomotive-hauled Congress, including developing particular location; relevant weather service when the locomotive occupies standards regarding a broad range of conditions; potential overcrowding of the lead position in the train and crashworthiness issues for both passenger platforms; and the thereby acts as a buffer for the trailing passenger and freight locomotives. In overcrowding of trailing trains. passenger cars. This risk is of particular the context of improving railroad Therefore, in many circumstances trains concern where operations are conducted communications, RSAC established a will be permitted to continue to the next at relatively higher speeds, where there working group to specifically address forward location where the necessary is a mix of various types of trains, and communication facilities and repairs can be performed as such where there are numerous highway-rail procedures, with a strong emphasis on movement is necessary to ensure the crossings over which large motor passenger train emergency safety of the traveling public by vehicles are operated. Accordingly, the requirements. The final rule that protecting them from the hazards Emergency Order required in particular resulted from this effort was published incident to performing movements that ‘‘railroads operating scheduled on September 4, 1998, reflecting the against the current of traffic. intercity or commuter rail service * ** consensus recommendations of the conduct an analysis of their operations RSAC. 63 FR 47182. VIII. FRA’s Passenger Train Safety and file with FRA an interim safety plan FRA notes that, in its comments on Initiatives indicating the manner in which risk of the NPRM, Siemens Transportation This final rule is part of several a collision involving a cab car is Systems, Inc., (Siemens) stated that related and complementary efforts by addressed.’’ 61 FR 6879. much of the safety standard changes for FRA to improve the safety of rail The Emergency Order also noted that passenger rail cars could be scaled back passenger service. FRA has issued there is a need to ensure that emergency if more consideration were given to the regulations governing emergency exits are clearly marked and in operable technology that is available for crash preparedness and emergency response condition on all passenger lines, avoidance safety systems. Siemens procedures for rail passenger service in regardless of the equipment or train believed the principal safety focus a separate rulemaking proceeding, control system used. Although FRA should be on efforts to avoid collisions designated as FRA No. PTEP–1. See 63 Safety Glazing Standards, 49 CFR part in the first place, such as those at FR 24630, May 4, 1998. FRA formed a 223, require that passenger cars have a highway-rail grade crossings and with separate working group (the Passenger minimum of four emergency window other trains. Train Emergency Preparedness Working exits ‘‘designed to permit rapid and easy FRA recognizes that rail passenger Group) to assist FRA in the removal during a crisis situation,’’ the safety involves the safety of the railroad development of such regulations. This Silver Spring collision raised concerns system as a whole. FRA does have related proceeding has addressed some that at least some of the occupants of the active rulemaking and research projects of the issues FRA originally identified MARC train attempted unsuccessfully to in a variety of contexts, including signal in the ANPRM on passenger equipment exit through the windows. The and train control systems, and grade safety. Persons wishing to receive more Emergency Order requires ‘‘that any crossing safety. FRA also has existing information regarding this other emergency windows that are not already regulations governing both railroad and rulemaking should contact Mr. Edward legibly marked as such on the inside grade crossing signal system safety, for R. English, Director, Office of Safety and outside be so marked, and that a example. (See 49 C.F.R. parts 233–236.) Assurance and Compliance, FRA, 1120 representative sample of all such Nevertheless, this final rule is designed Vermont Avenue, Mail Stop 25, windows be examined to ensure to address the specific statutory Washington, D.C. 20590 (telephone operability.’’ 61 FR 6880. On February mandate that minimum standards be number: 202–493–6300), or David H. 29, 1996, FRA issued Notice No. 2 to prescribed for the safety of cars used to Kasminoff, Esq., Trial Attorney, Office Emergency Order No. 20 to refine three transport railroad passengers, as noted of Chief Counsel, FRA, 1120 Vermont aspects of the original order, including above. Avenue, Mail Stop 10, Washington, D.C. providing more detailed guidance on IX. Section-by-Section Analysis 20590 (telephone: 202–493–6043). the emergency egress sampling Further, in response to the separate provision. 61 FR 8703, Mar. 5, 1996. This section-by-section analysis will collisions involving New Jersey Transit In addition, FRA submitted a report to explain the provisions of the final rule and MARC trains in early 1996, FRA Congress on locomotive and the changes made from the 1997 issued Emergency Order No. 20 (Notice crashworthiness and working NPRM. Of course, a number of the No. 1) on February 20, 1996, requiring conditions on September 18, 1996, and issues and provisions involving this rule prompt action to immediately enhance subsequently referred the issues raised have been discussed and addressed in passenger train operating rules and in the report to the RSAC. FRA detail in the preceding discussions. emergency egress and to develop an established RSAC in March of 1996, to Accordingly, the preceding discussions interim system safety plan addressing provide FRA with advice and should be considered in conjunction
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Consequently, FRA will require FRA is also making a technical compliance with the inspection, testing, Amendments to 49 CFR Part 216 amendment to part 223 so as to and maintenance provisions as well the Part 216 authorizes certain FRA and reference the additional emergency movement of defective equipment participating State inspectors to issue window exit and window safety glazing provisions after that same 26 month Special Notices for Repair, under requirements found in part 238. period. specified conditions, for freight cars FRA also recognizes that there are with defects under part 215, 49 CFR Part 238 certain aspects of the inspection, testing, locomotives with defects under parts Subpart A—General and maintenance requirements as well 229 or 230 or 49 U.S.C. chapter 207, and as the movement of defective equipment Section 238.1 Purpose and Scope track with defects under part 213. The provisions that provide operational revisions to part 216 contained in this Paragraph (a) states the purpose of the flexibility to the railroads. Due to this final rule will create a fourth category of rule to prevent collisions, derailments, flexibility, FRA believes that some Special Notices for Repair: for passenger and other occurrences involving railroads will desire the ability to begin equipment with defects under part 238. railroad passenger equipment that cause operations under the inspection, testing, Consequently, if an inspector injury or death to railroad employees, and maintenance requirements and the determines that noncomplying railroad passengers, and the general movement of defective equipment passenger equipment is ‘‘unsafe for public; and to mitigate the provisions as soon as their employees further service’’ and issues a Special consequences of such occurrences to the have been properly trained. Therefore, Notice for Repair, the railroad will be extent they cannot be prevented. FRA has included provisions which required to take the passenger Paragraph (b) states that the regulations allow a railroad to notify FRA in writing equipment out of service, to make in this part provide minimum standards that it is willing to begin compliance repairs to bring the equipment into for the subjects addressed. FRA has with the inspection, testing, and compliance with part 238, and to report nonetheless specified in places maintenance requirements and the the repairs to FRA. The final rule also throughout the regulatory text that the movement of defective equipment makes conforming changes to part 216 prescribed requirements are only provisions some time earlier than the 26 reflecting this new enforcement tool. minimum standards so as to reinforce months provided. FRA wishes to make This final rule also includes various this principle. Railroads and other clear that it does not intend for railroads technical amendments to update part persons subject to this part may adopt to take advantage of the flexibility 216 to reflect the following: (1) Internal and enforce more stringent provided under some of the provisions organizational changes within FRA; (2) requirements, so long as they are not unless the railroad is willing to comply the division of former part 230, inconsistent with this part. with all the requirements contained in Locomotive Inspection Regulations, into Paragraph (c) contains the dates upon those provisions. Thus, in order to begin parts 229 and 230 and the redesignation which railroads covered by this part operating under any of the provisions of those portions of former part 230 will be required to comply with the contained in subpart D, except the related to non-steam locomotives as part requirements contained in this final rule maintenance requirements contained in 229, Railroad Locomotive Safety related to the inspection, testing, §§ 238.309 and 238.311, or to operate Standards; and (3) the repeal, maintenance, training, and movement of defective equipment under §§ 238.15 or reenactment without substantive defective equipment. FRA recognizes 238.17, the railroad must be performing change, and recodification of the the interrelationship between the proper all of the requirements contained in Federal railroad safety laws in 1994. See training of railroad personnel and the those sections and that subpart. 45 FR 21092, Mar. 31, 1980; Pub. L. implementation of the inspection, As the maintenance requirements 103–272, July 5, 1994. testing, maintenance and movement of regarding the periodic performance of defective equipment provisions COT&S and the performance of single Amendments to 49 CFR Parts 223, 229, contained in the final rule. FRA realizes car tests, contained in §§ 238.309 and 231, and 232 that in order for railroads to comply 238.311, are separable from the FRA is making conforming changes to with the requirements related to the inspection requirements, FRA will the applicability sections of FRA’s inspection, testing, and maintenance permit railroads to request earlier Railroad Locomotive Safety Standards, requirements and the requirements application of those two sections. Railroad Safety Appliance Standards, regarding the movement of defective However, in order to begin operation and railroad power brakes and drawbars equipment, the railroads must first be under either of these two sections, the regulations that were necessitated by provided a sufficient amount of time to railroad must be willing to operate in provisions contained in this new part develop and implement a proper accordance with all of the provisions in 238. In this final rule, FRA has adjusted training program. Based on information both sections. That is, the provisions the application of provisions in parts received by FRA, it appears that many contained in §§ 238.309 and 238.311 229, 231, or 232 or has deleted certain railroads are in the initial stages of must be implemented as a package and provisions in those parts to avoid developing training programs or cannot be implemented separately, duplication of provisions in part 238. modifying existing programs to meet the except for the requirements related to FRA has not deleted the passenger train requirements of this final rule and that the performance of COT&S on brake test and maintenance this process should be completed within locomotives. This paragraph makes requirements from part 232, at this time, a year. After the development of the clear that the requirements related to the because part 238 will not cover certain training programs the railroads will performance of COT&S on MU operations subject to part 232, e.g., need several months to a year to rotate locomotives and conventional tourist, historic, scenic, and excursion their employees through the programs locomotives will become effective railroad operations on the general in order not to disrupt the operation of September 9, 1999. As discussed in system. Moreover, the requirements their railroads. Thus, FRA believes that more detail in the section-by-section contained in part 232 will continue to 26 months is a sufficient amount of time analysis of § 238.309, FRA believes that apply to passenger operations until the for railroads to develop and train their the extensions of COT&S contained in
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FRA has taken into Congress. requirement applicable to MU and account the burden imposed by Section 215 of the 1994 Act conventional locomotives. requiring private car owners and specifically permits FRA to exempt As a point of clarification, FRA makes operators to conform to the equipment used by tourist, historic, clear that a railroad will be subject to requirements of this part. Further, FRA scenic, and excursion railroads to compliance under the existing recognizes that private cars are often transport passengers from the initial inspection, testing, and maintenance hauled by railroads such as Amtrak and regulations required to be prescribed by provisions contained in part 232 of this commuter railroads which often impose November 2, 1997. 49 U.S.C. chapter until the railroad is required to their own safety requirements on the 20133(b)(1). FRA is addressing the operate under the inspection and testing operation of the private cars. passenger equipment safety concerns for provisions of this part (i.e., 26 months) Accordingly, FRA has limited the these unique types of operations or until the railroad voluntarily commits application of the rule only to those through the Tourist and Historic to operate under the provisions of this requirements necessary to ensure the Railroads Working Group formed under part. safe operation of the passenger train that RSAC. Any requirements applicable to these operations will be part of a Section 238.3 Application is hauling the private car. For instance, private cars are subject to brake separate rulemaking proceeding. As a general matter, in paragraphs inspection, testing, and maintenance FRA notes that the Syracuse, (a)(1) and (a)(2), the rule applies to all requirements. Binghamton and New York Railroad railroads that operate intercity The rule is structured to apply to Corporation (SBNY) commented on the passenger train service on the general intercity, commuter and other short- application of the rule to its passenger railroad system of transportation or haul service, but not to tourist, scenic, shuttle and excursion service on provide commuter or other short-haul historic, and excursion operations. The approximately ten miles of trackage passenger train service in a metropolitan term ‘‘tourist, scenic, historic, or shared with rail freight traffic in the city or suburban area; that is, the rule excursion operations’’ is defined in of Syracuse and county of Onondaga, applies to commuter or other short-haul § 238.5 to mean ’’railroad operations New York. SBNY commented that, service described in paragraph (a)(2) that carry passengers, often using although it understands its excursion regardless of whether that service is antiquated equipment, with the service would be exempt from the rule, connected to the general railroad conveyance of the passengers to a its shuttle operations appear to fall system. A public authority that particular destination not being the directly within the proposed regulation. indirectly provides passenger train principal purpose.’’ The term refers to SBNY believed that applying the service by contracting out the actual the particular physical operation, not to proposed regulations to its shuttle operation to another railroad or the nature of the railroad company as a service would impose a significant and independent contractor would be whole that conducts the operation. As a unbearable burden with little if any regulated by FRA as a railroad under the result, part 238 exempts not only a improvement in safety. SBNY asked that provisions of this rule. In order to avoid recreational train ride by a tourist the rule expressly except from its confusion, FRA has omitted proposed railroad company that employs five application passenger train operations paragraph (a)(3) regarding the rule’s people but also a recreational train ride on track that is limited to operating applicability to rapid transit operations by the Union Pacific Railroad Company, speeds of 30 mph or less. as these types of operations, which are a Class I freight railroad. FRA has not FRA believes the SBNY is properly merely a subset of ‘‘commuter or other yet had the opportunity to fully consult characterized as a commuter or other short-haul rail passenger train service,’’ with tourist and historic railroad short-haul railroad subject to this part. are sufficiently covered under operators and their associations to FRA has not adopted SNBY’s paragraphs (a)(1) and (a)(2) in the final determine the appropriate applicability recommendation to change the rule. Paragraph (b) makes explicit the of the provisions contained in this final application of the final rule so as to liability imposed by statute, 49 U.S.C. rule to such railroad operations. The except passenger train operations on 20303, on a railroad that owns track Federal Railroad Safety Authorization track that is limited to operating speeds over which another railroad hauls or Act of 1994 directs FRA to examine the of 30 mph or less. First of all, any such uses equipment with a power brake or unique circumstances of tourist operation must already comply with safety appliance defect. Under railroads when establishing safety existing regulations affecting railroad paragraph (b), a railroad that permits regulations. The Act, which amended 49 passenger equipment safety, such as the operations over its trackage by U.S.C. 20103, states that: locomotive safety standards (49 C.F.R. passenger equipment subject to this part part 229), and standards on railroad that does not comply with a power In prescribing regulations that pertain to power brakes and drawbars (49 C.F.R. brake provision of this part or a safety railroad safety that affect tourist, historic, part 231). Second, many provisions of scenic, or excursion railroad carriers, the appliance provision of this part is Secretary of Transportation shall take into the final rule itself cannot logically be subject to the power brake and safety consideration any financial, operational, or distinguished in any manner on the appliance provisions of this part with other factors that may be unique to such basis of operating speed. For instance, respect to such operations that it railroad carriers. The Secretary shall submit materials in locomotives and passenger permits. a report to Congress not later than September cars should be required to comply with This section contains no explicit 30, 1995, on actions taken under this the testing standards for flammability reference to private cars. Rather than subsection. and smoke emissions characteristics to addressing the scope of applicability of Pub. L. 103–440, § 217, 108 Stat. 4619, protect against sources of ignition—no part 238 to private cars in this section, 4624, November 2, 1994. In its 1996 matter the operating speed of the FRA has indicated in the particular report to Congress entitled ‘‘Regulatory equipment. Finally, FRA notes that
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SBNY operates conventional diesel railroads may rely on brake indicators if designated by the railroad to perform multiple-unit passenger equipment built they determine that the inspector cannot the inspection. The Class IA test allows to AAR standards. Accordingly, the safely make a direct observation of the commuter railroads the flexibility to railroad should not experience burdens brake application or release. have trains depart their first run of the related to structural standards. If there ‘‘Primary brake’’ and ‘‘secondary day from an outlying point without are unique factors present with regard to brake’’ are complementary definitions. having to station qualified maintenance SBNY’s equipment, the waiver process ‘‘Primary brake’’ refers to ‘‘those persons at all outlying points. If may provide a way of accommodating components of the train brake system railroads take advantage of the those differences. necessary to stop the train within the flexibility offered by the Class IA test, The requirements of this rule do not signal spacing distance without thermal they must follow-up with a Class I test apply to circus trains. In its comments damage to friction braking surfaces,’’ sometime during the day. on the NPRM, Feld Entertainment, Inc., while ‘‘secondary brake’’ refers to A ‘‘Class II train brake test’’ means a (Feld), parent company of Ringling Bros. ‘‘those components of the train brake test (as further specified in § 238.317) of and Barnum & Bailey circus (Ringling system which develop supplemental brake pipe integrity and continuity from Bros.), supported the rule’s brake retarding force that is not needed controlling locomotive to rear car. The consideration of the special to stop the train within signal spacing Class II brake test is a simple set-and- circumstances of certain classes of rail distances or to prevent thermal damage release test intended to replace the carriers, such as private passenger cars to wheels.’’ FRA provides these passenger train intermediate terminal and circus trains. Feld stated on behalf definitions to help draw the line air brake test. See 49 CFR 232.13(b). The of Ringling Bros. that it suspended the between safety and economics of brake Class II test is also tailored to the special use of rim-stamped straight-plate wheels systems. Railroads have long held that design of the passenger equipment. on its tread-braked passenger cars the dynamic portion of a blended brake The concept of ‘‘ordered’’ is vital to following the 1994 derailment of a is not a safety system. Under the the correct application of this final rule. circus train in Lakeland, Florida. See 62 provisions in this final rule, railroads As applied to the acquisition of FR 49743. Feld also stated that Ringling must demonstrate through testing and equipment, the term means that the Bros. takes seriously its commitment to analysis that the dynamic brake fits the acquiring entity has given a notice to the safety of its employees and animals. definition of a secondary brake. proceed to manufacture the equipment FRA anticipates deferring further Defective primary braking systems are a that represents a firm financial consideration of applying any of the serious safety problem that railroads commitment to compensate the requirements in this final rule to circus must address immediately. Defective manufacturer for the contract price of trains to the Tourist and Historic secondary braking systems, as defined the equipment or for damages if the Railroads Working Group. in § 238.5, are not a serious safety order is nullified. Equipment is not concern, because, by definition, their ordered if future exercise of a contract Section 238.5 Definitions failure does not result in unacceptable option is required to place the This section contains a set of thermal inputs into friction brake remanufacturing process in motion. definitions to introduce the regulations. components. Accordingly, FRA intends Many of the provisions of this final rule, FRA intends these definitions to clarify to allow railroads more flexibility in particularly structural requirements, the meaning of important terms as they dealing with defective secondary will apply only to newly constructed are used in the text of the rule. Several braking systems. equipment. When FRA applies certain of the definitions involve new or Three brake tests are fundamental to requirements only to passenger fundamental concepts which require this final rule. A ‘‘Class I brake test’’ equipment ordered on or after further discussion. means a complete passenger train brake September 8, 2000, or placed in service ‘‘Brake indicator’’ means a device, system test as further specified in for the first time on or after September actuated by brake cylinder pressure, § 238.313. The Class I test is the most 9, 2002, FRA intends to ‘‘grandfather’’ which indicates whether brakes are complete test. It must be performed in this regard any equipment that is applied or released on a car. The use of once each calendar day that a passenger both ordered before September 8, 2000, brake indicators in the performance of train is in service by a qualified and placed in service for the first time brake tests is a controversial subject. maintenance person. The Class I test is before September 9, 2002. FRA believes Rail labor organizations correctly intended to replace the current initial this approach will allow railroads to maintain that brake indicators are not terminal brake test. See 49 CFR minimize, or avoid altogether, any costs fully reliable indicators of brake 232.12(c)-(j). The Class I test is much associated with changes to existing application and release on each car in more tailored to the specific designs of orders and yet limit the delay in the train. Further, railroads correctly passenger equipment than the initial realizing the safety benefits of the maintain that reliance on brake terminal brake test that is required now. requirements in this rule. indicators is necessary because A ‘‘Class IA brake test’’ means a test FRA’s definition of ‘‘passenger car’’ inspectors cannot always safely observe and inspection (as further specified in goes beyond its traditional meaning. brake application and release. FRA § 238.315) of the air brake system on ‘‘Passenger car’’ means rail rolling believes that brake indicators serve an each car in a passenger train to ensure equipment intended to provide important role in the performance of the air brake system functions as transportation for members of the brake tests. FRA has specified three intended in response to the command general public and includes a self- different types of brake tests—Class I, sent through the train line. The Class IA propelled car designed to carry Class IA, and Class II (described test is a somewhat less complete test passengers, baggage, mail, or express. below)—that must be performed on than the Class I test and is intended to This term includes a cab car, an MU passenger equipment. Railroads should be very similar to the current 1,000-mile locomotive, and a passenger coach. A perform Class I brake tests so that the brake test. An important difference cab car and an MU locomotive are also inspector is able to actually observe between the Class I and Class IA tests a ‘‘locomotive’’ under this rule. In the brake application and release. However, is that the Class IA test may be context of articulated equipment, FRA believes that during the performed by qualified persons as long ‘‘passenger car’’ means that segment of performance of a Class IA brake test, as they have been properly trained and the rail rolling equipment located
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At the Working includes ‘‘hands-on’’ experience (under stand; therefore, passenger coaches are a Group meeting in December, 1997, the appropriate supervision or subset of passenger cars. ‘‘Control AAR had raised the concern that the apprenticeship) in one or more of the stand’’ is defined in The Railroad proposed rule did not provide an following functions: trouble-shooting, Dictionary of Car and Locomotive Terms exclusion for a freight locomotive used inspection, testing, maintenance or (Simmons-Boardman Publishing Corp. to haul a passenger train for relief repair of the specific train brake and 1980), as ‘‘‘[t]he upright column upon purposes. FRA believes that a limited other components and systems for which the throttle control, reverser exception is warranted for a freight which the inspector is assigned handle, transition lever, and dynamic locomotive used to haul a passenger responsibility. This person shall also braking control are mounted within train due to the failure of the passenger possess a current understanding of what convenient reach of the engineer on a train’s own motive power; FRA does not is required to properly repair and locomotive. The air gauges and some wish for the passenger train to be maintain the safety-critical brake or switches are also included on the stranded. FRA has modified the mechanical components for which the control stand.’’ definition of the term ‘‘locomotive’’ person is assigned responsibility. ‘‘Passenger equipment’’ is the most accordingly in this final rule. Further, the qualified maintenance inclusive definition. It means all In the context of articulated person shall be a person whose primary powered and unpowered passenger cars, equipment, FRA has clarified that responsibility includes work generally locomotives used to haul a passenger ‘‘passenger equipment’’ means that consistent with the above-referenced car, and any other rail rolling equipment segment of rail rolling equipment functions and is designated to: (1) used in a train with one or more located between two trucks that is used conduct Class I brake tests under this passenger cars. ‘‘Passenger equipment’’ in a train with one or more passenger part; (2) conduct exterior calendar day includes a (1) passenger coach, (2) cab cars. In the NPRM, FRA had used and periodic mechanical inspections on car, (3) MU locomotive, (4) locomotive similar language in the definition of MU locomotives or other passenger cars not intended to provide transportation ‘‘unit’’ (see 62 FR 49796). Since the and unpowered vehicles under this part; for members of the general public that definition of ‘‘unit’’ itself draws upon or (3) determine whether equipment not is used to power a passenger train, and the definition of ‘‘passenger in compliance with this part may be (5) any non-self-propelled vehicle used equipment,’’ FRA has decided to insert moved as required by § 238.17. in a train with one or more passenger this clarifying language here. As noted in detail in the preceding cars. The term therefore covers a The terms ‘‘passenger station’’ and general preamble discussion, FRA is baggage car, express car, freight car, ‘‘terminal’’ are crucial to understanding slightly modifying the terminology and mail car or a private car when used in the requirements related to the definition of these highly qualified a train with one or more passenger cars. inspection of equipment and the inspectors from that proposed in the In the context of articulated equipment, movement of defective equipment 1997 NPRM in order to address the ‘‘passenger equipment’’ means that contained in this final rule. ‘‘Passenger concerns by some commenters and to segment of rail rolling equipment station’’ means a location designated in clarify the definition as much as located between two trucks that is used the railroad’s timetable where possible. In the 1997 NPRM, FRA in a train with one or more passenger passengers are regularly scheduled to proposed the term ‘‘qualified cars. However, this term does not get on or off any train. Under certain mechanical inspector’’ (QMI) to describe include a freight locomotive when used carefully controlled conditions, the rule these highly qualified inspectors. FRA to haul a passenger train due to failure permits a passenger train with defective recognizes the concern raised by some of a passenger locomotive. equipment to move to the next forward commenters, that the term QMI might It should be noted that the definition passenger station. This flexibility is result in employees designated as such of passenger equipment has been allowed to prevent railroads from to seek some sort of premium pay status. somewhat modified from that which discharging passengers in potentially Although FRA is not overly swayed by was proposed in the NPRM. See 62 FR unsafe locations and to minimize this concern, FRA is changing the term 49794. The change in the definition is schedule impacts where this can safely in the manner suggested by these based on comments from the AAPRCO be done. By contrast, ‘‘terminal’’ means commenters to ‘‘qualified maintenance and the American Short Line Railroad a train’s starting point or ending point person (QMP).’’ FRA believes that the Association (ASLRA), and clarifies of a single scheduled trip, where term used to describe the individual FRA’s intent with regard to private cars. passengers may embark or disembark a responsible for conducting certain brake Under the final rule, FRA makes clear train; normally, a ‘‘terminal’’ is a point and mechanical inspections has little that a private car is considered where the train would reverse direction bearing on the qualifications or ‘‘passenger equipment’’ for purposes of or change destinations. knowledge of the individual and, thus, this rule only when it is used in a train The concepts of ‘‘qualified person’’ is not adverse to accommodating a with one or more passenger cars. and ‘‘qualified maintenance person’’ are change in the term. However, but for Consequently, a private car will not be vital to understanding the required clarifying language, FRA is not changing considered ‘‘passenger equipment’’ inspection, testing, and maintenance the underlying definition of what is under the rule when the private car is provisions of the rule. A ‘‘qualified required to be designated as a QMP. being used alone; or used in a train person’’ is a person determined by the The definition contained in this final consisting only of private cars or freight railroad to have the knowledge and rule clarifies the intent of the NPRM by cars, or both. This approach is skills necessary to perform one or more specifically stating that a QMP must be consistent with FRA’s intent in drafting functions required under this part. With properly trained and have a primary the NPRM, and fully incorporates the the proper training, a train crewmember responsibility in the function of trouble- AAPRCO’s and ASLRA’s comments. could be a qualified person. shooting, inspection, testing,
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FRA wishes to continue makes clear that the two overriding properly repair and maintain the safety- this record of careful attention to those qualifications are possession of the critical brake or mechanical components fleets, which will tend to help ensure knowledge required to do the job and a for which the person is assigned that developing problems are identified primary work assignment involving the responsibility. early and are dealt with across those troubleshooting, inspecting, testing, The major concern raised by APTA fleets. maintaining, or repairing the representatives centered on the FRA disagrees with the contentions equipment. requirement contained in the definition raised by APTA representatives that the FRA is also clarifying the meaning of of a QMI that the person’s ‘‘primary definition of QMP violates the ‘‘primary responsibility’’ as used in the responsibility’’ include work in the area Administrative Procedure Act and definition of QMP. As a rule of thumb of troubleshooting, testing, inspecting, exceeds FRA’s statutory authority. FRA will consider a person’s ‘‘primary maintenance, or repair to train brake Contrary to the assertions made by responsibility’’ to be the task that the APTA representatives, the person performs at least 50 percent of systems and other components. These administrative record together with the time. Therefore, a person who commenters believed that anyone who FRA’s independent knowledge of the spends at least 50 percent of the time is properly trained can perform the passenger rail industry do support a engaged in the duties of inspecting, required inspections regardless of the requirement that only a QMP conduct testing, maintenance, troubleshooting, amount of time actually spent engaged Class I brake tests and exterior or repair of train brakes systems and in the activity. The entire concept of mechanical inspections. Except for other mechanical components could be QMP (or QMI) is premised on the idea limited weekend service operated by designated as a QMP, provided the that flexibility in the inspection of Metra, virtually every passenger train person is properly trained to perform passenger equipment, flexibility in the operation affected by this rule currently the tasks assigned and possesses a movement of defective equipment and conducts daily brake and mechanical current understanding of what is slight reductions in periodic inspections utilizing employees who, required to properly repair and maintain maintenance could be provided if the except for training on the requirements the safety-critical brake or mechanical mechanical components and brake of this rule, would meet the definition components for which the person is system were inspected on a daily basis of a QMP. That is, the employees who assigned responsibility. However, FRA by highly qualified individuals. Thus, are currently responsible for conducting will consider the totality of the the requirement that a highly qualified the major daily brake and mechanical circumstances surrounding an person perform certain brake and inspections on virtually all passenger employee’s duties in determining a mechanical inspections is part of a trains meet the ‘‘primary responsibility’’ person’s ‘‘primary responsibility.’’ For package which includes flexibility in requirement contained in the definition example, a person may not spend 50 the performance of brake and of QMP. Therefore, the industry’s percent of his or her day engaged in any mechanical inspections, permits wider current practice acknowledges and one readily identifiable type of activity; latitude in the movement of defective supports the need to conduct daily in those situations FRA will have to equipment, and provides reductions in inspections with employees whose look at the circumstances involved on a the periodic maintenance that is primary responsibility is the case-by-case basis. required to be performed on certain troubleshooting, inspection, testing, The definition of QMP largely rules equipment. Therefore, FRA expects the maintenance, or repair of train brake out the possibility of train crew highly qualified person to be an systems or other mechanical members from being designated as these individual who can not only identify a components. Furthermore, due to the highly qualified inspectors since the particular defective condition but who flexibility provided in this rule for primary responsibility, as defined will have the knowledge and experience conducting brake and mechanical above, of virtually all current train crew to know how the defective condition inspections and moving defective personnel is the operation of trains, and affects other mechanical components or equipment as well as the extension of for the most part, train crew personnel other parts of the brake system and will certain periodic maintenance, FRA do not possess a current understanding have an understanding of what might believes that the current best practices of what is required to properly repair have caused a particular defective of the railroads with regard to brake and and maintain the safety-critical brake or condition. FRA believes that in order for mechanical inspections must be mechanical components that are a person to become highly proficient in maintained, especially as it relates to inspected during Class I brake tests or the performance of a particular task that the quality of the personnel performing exterior calendar day mechanical person must perform the task on a the inspections. inspections. However, contrary to the repeated and consistent basis. As it is FRA further believes that APTA’s contentions raised by APTA there is almost impossible to develop and contention that the definition of QMP nothing in the rule which prevents a impose specific experience violates the Railway Labor Act is due to railroad from utilizing employees who requirements, FRA believes that a a misunderstanding of the definition. are not designated as QMPs from requirement that the person’s primary FRA is not attempting to make any conducting brake and mechanical responsibility be in one or more of the determinations over employee classes or inspections provided those inspections specifically identified work areas and crafts or to interpret collective are not intended to constitute the that the person have a basic bargaining agreements. As was made required Class I brake test or the exterior understanding of what is required to clear in the 1997 NPRM, the definition calendar day mechanical inspection. properly repair and maintain safety- would allow the members of trades Furthermore, the rule provides that critical brake or mechanical components associated with testing and maintenance certain required brake and mechanical
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(Forward-facing end structure of that these are the types of inspections The most general definition is that of a locomotives), the exclusion from the which train crew members are currently ‘‘passenger train.’’ The definition makes definition of ‘‘skin’’ originally included assigned to perform and have been two points very clear. First, the final as part of the definition itself proposed performing effectively for years. rule does not apply to tourist and in the NPRM has instead been Consequently, FRA believes that the excursion railroads; and, second, the incorporated into the appropriate rule inspection requirements and the provisions of the rule do apply to non- text for clarity at § 238.209 and qualification requirements contained in passenger carrying units included in a § 238.409 (Forward end structures of passenger train. this rule are merely a codification of the power car cabs). An important distinction highlighted The last definition that warrants current best practices of the passenger in these definitions is the difference discussion is ‘‘vestibule.’’ FRA intends train industry and are necessary to between a ‘‘long-distance intercity ‘‘vestibule’’ to mean an area of a ensure the continued safety of those passenger train’’ and a ‘‘short-distance passenger car that normally does not operations while providing the industry intercity passenger train.’’ ‘‘Long- contain seating and that is used for some flexibility in the performance of distance intercity passenger train’’ passage between the seating area and certain inspections and in the means a passenger train that provides the side exit doors. The definition of movement of defective equipment as service between large cities more than ‘‘vestibule’’ is important to determine well as providing slight increases in 125 miles apart and is not operated the requirements for side door periodic maintenance for some exclusively in the National Railroad emergency-release mechanisms. For equipment. Passenger Corporation’s (Amtrak) instance, a powered side door in a The term ‘‘running gear defect’’ has Northeast Corridor between Washington vestibule that is partitioned from the been added to the final rule’s list of D.C. and Boston, Massachusetts. ‘‘Short- passenger compartment of a Tier I definitions. A running gear defect is distance intercity passenger train’’ passenger car must have a manual defined as any defective condition means a passenger train that provides override feature as specified in which involves a truck component, a service exclusively on the Northeast § 238.235 by December 31, 1999. propulsion system component, a draft Corridor or between cities that are not Section 238.7 Waivers system component, a wheel or a wheel more than 125 miles apart. This component. This term is important for distinction attempts to recognize the This section sets forth the procedures understanding the restrictions regarding special set of operating conditions on for seeking waivers of compliance with the movement of equipment with other the Northeast Corridor in light of the the requirements of this rule. Requests for such waivers may be filed by any than power brake defects. FRA agrees need to treat long-distance trains interested party. In reviewing such with the comments of railroad differently than short-distance trains. requests, FRA conducts investigations to representatives that the 1997 NPRM Additionally, APTA advised FRA that determine if a deviation from the may have been over-reaching in there are commuter rail systems that general criteria can be made without requiring a qualified mechanical operate trains over 100 miles in distance compromising or diminishing rail inspector to make a determination on a single run, and thus recommended safety. This section has been modified regarding the safety of moving a piece the use of the 125-mile distance in these from that proposed in the 1997 NPRM of defective equipment for any of the definitions. The definition of the term ‘‘in to keep it consistent with the general mechanical components addressed in waiver provisions contained in other this regulation. However, FRA also service’’ is modeled after the definition of that term in the Railroad Freight Car Federal regulations issued by FRA. FRA agrees with the comments submitted by recognizes that circumstances may arise labor representatives that railroads Safety Standards. See 49 CFR 215.5(e). Passenger equipment that is in service when the operation of passenger should not determine what components equipment that does not meet the are considered safety-critical. Therefore, includes passenger equipment ‘‘in passenger service,’’ meaning ‘‘carrying, standards contained in this rule is FRA has modified the movement of appropriate and in the public interest. defective equipment provisions in this or available to carry, fare-paying final rule to require a determination passengers,’’ as well as all other Section 238.9 Responsibility for regarding the safety of moving a piece passenger equipment unless it falls into Compliance one of the following four categories: of equipment by a qualified General compliance requirements are maintenance person (as discussed (a) Is being handled in accordance with contained in this section. Paragraph (a). above) whenever a potential running §§ 238.15, 238.17, 238.305(c)(5), or Paragraphs (a)(1) and (a)(2) prohibit a gear defect is involved. FRA rejects the 238.503(f), as applicable; (b) Is in a repair shop or on a repair track; railroad subject to part 238 from language proposed by APTA that the (c) Is on a storage track and is not carrying committing a series of specified acts defect be a potentially ‘‘safety-critical’’ passengers; or with respect to a train or a piece of running gear defect as FRA believes that (d) Has been delivered in interchange but passenger equipment while the train or any defect to a running gear component has not been accepted by the receiving passenger equipment is in service if it is potentially safety-critical. In order to railroad. has a condition that does not comply avoid confusion, FRA is providing an The term ‘‘in service’’ is important with part 238 or if it has not been explicit definition of running gear because if the train or passenger inspected and tested as required by part defect. In the final rule, FRA is equipment is not in service, it is not 238. In particular, consistent with 49 permitting the use of a qualified person subject to a part 238 civil penalty. U.S.C. chapter 203, paragraph (a)(1) to determine the safety and establish FRA has revised the definition of imposes a strict liability standard with appropriate movement restrictions on ‘‘skin’’ to reflect more appropriately its respect to violations of the safety
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00042 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25581 appliance and power brake provisions For example, private car owners and Section 238.13 Preemptive Effect of part 238. In addition to the acts contract shops that perform duties Section 238.13 informs the public as prohibited by paragraph (a)(2) (that is, covered by these regulations would be to FRA’s views regarding what will be the use, haul, offering in interchange, or required to perform those duties in the the preemptive effect of the final rule. accepting in interchange of defective or same manner as required of a railroad. While the presence or absence of such not properly inspected equipment), Section 238.11 Civil Penalties a section does not in itself affect the paragraph (a)(1) prohibits a railroad preemptive effect of a final rule, it from merely permitting the use or haul This section identifies the civil informs the public about the statutory on its line of such equipment if it does penalties that FRA may impose upon provision which governs the preemptive not conform with the safety appliance any person, including a railroad or an effect of the rule. Section 20106 of title and power brake provisions. See independent contractor providing goods 49 of the United States Code provides § 238.3(b). By contrast, paragraph (a)(2) or services to a railroad, that violates that all regulations prescribed by the imposes a lower standard of liability for any requirement of this part. These Secretary relating to railroad safety using, hauling, delivering in penalties are authorized by 49 U.S.C. preempt any State law, regulation, or interchange, or accepting in interchange 21301, 21302, and 21304. The penalty order covering the same subject matter, a train or passenger equipment that is provision parallels penalty provisions except a provision necessary to defective or not properly inspected, in included in numerous other safety eliminate or reduce an essentially local violation of another provision of this regulations issued by FRA. Essentially, safety hazard that is not incompatible part; a railroad subject to this part is any person who violates any liable only if it knew, had notice, or with a Federal law, regulation, or order requirement of this part or causes the and that does not unreasonably burden should have known of the existence of violation of any such requirement will either the defective condition of the interstate commerce. With the exception be subject to a civil penalty of at least of a provision directed at an essentially equipment or the failure to inspect and $500 and not more than $11,000 per test. Finally, paragraph (a)(3) establishes local safety hazard, 49 U.S.C. 20106 will violation. Civil penalties may be preempt any State regulatory agency a strict liability standard for assessed against individuals only for noncompliance with any other rule covering the same subject matter as willful violations, and where a grossly the regulations in this final rule. provision of this part. negligent violation or a pattern of Paragraph (b). In accordance with the repeated violations creates an imminent Section 238.15 Movement of Passenger ‘‘use’’ or ‘‘haul’’ language previously hazard of death or injury to persons, or Equipment With Defective Power Brakes contained in the Safety Appliance Acts causes death or injury, a penalty not to (49 U.S.C. chapter 203) and with FRA’s This section contains the exceed $22,000 per violation may be requirements for movement of passenger general rulemaking authority under the assessed. In addition, each day a Federal railroad safety laws, FRA in equipment with a power brake defect violation continues will constitute a without civil penalty liability under this paragraph (b) makes clear that passenger separate offense. Furthermore, a person equipment will be considered ‘‘in use’’ part. (Railroads remain liable, however, may be subject to criminal penalties prior to departure but after it receives or ‘‘in a proceeding to recover damages for under 49 U.S.C. 21311 for knowingly should have received the necessary tests death or injury of a railroad employee and willfully falsifying reports required and inspections required for movement. arising from the movement of’’ the by these regulations. FRA believes that FRA will no longer wait for a piece of defective equipment. See 49 U.S.C. the inclusion of penalty provisions for equipment with a power brake defect to 20303(c).) A ‘‘power brake defect,’’ as failure to comply with the regulations is be hauled before issuing a violation, a defined in paragraph (a), ‘‘is a condition important in ensuring that compliance practice frequently criticized by the of a power brake component, or other is achieved. The final rule includes a railroads. FRA believes that this primary brake component, that does not schedule of civil penalties as appendix approach will increase FRA’s ability to conform with this’’ rule. The term does prevent the movement of defective A to this part. Because the penalty not include a failure to properly inspect equipment that creates a potential safety schedule is a statement of policy, notice such a component. hazard to both the public and railroad and comment was not required prior to Labor representatives objected to employees. FRA does not feel that this its issuance. See 5 U.S.C. 553(b)(3)(A). FRA’s determination that the term approach increases the railroads’ burden It should be noted that this section ‘‘power brake defect’’ does not include since equipment should not be operated has been modified slightly from that a failure to inspect such a component. if it is found in defective condition in proposed in the 1997 NPRM. The These commenters claim that FRA’s the pre-departure tests and inspections, modifications were made to address the exclusion of the failure to properly unless permitted by the regulations. statutory requirements contained in the inspect a brake component eliminates Paragraph (c). This paragraph clarifies Federal Civil Penalties Inflation an important means of enforcement FRA’s position that the requirements Adjustment Act of 1990, Pub. L. 101– necessary to ensure that proper power contained in this final rule are 410 Stat. 890, 28 U.S.C. 2461 note, as brake inspections are performed. It is applicable not only to any ‘‘railroad’’ amended by the Debt Collection claimed that by excluding the failure to subject to this part but also to any Improvement Act of 1996, Pub. L. 104– inspect from being a power brake defect, ‘‘person,’’ as defined in § 238.5, that 134, April 26, 1996, which required FRA has eliminated any incentive for performs any function required by this agencies to adjust for inflation the railroads to ensure that trains have final rule. Although various sections of maximum civil monetary penalties operative brakes because there will be the final rule address the duties of a within the agencies’ jurisdiction. little financial repercussion to railroad, FRA intends that any person Consequently, the resulting $11,000 and continuing to use improperly inspected who performs any action on behalf of a $22,000 maximum penalties were equipment. railroad or any person who performs determined by applying the criteria set FRA believes that the concern raised any action covered by the final rule is forth in sections 4 and 5 of the statute by certain labor representatives required to perform that action in the to the maximum penalties otherwise regarding FRA’s definition of ‘‘power same manner as required of a railroad or provided for in the Federal railroad brake defect’’ under this section is due be subject to FRA enforcement action. safety laws. to a lack of understanding of the rule as
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00043 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 25582 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations well as a misunderstanding of the equipment with a power brake defect provision includes situations where a existing regulations. Under the current found during a Class I or IA brake test defect renders the brakes inoperative, power brake regulations the unit of or, for Tier II equipment, the equivalent not just situations where brakes are cut- violation for failure to inspect is the of a Class I or IA brake test. This out. train not individual cars, although FRA paragraph allows railroads the Paragraph (c)(2) requires that can take a separate violation for each car flexibility to move passenger equipment equipment being hauled for repairs be containing a defective condition upon with a power brake defect found during adequately identified. Currently, there is departure after the train received or such a test if the following three no requirement that equipment with should have received an initial terminal conditions are satisfied: (1) If the train defective power brakes be tagged or inspection or for each car not identified is moved for purposes of effecting repair otherwise identified, although most as defective after the performance of an of the defect, without passengers; (2) the railroads voluntarily engage in such intermediate inspection. Moreover, the applicable operating restrictions set activity. Furthermore, the current failure to inspect a piece of equipment forth in paragraph (d) are complied regulations regarding freight cars and cannot be cured through any of the with; and (3) the information locomotives contain tagging provisions contained in this final rule concerning the defect is recorded on a requirements for the movement of regarding the movement of defective tag affixed to the equipment or in an equipment not in compliance with those equipment. Thus, if a railroad fails to automated defect tracking system as parts. See 49 CFR 215.9 and 229.9. inspect a piece of equipment as specified in paragraph (c)(2). Consequently, FRA is requiring the required, the railroad cannot avoid civil Paragraph (b)(2). This paragraph identification of equipment with penalty liability by moving the permits railroads to move, for purposes defective power brakes through either equipment in accordance with the of scrapping or sale, passenger the traditional tags which are placed in movement for repair provisions. equipment with a power brake defect established locations on the equipment Furthermore, the final rule contains found during a Class I or IA brake test or by an automated tracking system specific civil penalties for a railroad’s (or the Tier II equivalent) if each of the developed by the railroad. Certain failure to perform inspections as following conditions is satisfied: if the information must be contained required. Therefore, railroads will also movement is without passengers, if the whichever method is used by a railroad. continue to be subject to potential civil speed of the movement is 15 mph or FRA believes that the tagging or penalty for any car found in defective less, and if the railroad’s air brake or automated tracking requirements add condition after it has performed or power brake instructions are followed reliability, accountability, and should have performed a Class I or Class when making the movement. This enforceability for the timely and proper IA brake test, and for any car not provision allows railroads to move repair of equipment with defective properly moved or identified as surplus equipment without having to power brakes. defective at other times. request permission for one-time moves FRA is retaining the requirement that The final rule also retains the from FRA, as is currently required. FRA equipment found with conditions not in provision stating that passenger has not had any serious safety concerns compliance with this part must be equipment will be considered ‘‘in use’’ with the methods currently used by appropriately tagged or recorded in an prior to departure but after it has railroads to move this equipment and automated tracking system. Although received or should have received an does not believe its limited resources FRA is sensitive to the concerns raised inspection required by this part. See should be tied up in approving these by labor representatives regarding the § 232.9. Thus, FRA inspectors will no types of moves. use of automated tracking systems, FRA longer have to wait until a piece of Paragraph (c), generally. This believes that provisions must be equipment departs a location before paragraph addresses the use of provided to allow railroads to take issuing a civil penalty, a practice passenger equipment with a power advantage of existing and developing continually criticized by both labor and brake defect that develops en route from technologies regarding the electronic railroad representatives. In addition, a location where a Class I or IA brake maintenance and retention of records. this final rule provides FRA inspectors test (or the Tier II equivalent) was Although railroad and FRA inspectors the ability to issue Special Notices for performed on the equipment. The two may require additional training on the Repair, which enable an FRA inspector basic requirements are that, at the use of electronic records, FRA believes to remove an unsafe piece of equipment location where the railroad first finds that the use of such a medium to track from service until appropriate action is the defect, specified information (such defective equipment can expedite the taken by the railroad. See Amendments as the nature of the defect and the identification and repair of defective to 49 CFR part 216. This enforcement destination where the defect will be equipment and, thus, reduce the time tool is not currently available to FRA repaired) must be placed on tags that defective equipment is operated in inspectors in the area of power brakes attached to the equipment or in a passenger service. In response to labor’s and mechanical components on computer tracking system and that the concerns, a new paragraph (c)(3) has passenger equipment and could be used railroad must observe the applicable been added which contains a provision in circumstances where passenger operating restrictions in paragraph (d). giving FRA the ability to monitor and equipment is not inspected prior to A third requirement, found in paragraph review a railroad’s automated tracking being placed in service. Consequently, (c)(4), is a special conditional system and provides FRA the ability to the final rule not only retains all of the requirement, applying only if the defect prohibit or revoke a railroad’s ability to enforcement tools available to FRA causes any brakes to be cut out or utilize an automated tracking system in under the current regulations but renders the brakes inoperative. This lieu of directly tagging defective includes other methods for ensuring provision was slightly modified from equipment if FRA finds that the compliance by the railroads and what was proposed in order to prevent automated tracking system is not provides both a financial and a railroad from avoiding the properly secure, is inaccessible to FRA operational incentive for railroads to requirements contained in this or a railroad’s employees, or fails to properly inspect passenger equipment. subsection by simply not cutting-out an adequately track and monitor the Paragraph (b)(1). This paragraph inoperative brake. Consequently, the movement of defective equipment. addresses the movement for repair of language was modified so that the urthermore, if the automated tracking
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FRA rejects the BRC’s adequately record the information Consequently, FRA intends to require recommendation that passenger trains required by this part, the railroad will the percentage of operative brakes to be with defective brakes be permitted to be in violation of the movement for determined by dividing the number of move no further than the next passenger repair provisions and subject to civil axles in the train with operative brakes station because such a stringent penalty liability. by the total number of axles in the train. requirement is unnecessary, more In addition, under paragraph (c)(4), if Furthermore, for equipment utilizing restrictive than the current statutory the defect causes the brakes on the tread brake units (TBU), FRA requires mandate regarding the movement of equipment to be cut out, then the that the percentage of operative brakes defective brake equipment, and is railroad must first find out what be determined by dividing the number radically counter to the way passenger percentage of the power brakes in the of operative TBUs by the total number trains currently handle defective train are cut out or inoperative in some of TBUs. equipment. other way, using the formula in Paragraphs (d)(2)–(d)(4), generally. FRA is retaining those portions of the paragraph (d)(1). Next, the railroad must These paragraphs contain various speed proposed movement for repair notify the person responsible for the and other operating restrictions based requirements that it believes are fully movement of trains of the percentage of on the percentage of operative brakes in consistent with the existing statutory operative brakes and the movement order to permit passenger railroads the provisions regarding the movement of restrictions imposed by paragraph (d), flexibility to efficiently move passengers equipment with power brake defects inform the railroad’s mechanical without compromising safety. FRA and has revised those that are contrary department about the brake defect, and believes that the movement restrictions to the statutory provisions. Therefore, walk the train to confirm the percentage contained in these paragraphs actually passenger trains operating with 75–99 of operative brakes at the next point enhance the safety of the riding public. percent operative brakes will not be where it is safe to do so. Slight The requirements retain the basic permitted to travel to the next forward modification was made to paragraph principle that a train carrying terminal as proposed, but will be (c)(4)(ii) and (iii) replacing the term passengers shall not depart a location permitted to travel only to the next ‘‘dispatcher’’ with the phrase ‘‘person where major brake inspections or tests forward location where the necessary responsible for the movement of trains’’ are performed on a train unless the train repairs to the brake equipment can be as some railroads do not use the term has 100 percent operational brakes. dispatcher and the term mechanical As previously noted in the general effectuated as mandated in the existing ‘‘desk’’ was removed as it is discussion, FRA has determined that statute. In FRA’s view, all of the other unnecessary and covered by the term some minor changes need to be made to proposed methods for moving defective ‘‘mechanical department.’’ the requirements proposed in the 1997 power brake equipment are consistent Paragraph (d)(1). This paragraph NPRM regarding the movement of with and are in accordance with the explains the term ‘‘inoperative power equipment with defective power brakes. current statutory requirements and will brakes’’ and contains a new method for In order to avoid the legal implications be retained. For example, FRA is calculating the percentage of operative involved with employing the statutory retaining the provision which permits a power brakes (operative primary brakes) authority contained at 49 U.S.C. 20306 passenger train with 50–75 percent in a train. Regarding the term itself, a for exempting equipment from the operative brakes to be moved at reduced cut-out power brake is an inoperative statutory requirements related to safety speeds to the next forward passenger power brake, but the failure or cutting appliances and power brakes, and station. Although the percentage of out of a secondary brake system (as because railroad representatives operative brakes is lower than currently defined in § 238.5) does not result in acknowledged that the flexibility permitted by FRA’s longstanding agency inoperative power brakes. For example, provided through reliance on the interpretation (which FRA believes is failure of dynamic brakes does not exemption is minimal, FRA will not rely fully compensated for by the proposed render a power brake inoperative unless on the statutory exemption provision speed restrictions), FRA believes that the dynamic brakes are in fact primary contained at 49 U.S.C. 20306 in this the movement of the defective brakes. Although the statute discusses final rule and has modified the equipment to the next passenger station the percentage of operative brakes in movement for repair provisions is in accordance with the statutory terms of a percentage of vehicles, the accordingly. requirement as the safety of the statute was written nearly a century ago FRA will retain the exemption passengers must be considered in and at that time the only way to cut out proposed in the 1997 NPRM for determining the nearest location where the brakes on a car or locomotive was passenger train operations from a long- necessary repairs can be made. In to cut out the entire unit. See 49 U.S.C. standing agency interpretation that addition, permitting passenger trains to 20302(a)(5)(B). Today, virtually every prohibits the movement of a train for continue to the next forward location piece of equipment used in passenger repairs under 49 U.S.C. 20303 if less where the necessary repairs can be service can have the brakes cut out on than 85 percent of the train’s brakes are performed is also consistent with the a per-truck or per-axle basis. operative. This interpretation is based statutory requirement as such Consequently, FRA is merely providing on a 1910 ICC order codified at 49 CFR movement is necessary to ensure the a method of calculating the percentage 232.1. FRA believes that this safety of the traveling public by of operative brakes based on the design requirement is overly restrictive when protecting them from the hazards of passenger equipment used today, applied to passenger train operations as incident to performing movements and, thus, a means to more accurately many passenger operations utilize a against the current of traffic and reflect the true braking ability of the small number of cars in their trains and recognizes the hazards incident to train as a whole. FRA believes that the the necessity to cut out the brakes on overcrowding platforms and trailing method of calculation contained in this just one car can easily result in trains. Furthermore, retention of the final rule is consistent with the intent of noncompliance. FRA believes that the movement provisions related to long- Congress when it drafted the statutory retention in this final rule of the distance intercity passenger trains and requirement and simply recognizes the proposed speed restrictions will fully long-distance Tier II equipment is
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00045 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 25584 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations consistent with the current statutory equipment to a location with the en route brake failures resulting in 99 to requirements as these provisions permit facilities to handle the discharge of 85 percent operative brakes at normal the movement of defective brake passengers. Furthermore, engineering speeds, the final rule contains a speed equipment on these trains only to the evidence and test data demonstrate that restriction of no greater than 40 mph next passenger station or the next repair the reduced speed more than when the en route brake failures result location, with various speed restrictions compensates for the reduced braking in 84 to 75 percent operative brakes. depending on the percentage of force. At the reduced speed, even with Therefore, these trains gain flexibility in operative brakes. only 50 percent effective brakes, a train being permitted to move a greater FRA recognizes that there are major is able to stop in a much shorter percentage of defective equipment than differences in the operations of distance than the same train traveling at currently allowed and are able to move commuter or short-distance intercity the maximum operating speed with 100 that equipment to the next forward passenger trains, and long-distance percent operative brakes. repair location rather than the ‘‘nearest’’ intercity passenger trains. Commuter Paragraphs (d)(3)(i) and (ii). FRA will repair location as currently required. and short-distance intercity passenger also permit commuter, short-distance See 49 U.S.C. 20303(a). As noted trains tend to operate for fairly short intercity, and short-distance Tier II previously, FRA believes that the safety distances between passenger stations passenger trains experiencing en route of the traveling public mandates the and generally operate in relatively short brake failures resulting in 99 to 75 flexibility of permitting passenger trains turn-around service between two percent operative brakes to continue in to continue to the next forward repair terminals several times in any given service only to the next forward location location or passenger station because day. On the other hand, long-distance where the necessary repairs can be requiring trains to reverse directions intercity passenger trains tend to effectuated. FRA will permit these and perform back hauls to the nearest operate for long distances, with trips passenger trains to continue in service repair location increases the risk of between the beginning terminal and past a repair location to the next collision on the railroad. ending terminal taking a day or more forward passenger station only if the In this final rule, FRA is retaining the and traversing multiple States with repair location does not have the proposed requirement that operators of relatively long distances between facilities to safely unload passengers. long-distance passenger trains designate passenger stations. Consequently, the However, FRA will require the speed of the locations where repairs can be final rule contains slightly different the train with 84 to 75 percent operative conducted on the equipment. Although requirements with regard to the brakes to be reduced to 50 percent of the FRA agrees that this provision puts the movement of defective brake equipment train’s maximum operating speed or 40 control of what locations constitute in long-distance intercity passenger mph, whichever is less. Engineering repair locations in the hands of the trains. evidence and test data demonstrate that railroad, FRA believes that the operators FRA believes that passenger railroads the reduced speed more than of these long-distance intercity trains can safely and efficiently operate trains compensates for the reduced braking are in the best position to determine with en route brake failures under the force. At the reduced speed, even with which locations have the necessary strict set of conditions in this final rule. only 75 percent effective brakes, a train expertise to handle the repairs of the FRA has long held that the industry can is able to stop in a much shorter somewhat advanced braking systems safely operate trains at normal track distance than the same train traveling at utilized in passenger trains. Due to the speeds with as low as 85 percent the maximum operating speed with 100 unique technologies used on the brake effective brakes as long as the percent operative brakes. APTA also systems of these operations and the inoperative brakes were due to failures presented engineering evidence and test unique operating environments, the which occurred en route or due to data that demonstrated that stopping facilities and personnel necessary to defective cars being picked up en route distances remained well within signal conduct proper repairs on this and being moved for repairs. The only spacing distances with a large margin of equipment are somewhat specialized change in this final rule to current safety even for trains with as low as 85 and limited. Moreover, FRA is retaining practice is the additional flexibility for percent effective brakes. Consequently, the broad performance-based certain passenger operations to move FRA will not impose speed restrictions requirement that railroads operating this their equipment with a lower percentage on trains operating with 85 to 99 equipment designate a sufficient of operative brakes, under strict speed percent operative brakes. number of repair locations to ensure the restrictions, and recognition of the Paragraph (d)(4). This paragraph safe and timely repair of the equipment. safety need to allow passenger trains to contains the operating restrictions on Contrary to the beliefs of some labor move to the nearest forward location moving equipment with defective commenters, FRA believes that this capable of performing the repairs. brakes in long-distance intercity performance standard provides FRA Paragraph (d)(2). This paragraph passenger trains. This paragraph permits sufficient grounds to institute civil contains operating requirements for the the movement of defective brake penalty enforcement actions or take movement of any passenger train that equipment in these trains only to the other enforcement actions if, based on develops en route brake failures nearest forward location designated as a its expertise and experience, FRA resulting in 74 to 50 percent operative repair location for this equipment by the believes the railroad is failing to brakes. In these circumstances, FRA will operating railroad in the list required by designate an adequate number of repair allow the train to proceed only to the § 238.19(d). FRA will also permit long- locations. next passenger station at a reduced distance intercity passenger trains to Furthermore, rather than attempt to speed, not to exceed 20 mph, to continue in service past a designated develop a standard applicable to all discharge passengers before proceeding repair location to the next forward situations in the context of short- without passengers to the nearest passenger station only if the designated distance intercity and commuter trains, location where the necessary repairs can repair location does not have the which FRA does not believe can be be made. This provision recognizes the facilities to safely unload passengers. accomplished, FRA will approach the dangers of unloading passenger at Although FRA is permitting the issue of what constitutes the next locations other than passenger stations continued operation of long-distance forward location where repairs can be by allowing railroads to move the intercity passenger trains that develop effectuated based on a case-by-case
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In making requirements for the use of such cars defective equipment to carry passengers. these determinations both the railroad and paragraph (e) requires that (Compare § 238.17(b) with § 238.17(c).) as well as FRA’s inspectors must appropriate speed restrictions be FRA intends for 49 CFR 229.9 to conduct a multi-factor analysis based on imposed with inoperative brakes on the continue to govern the movement of the facts of each case. In determining front or rear unit and that trains locomotives used in passenger service whether a particular location is a containing equipment with inaccessible which develop defective conditions, not location where necessary repairs can be handbrakes or with handbrakes located covered by part 238, that are not in made or whether a location is the next outside the interior of a car be operated compliance with part 229. Part 229 will forward repair location in a passenger at restricted speed (i.e. 20 mph) and that continue to cover (non-steam) train context, the accessibility of the the defective equipment be removed or locomotives that are used by the tourist location, the ability to safely make the repositioned in the train at the first railroads until such railroads are repairs at that location, and the safety of possible location. The operating covered by part 238. the passengers are the overriding factors restrictions contained in this paragraph After review of the comments that must be considered in any analysis. are consistent with current industry submitted and provided orally at the These factors have a multitude of sub- practice and should not impose any Working Group meetings, FRA is factors which must be considered, such additional burden to the industry. making some modest changes in this as: the type of repair required; the safety It should be noted that the provisions final rule regarding the movement of of employees responsible for conducting contained in 49 U.S.C. 20303(c) equipment with non-power brake the repairs; the safety of employees continue to remain applicable to a defects. FRA agrees with the comments responsible for getting the equipment to railroad when hauling equipment with of railroad representatives that the 1997 or from a particular location; the defective or insecure power brakes or NPRM may have been over-reaching in switching operations necessary to other safety appliances pursuant to the requiring a QMP to make a effectuate the move; the railroad’s recent requirements contained in this final determination regarding the safety of history and current practice of making rule. This section of the statute contains moving a piece of defective equipment repairs (brake and non-brake) at a the liability provisions attendant with for any of the mechanical components particular location; relevant weather the movement of equipment with addressed in this regulation. However, conditions; potential overcrowding of defective or insecure safety appliances, FRA also agrees with the comments passenger platforms; and the including power brakes. submitted by labor representatives that railroads should not determine what overcrowding of trailing trains. Section 238.17 Movement of Passenger components are considered safety- Equipment With Other Than Power Paragraph (e). This paragraph critical. Therefore, FRA will require a Brake Defects contains the operating restrictions on determination regarding the safety of passenger trains with inoperative power This section contains the moving a piece of equipment by a QMP brakes on the front or rear unit of the requirements for the movement of (as discussed above) whenever a train. Similar provisions were contained passenger equipment with a condition potential running gear defect is in the 1997 NPRM and included in each not in compliance with part 238, involved. FRA rejects the language of the various operating restriction excluding a power brake defect and proposed by APTA that the defect be a contained in paragraph (d). In order to including a safety appliance defect, potentially ‘‘safety-critical’’ running make the rule easier to understand, FRA without civil penalty liability under this gear defect as FRA believes that any has added this paragraph to the final part. (Railroads remain liable, however, defect to a running gear component is rule and removed the repetitious under 49 U.S.C. 20303(c), as described potentially safety-critical. In order to language from each of the provisions in the discussion of the previous avoid confusion, FRA is providing an contained in paragraph (d). As noted in section.) explicit definition of ‘‘running gear the general preamble discussion above, As previously noted, there are defect.’’ FRA is defining the term to FRA is slightly modifying the provisions currently no statutory or regulatory mean any condition not in compliance related to the operation of trains with restrictions on the movement of with this part which involves a truck defective brakes on the front or rear car. passenger cars with defective conditions component, a propulsion system In the 1997 NPRM, FRA proposed that that are not power brake or safety component, a draft system component, if the power brakes on the front or rear appliance defects. The provisions a wheel or a wheel component. In this unit become inoperative then a qualified contained in this section are similar to final rule, FRA will permit the use of a person must be stationed at the the provisions for moving defective qualified person to determine the safety handbrake on the unit. See 62 FR 49797. locomotives and freight cars currently and establish appropriate movement FRA recognizes that in some instances contained in 49 CFR 229.9 and 215.9, restrictions on continued use of the handbrake on a car located at the respectively. As these provisions have equipment which involves non-running front or rear of a train may not be generally worked well with regard to the gear defects. accessible to a member of the train crew movement of defective locomotives and In paragraph (b), FRA is providing or may be located outside the interior of freight cars and in order to maintain very limited flexibility to railroads to the car and, thus, unsafe for a crew consistency, FRA has modeled these operate defective equipment from a member to operate while the train is in movement requirements on those location where a calendar day motion. FRA also recognizes that in existing requirements. FRA is allowing mechanical inspection was performed many circumstances when a car at the passenger railroads the flexibility to in order to effectuate repairs. FRA front or rear of a train has inoperative continue to use equipment with non- intends for the calendar day mechanical brakes certain speed restrictions should safety-critical defects until the next inspection to be as comprehensive as be placed on the train; however, FRA scheduled calendar day exterior possible and to be the time when all
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00047 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 25586 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations defective components are identified and requires that the equipment only be repair provisions contained in this repaired. In order to ensure that these moved to the next forward location section and subject to civil penalty daily inspections are performed by where the equipment can be inspected liability. highly qualified inspectors, FRA has by a QMP to verify the description of Paragraph (d) contains a requirement provided the railroads with the defect provided by the on-site that was inadvertently omitted from the considerable flexibility to perform these personnel. Paragraph (c)(2) also permits 1997 NPRM but which is integral to the inspections at locations that are best determinations regarding the continued movement of equipment which has been suited to a quality and comprehensive use of equipment containing non- involved in a derailment. This inspection. Therefore, FRA will permit running gear defects to be made by a paragraph addresses the inspection of the movement of defective equipment qualified person based on a description roller bearings on a car whose truck is from these inspection locations only provided by on-site personnel. In cases involved in a derailment. As the proper with very stringent restrictions. where non-running gear defects are operation and condition of a vehicle’s Equipment containing running gear involved, FRA will not require that the roller bearing is a key element in defects may only be moved from such equipment be inspected at the next ensuring the safe movement of the locations if it is not in passenger service forward location by a qualified person vehicle, FRA believes it is vital that this and is in a non-revenue train. as the safety impact of such defects provision be included in these final Equipment containing non-running gear should be readily identifiable based regulations. The added requirement defects may be moved in a revenue train upon a description by on-site personnel prohibits a railroad from continuing in provided the equipment is locked-out and can be adequately addressed via service a piece of passenger equipment and empty, except that the equipment radio communication. that has a roller bearing whose truck may be used and occupied by a member Paragraph (c)(4) contains the was involved in a derailment unless the of the train crew to the extent necessary requirements for identifying defective bearing is inspected and tested in to safely operate the train. Any defective equipment. This paragraph permits the accordance with the provisions stated. equipment moved from such locations identification and tracking of defective The added provision is identical to the must also be properly identified as equipment in either of two ways. One requirement currently contained in 49 required in paragraph (c)(4) and moved option is to tag the equipment in a CFR § 215.115(b). Although the existing in accordance with any movement manner similar to what is currently provision is applicable to freight cars, restriction imposed. FRA believes these required under § 215.9 for freight cars. virtually every passenger train operation stringent movement restrictions will The second option is to record the follows the provisions contained in that provide railroads limited flexibility to specified information in an automated section prior to returning a piece of move defective equipment to a location tracking system. Although FRA is equipment to service after it was where it can best be repaired but will sensitive to the concerns raised by labor involved in a derailment and, thus, limit a railroad’s desire or ability to representatives regarding the use of should not result in any added burden move defective equipment from these automated tracking systems, FRA to the industry. FRA believes that the inspection locations and will encourage believes that provision must be made to practice is critical to ensuring the the performance of the calendar day allow railroads to take advantage of proper operation of the roller bearing mechanical inspections at locations existing and developing technologies after a derailment occurs and should be where repairs to equipment can be regarding the electronic maintenance incorporated into this final rule. conducted. and retention of records. Although Paragraph (e) contains the special Paragraph (c) contains the railroad and FRA inspectors may statutory restrictions on the movement requirements regarding the movement of require additional training on the use of of passenger equipment with a safety passenger equipment that develops a electronic records, FRA believes that the appliance defect, other than a power condition not in compliance with this use of such a medium to track defective brake defect. FRA does not intend to part, other than a safety appliance equipment can expedite the alter the current statutory requirements defect, while en route to its destination identification and repair of defective contained in 49 U.S.C. 20303 regarding after its calendar day mechanical equipment and, thus, reduce the time the movement of passenger equipment inspection was performed. This that defective equipment is operated in with defective or insecure safety paragraph has been slightly modified passenger service. In response to labor’s appliances. See §§ 238.229, 238.429, from that proposed in the 1997 NPRM concerns, paragraph (c)(5) has been 238.431. Consequently, in paragraph (e), in order to recognize the differing added to this final rule and contains a FRA is requiring that passenger requirements for running rear defects provision which gives FRA the ability to equipment that develops a defective or and non-running gear defects as noted monitor and review a railroad’s insecure safety appliance continue to be in the discussion above. Paragraph (c)(1) automated tracking system and provides subject to all the statutory restrictions retains the requirement that the QMP FRA the ability to prohibit or revoke a on its movement. Under the current may make the determination regarding railroad’s ability to utilize an automated statutory language— the continued use of equipment tracking system in lieu of directly A vehicle that is equipped in compliance containing a potential running gear tagging defective equipment if FRA with this chapter whose equipment becomes defect based on the description finds that the automated tracking system defective or insecure nevertheless may be provided by on-site personnel. Although is not properly secure, is inaccessible to moved when necessary to make repairs FRA recognizes the concerns raised by FRA or a railroad’s employees, or fails ** * from the place at which the defect or labor representatives, FRA believes that to adequately track and monitor the insecurity was first discovered to the nearest the rule must recognize the reality of movement of defective equipment. available place at which the repairs can be current operations and acknowledge the Furthermore, if the automated tracking made— (1) on the railroad line on which the defect fact that mechanical-type personnel are system developed and implemented by or insecurity was discovered; or not readily available at every location a railroad does not accurately and (2) at the option of a connecting railroad on a railroad’s line of road. adequately record the information carrier, on the railroad line of the connecting Furthermore, when such off-site required by this part, the railroad will carrier, if not farther than the place of repair determinations are made the rule be in violation of the movement for described in clause (1) of this subsection.
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49 U.S.C. 20303(a). It should be noted for reporting and tracking equipment electronic automated system but could that the safety appliance requirements defects. Paragraph (a) of this section consist of a written records retention applicable to Tier I equipment merely requires that, for each equipment defect system. Thus, even if a railroad needs references the Railroad Safety discovered by the railroad on equipment two or more years to develop an Appliance Standards (49 CFR part 231); used by the railroad, the system record automated tracking system, the railroad however, FRA has mandated separate the following information: the number could utilize a written tracking system safety appliance requirements for Tier II by which the equipment is identified, while the automated system is being passenger equipment. See §§ 238.429 type of defect, when the defect developed. Virtually all railroads and 238.431. occurred, the determination made by a currently track their defective As noted previously, the statutory qualified person or a qualified equipment by some means; FRA provisions related to the movement of maintenance person on handling the believes that these current methods of equipment with defective or insecure equipment, the name of such person, compiling data could be slightly safety appliances permit the movement any operating restrictions placed on the modified to include—or already of such equipment to the nearest equipment, and finally how and when include—all of the information required location where the necessary repairs can the defect was corrected. FRA has not by this section. be made. The determination of what identified any specific method or means Paragraph (b) requires that railroads constitutes the nearest location where by which a railroad should gather and maintain the required information for a the necessary repairs can be effectuated maintain the required information. FRA period equal to one periodic in a safety appliance context is identical believes that each railroad is in the best maintenance interval for each specific to the analysis required when dealing position to determine the method of type of equipment. FRA believes that with a power brake defect. In making obtaining the required information this minimum retention period will these determinations both the railroad which is most efficient and effective ensure that the records remain available as well as FRA’s inspectors must based on its specific operation. Thus, when they are most needed, but will not conduct a multi-factor analysis based on railroads could maintain this place a burdensome record storage the facts of each case. In determining information either in some type of requirement on railroads. However, FRA whether a particular location is a written medium or electronically in strongly encourages railroads to keep location where necessary repairs can be conjunction with some type of these records for longer periods of time made or whether a location is the automated tracking system. because they form the basis for future nearest repair location in a passenger FRA believes that the reporting and reliability-driven decisions concerning train context, the accessibility of the tracking of defective equipment is an test and maintenance intervals. location, the ability to safely make the essential feature of any effective system repairs at that location, and the safety of safety program. Railroad managers are In paragraph (d), FRA retains the the passengers are the overriding factors able to utilize such systems to ensure previously proposed requirement that that must be considered in any analysis. that the railroad complies with safety railroads operating long-distance These factors have a multitude of sub- regulations, does not use unsafe passenger trains and Tier II passenger factors which must be considered, such equipment, makes needed repairs, and equipment maintain a list of the as: the type of repair required; the safety has failure data to make reliability-based locations where repairs can be made to of the passengers if a move against the decisions on maintenance intervals. the equipment’s power brake current of traffic is conducted; the safety Furthermore, most passenger railroads components. Although FRA agrees that of employees responsible for conducting currently have some sort of reporting this provision puts the control of what the repairs; the safety of employees and tracking system in place. FRA locations constitute repair locations in responsible for getting the equipment to recognizes that some railroads may have the hands of the railroad, FRA believes or from a particular location; the to incur additional initial costs to that the operators of these long-distance switching operations necessary to develop or improve defect reporting and intercity trains and Tier II passenger effectuate the move; the railroad’s recent tracking systems; however, FRA equipment are in the best position to history and current practice of making believes these costs can be recouped determine which locations have the repairs (brake and non-brake) at a through the increased operating necessary expertise to handle the repairs particular location; relevant weather efficiency that an effective recording of the somewhat advanced braking conditions; potential overcrowding of and tracking system provides. systems utilized in these passenger passenger platforms; and the Paragraph (a) makes clear that trains. Due to the unique technologies overcrowding of trailing trains. railroads have this tracking system in used in the brake systems of these Therefore, in many circumstances trains place within 26 months after operations and the unique operating will be permitted to continue to the next publication of the final rule in the environments, the facilities and forward location where the necessary Federal Register. APTA recommended personnel necessary to conduct proper repairs can be performed as such that railroads be provided a two-year repairs on this equipment are somewhat movement is necessary to ensure the phase-in period for this requirement to specialized and limited. Moreover, this safety of the traveling public by become effective. As the requirements final rule retains the broad performance- protecting them from the hazards for tracking defective equipment are based requirement that railroads incident to performing movements contingent on completion of a railroad’s operating this equipment designate a against the current of traffic. training of its employees, FRA will sufficient number of repair locations to provide the same time period for ensure the safe and timely repair of the Section 238.19 Reporting and Tracking implementation of the reporting and equipment. Contrary to the beliefs of Defective Equipment tracking system. However, FRA believes some labor commenters, FRA believes This section contains the reporting that APTA’s recommendation was based that this performance standard provides and tracking requirements that on a misunderstanding that the defect FRA sufficient grounds to institute civil passenger railroads must maintain tracking system had to be an automated penalty enforcement actions or take regarding defective passenger electronic system. As the previous other enforcement actions if, based on equipment. FRA is requiring that each discussion makes clear, the defect its expertise and experience, FRA railroad develop and maintain a system tracking system need not be an believes the railroad is failing to
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The risk assessment performing a comparative risk Section 238.21 Special Approval demonstrated that proposed assessment and establishing that the Procedure countermeasures such as enhancements operation provides equivalent safety is This section contains the procedures to the train control system and the on the entity proposing to operate to be followed when seeking to obtain increased structural strength and the equipment that does not fully comply FRA approval of an alternative standard crash energy management design of the with the standards in subpart C. under §§ 238.103 (fire safety), 238.223 HST should compensate for the (fuel tanks), 238.309 (periodic brake increased operating speed. The Section 238.23 Information Collection equipment maintenance), 238.311 comparative risk assessment This provision shows which sections (single car test), 238.405 (longitudinal quantitatively showed that, with the of this part have been approved by the static compressive strength), or 238.427 safety improvements included in the Office of Management and Budget (suspension system); for approval of Amtrak plan, passengers were no more (OMB) for compliance with the alternative compliance under § 238.201 at risk travelling on the HST at 150 mph Paperwork Reduction Act of 1995. See (covers structural standards other than on the Northeast Corridor than if they 44 U.S.C. 3501 et seq. A more detailed the static end strength requirement); and were travelling on an existing Amtrak discussion of the information collection for special approval of pre-revenue passenger train at a lesser speed on the requirements in this part is provided service acceptance testing plans as same corridor. below. required by § 238.111. Procedures for The second instance is the proposed obtaining FRA approval of inspection, Florida Overland Express (FOX) Subpart B—Safety Planning and General testing, and maintenance programs for operation of a French TGV high speed Requirements Tier II equipment under § 238.503 are rail system in Florida that was being Section 238.101 Scope found at § 238.505. FRA has revised this considered until January 1999. The section in the final rule from that which State of Florida has withdrawn its This subpart contains safety planning was proposed in the NPRM, consistent support for the project, and work on the requirements and other generally with other changes made in the final project has ceased. Nonetheless, FOX applicable requirements for all rule. had performed a comparative risk passenger equipment subject to this FRA intends to entertain petitions for assessment of three operations: the HST part. alternative compliance under § 238.201 on the Northeast Corridor, the TGV on Section 238.103 Fire Safety. to allow operation of equipment that high speed lines in France, and the complies with the static end strength proposed FOX operation in Florida. See This section contains the fire safety requirement (§ 238.203) but does not FRA Docket: RM Pet. 97–1. The analysis planning and analysis requirements for fully comply with the other final showed the TGV operation in France to passenger equipment, as well as the standards in subpart C of part 238, pose less risk to passengers than the requirements for the materials used in provided the petitioner can demonstrate HST on the Northeast Corridor, and the passenger equipment. This section is ‘‘equivalent safety’’ in that the proposed FOX operation to be even comprised of parts of proposed sections equipment will operate at a level of safer than the TGV in France. The FOX 238.105 and 238.115 in the NPRM, safety that is at least equivalent to that risk assessment suggested that collision which FRA has combined together in afforded by the provision(s) of subpart avoidance provided by a dedicated this final rule as APTA had suggested in C for which alternate compliance is right-of-way with no grade crossings its comments. sought. Equivalent safety may be more than compensated for the Paragraph (a)(1) contains the fire afforded by features or measures that increased speed and decreased safety requirements for materials used compensate for equipment that does not structural strength of the proposed in constructing passenger cars and cabs meet such standard(s) on its own. equipment. Equivalent safety is met when railroad FRA cites these two instances as of locomotive ordered on or after employees, passengers, and the general examples of what is expected to September 8, 2000, or placed in service public are no more at risk from demonstrate equivalent safety for for the first time on or after September passenger equipment that does not proposed operations when a petition for 9, 2002. Such materials shall comply specifically meet the requirement(s) for alternative compliance is submitted in with the test performance criteria for which alternative compliance is sought, accordance with § 238.201. Any such flammability and smoke emission but is protected by compensating analysis would need to be predicated on characteristics as specified in Appendix features or measures, than when the a detailed engineering analysis of the B to this part, or alternative standards equipment specifically complies with crashworthiness of the vehicles issued or recognized by an expert the requirement(s) itself. proposed to be employed, permitting consensus organization after special FRA recommends that the risk FRA to assess the gap in safety between approval of FRA’s Associate assessment portion of a railroad’s those vehicles and equipment built to Administrator for Safety under the system safety program be used to the specific requirements of subpart C. procedures specified in section 238.21. demonstrate equivalent safety. The FRA would also expect an analysis Paragraph (a)(1) is based on proposed burden would be on the petitioning showing the effectiveness of clearly § 238.115(a)(1) in the NPRM. See 62 FR railroad to perform a comparative risk compensating features or measures, 49803. assessment and to prove equivalent such as closing grade crossings, In the final rule, paragraph (a)(1) safety. FRA has experience with two providing absolute separation of lighter expressly applies to materials used in instances involving different passenger rail equipment from heavy rail constructing a passenger car or a equipment operations where a equipment, or using highly capable locomotive cab, unlike the wording of comparative risk assessment has been signal and train control systems that proposed § 238.115(a)(1) in the NPRM, used successfully. Amtrak significantly reduce the probability of see 62 FR 49803, which expressly commissioned a comparative risk accidents caused by human error. FRA applied to all materials used in assessment between current Northeast would provide advice and guidance to constructing the interior of a passenger
VerDate 06-MAY-99 17:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00050 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm03 PsN: 12MYR2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25589 car or a locomotive cab. As proposed in date of the final rule. APTA’s suggested characteristics, when such materials are the NPRM, of course, such materials rule text did not contain an outside found but not intended to be replaced were required to meet the test limit on the placement in service of new during the railroad’s rebuilding, performance criteria for flammability passenger equipment not meeting the refurbishment, or overhaul of that and smoke emission characteristics requirements of paragraph (a)(1), vehicle. Of course, such non-compliant contained in Appendix B to part 238, although ordered within the permitted materials may be required to be see 62 FR 49823–4, or alternative time. However, FRA believes that an removed from the vehicle pursuant to standards after FRA approval. FRA has outside limit on the placement in the fire safety analyses required under removed the word ‘‘interior’’ from this service of new passenger equipment not paragraph (d) of this section; yet, again, paragraph in the final rule because its meeting the requirements of this section the requirements of paragraph (a)(2) do use is inconsistent with the needs to be retained so as not to delay not specifically require such removal. requirements of part 238 as a whole. In unnecessarily the implementation of the FRA believes that deferring the the NPRM, proposed Appendix B itself rule. implementation of this provision for one provided test performance criteria for a Under paragraph (a)(2), on or after year, as recommended by APTA, is category of materials entitled, ‘‘Exterior November 8, 1999 materials introduced therefore not necessary for railroads in Plastic Components’’; specifically, ‘‘End into a passenger car or a locomotive cab, light of this section’s clearly defined Cap’’ and ‘‘Roof Housings’’ under the during any kind of rebuild, application. function of material column in the table. refurbishment, or overhaul of such As noted above in the discussions of Further, proposed Appendix B passenger equipment, shall meet the test paragraphs (a)(1) and (a)(2), railroads separately provided test methods and performance criteria for flammability can request FRA approval to utilize performance criteria for a function of and smoke emission characteristics as alternative standards issued or material termed ‘‘Exterior Boxes’’ under specified in Appendix B, or alternative recognized by an expert consensus the category entitled, ‘‘Component Box standards after FRA approval as organization in lieu of complying with Covers.’’ As expressed in the NPRM, specified in this rule. Originally, FRA the test performance criteria for FRA intended that ‘‘exterior’’ materials proposed that the test performance flammability and smoke emission used in constructing passenger cars and criteria for flammability and smoke characteristics as specified in Appendix locomotive cabs comply with test emission characteristics apply as of the B. A railroad must make such a request performance criteria for flammability effective date of the final rule to pursuant to the procedures in § 238.21. and smoke emission characteristics. materials used in refurbishing passenger Paragraph (b) requires railroads to In the final rule, materials used in car and locomotive cab interiors. FRA obtain certification that a representative constructing passenger cars and has removed the express reference to sample of combustible materials to be locomotive cabs are required to meet the passenger car and locomotive cab used in constructing passenger cars and test performance criteria for interiors for the reasons stated in the locomotive cabs (pursuant to paragraph flammability and smoke emission above discussion of paragraph (a)(1). (a)(1)) or introduced into such characteristics as specified in Appendix In response to the NPRM, APTA equipment as part of any kind of B, or alternative standards after FRA commented that it may support a rule rebuild, refurbishment, or overhaul of approval. As a result, with the exception requiring the materials selection criteria the equipment (pursuant to paragraph of any alternative standards approved to be used when the interiors of existing (a)(2)) have been tested and comply by FRA, the terms of Appendix B govern passenger equipment are refurbished, if with the fire safety requirements which testing of materials is, or is not, the term refurbish were carefully specified in this part. Paragraph (b) is required as a threshold inquiry. defined in the Working Group meetings. based on § 238.115(b) in the NPRM. Whether materials are physically In either case, APTA recommended that FRA has modified the certification located on the exterior or in the interior this provision should apply as of one requirement following a comment by of a passenger car, for example, such year following the effective date of the APTA on the NPRM that the materials are subject to testing for final rule. FRA has refined paragraph certification be based on a flammability and smoke emission (a)(2) to address APTA’s concern: representative sample of the characteristics if so required by the Simply put, if material is introduced combustible materials used. In response terms of Appendix B. Overall, FRA into passenger cars and locomotive cabs to another APTA comment, FRA has believes that the final rule more during any kind of rebuild, also clarified that the certification be appropriately specifies the flammability refurbishment, or overhaul of the based on the results at the time the and smoke emission testing equipment, the material must comply materials were tested. requirements for materials used in with the test performance criteria for Paragraph (c) requires each railroad to constructing passenger cars and flammability and smoke emission address the fire safety of new equipment locomotive cabs, without unnecessarily characteristics as specified in Appendix during the design stage so as to reduce burdening railroads. In particular FRA B, or alternative standards after FRA the risk of harm due to fire to an notes that, unlike the NPRM, Appendix approval. For example, if a seat or a acceptable level using MIL–STD–882C B in the final rule provides express section of a wall is replaced, then the as a guide or another such formal exceptions from the need to test materials used to replace those methodology. (A copy of MIL–STD– materials used in constructing passenger components (including an individual 882C has been placed in the public cars and locomotive cabs under certain seat cushion) must comply with the test docket for this rulemaking.) To this end, conditions. (See the section-by-section performance criteria for flammability the rule requires that each railroad analysis discussion of Appendix B to and smoke emission characteristics as complete a written analysis of the fire part 238, explaining the changes to specified in Appendix B, or alternative safety problem and ensure that good fire Appendix B.) standards after FRA approval. However, protection practice is used during the In its comments on the NPRM, APTA paragraph (a)(2) does not in itself design of the equipment. This paragraph recommended that the requirements of require a railroad to remove existing is based on proposed § 238.105(a) and paragraph (a)(1) apply to passenger cars materials from a vehicle that do not (b) in the NPRM. See 62 FR 49800. and cabs of locomotives ordered on or comply with test performance criteria Booz-Allen & Hamilton, Inc. (Booz- after one year following the effective for flammability and smoke emission Allen) commented that the risk
VerDate 06-MAY-99 17:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00051 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm03 PsN: 12MYR2 25590 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations acceptance level be clarified. It stated AMTRAK Train 29 Near Silver Spring, passenger equipment to be applied to all that MIL–STD–882C does not define a Maryland on February 16, 1996.’’) The categories of existing passenger risk acceptance level itself, and it NTSB noted that some materials taken equipment. APTA commented that the believed each individual railroad from a MARC car not involved in the need for a program of this type has not should determine that level based on its fire that resulted from the collision been demonstrated, and that neither own operating experience, fleet life, ‘‘failed current flammability and smoke statistics nor other evidence has been operating conditions, and other factors. emissions testing criteria,’’ and that the presented to show that non fuel-fed FRA recognizes that MIL–STD–882C materials in the actual cab control car equipment fires are a serious cause of does not define a specific acceptance involved in the collision ‘‘also most injury or death in the passenger railroad level itself. Yet, the Standard leads a likely would have failed’’ to meet the industry. APTA added that, unlike a fire railroad through the steps necessary to testing criteria. (NTSB/RAR 97/02 at safety analysis of new equipment, where determine an acceptance level, and the 63.) The NTSB did note, however, that design flexibility exists to correct in an railroad is in the best position to make had the materials met current economical manner any deficiencies that determination. FRA notes that performance criteria, the outcome uncovered by the analysis, costs to Booz-Allen also submitted a number of would not have been any different modify existing equipment can be an other comments on the elements on the because of the presence of diesel fuel order of magnitude higher. Overall, fire safety analyses required by the rule, sprayed into the cab control car. Id. APTA believed the impact of the and FRA has incorporated several of Overall, the NTSB found that because proposal to be great due to the expense these comments in whole and in part. other commuter passenger cars may also of retrofitting equipment, although it Paragraph (d) requires that existing have interior materials that may not was unable to quantify the exact impact passenger equipment and operations be meet specified performance criteria for without performing the fire safety subjected to a fire safety analysis similar flammability and smoke emission analyses necessary to determine what to that proposed for new equipment in characteristics, the safety of passengers modifications needed to be done to paragraph (c). This paragraph is based in those cars could be at risk. equipment. Booz-Allen also commented on proposed § 238.105(d) in the NPRM. FRA agrees with the NTSB that steps that the rule will not be cost-effective See 62 FR 49801. A preliminary fire must be taken to minimize fire safety for existing passenger equipment that safety analysis would be required vulnerabilities in the existing rail has less than 5 years of service life. passenger equipment fleet. Present fire within the first year. This effort would FRA recognizes the concern that constitute an overview of the fleet and safety guidelines are advisory and were not introduced by FRA until 1984. Even retrofitting existing passenger service environments, together with equipment may impose considerable known elements of risk (e.g., tunnels). in recent years, passenger railroads have been free to utilize non-compliant cost, and FRA neither proposed nor is For any category of equipment and requiring that materials not complying service identified as possibly presenting materials (particularly during interior refurbishment funded locally without with the test performance criteria for unacceptable risk, a full analysis and flammability and smoke emission any necessary remedial action would be FTA support). It is appropriate for each commuter authority and Amtrak to characteristics be removed in every required within the following year. A instance from existing passenger full fire safety analysis, including evaluate the mix of materials, possible sources of ignition, and potential fire equipment, if such materials are found review of the extent to which materials during a fire safety analysis. in all existing cars comply with the test environments—including tunnels, cuts and elevated structures where Accordingly, each railroad is afforded performance criteria for flammability evacuation to the outside of the vehicle the flexibility of reducing an and smoke emission characteristics may be difficult or ineffectual in unacceptable safety risk uncovered contained in Appendix B to this part or reducing the risk of injury—relevant to during an analysis of its equipment by alternative standards approved by FRA the risk of injury due to fire or smoke the best means it sees fit. However, FRA under this part, would be required exposure. is reluctant to withhold application of within 4 years. This overall review FRA is concerned in particular with this provision to equipment with less would closely parallel and reinforce the the risk arising from the operation of cab than a specified service life. First, the passenger train emergency preparedness cars forward and MU locomotives. Due practical question exists whether the planning effort mandated under a to their position in the lead of a service life of a vehicle can be specified separate docket (see 63 FR 24630; May passenger train, these vehicles are more in fact, considering the ability to extend 4, 1998). greatly exposed to the risk of fire from a vehicle’s life by rebuilding and the Paragraph (d) responds to NTSB collisions with other rail vehicles as possibility of its sale to other railroads. concerns following its investigation of well as highway vehicles at grade Second, FRA believes that a preliminary the collision involving a MARC crossings. In a collision, fire may erupt fire safety analysis of all passenger commuter train with Amtrak’s Capitol from the fuel tanks of both the rail and equipment is necessary to determine Limited at Silver Spring, Maryland, on highway vehicles, and also from tanks whether any passenger equipment may February 16, 1996. Among 13 used by highway vehicles that transport present an unacceptable safety risk for recommendations addressed to FRA was loads of flammable material. The level passengers and crewmembers, the following: of risk on each railroad corresponds to regardless of the age of the vehicle. If an Require that a comprehensive inspection of the number of highway-rail grade unacceptable risk is in fact found and all commuter passenger cars be performed to crossings, density of rail traffic, and the railroad had intended on retiring the independently verify that the interior opportunities for collisions. equipment in the near future, the materials in these cars meet the expected FRA requested comments on the costs railroad can evaluate for itself whether performance requirements for flammability and benefits associated with the it is more economical to retire the and smoke emissions characteristics. approach contained in paragraph (d). equipment or correct the safety (R–97–20) (NTSB/RAR–97/02, APTA commented that there would be deficiency. Further, considering the ‘‘Collision and Derailment of Maryland little safety benefit to commuter historical record of fires on passenger Rail Commuter MARC Train 286 and railroads, and potentially great cost, in equipment, FRA does not expect National Railroad Passenger Corporation requiring the fire safety program for new railroads to find widespread fire safety
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00052 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25591 problems on the equipment it operates, Section 238.105 Train Hardware and (c) specifies that, for purposes of and thus FRA would expect that most Software Safety complying with this section, such of the time a preliminary fire safety This section applies to train hardware software shall be considered safety- analysis would be all that is necessary. and software used to control or monitor critical unless a completely redundant, In its comments on the NPRM, Booz- safety functions in passenger equipment failsafe, non-software means to provide the same function is provided. The Allen questioned whether the fire safety ordered on or after September 8, 2000, requirements of this paragraph were analysis of existing equipment would and such components implemented or principally drawn from § 238.107(a) and include consideration of nonmetallic materially modified in new or existing passenger equipment on or after (b) of the NPRM. See 62 FR 49801. FRA and noncombustible materials. FRA notes that the final rule omits proposed believes that such consideration is September 9, 2002. Inclusion of these requirements in passenger equipment § 238.107(c) in the NPRM as a separate necessary because, for example, floor provision in this rule. See id. However, tiles or other non-metallic materials may reflects the growing role of automated systems to control or monitor passenger in complying with paragraph (c) of the have coatings that may emit gas in a fire. final rule, a railroad must necessarily Booz-Allen also commented that the fire train safety functions. This section represents the merger of ensure that software safety requirements risk of equipment depends on the proposed sections 238.107 (‘‘Software are specified in its contracts for the ignitability of the materials, and, safety program’’) and 238.121 (‘‘ Train purchase of the software. The railroad accordingly, ignitability tests should be system software and hardware’’) in the must further retain documentation to included as part of the performance NPRM. Although FRA received no show that the software was criteria. FRA believes the ignitability of particular comments on these sections manufactured to the design criteria materials is sufficiently addressed by in response to the NPRM, FRA specified pursuant to this section and the test performance criteria for determined that these sections should that all required testing was performed. flammability and smoke emission be combined to make the requirements However, verification and validation of characteristics found in Appendix B to of the final rule more concise and clear. control systems by an independent this part. Paragraph (a) requires the railroad to entity is not required by this rule, nor is a fully quantitative proof of safety In the end, FRA believes the concern develop and maintain a written hardware and software safety program mandated by this rule, as neither was of the commenters as to the expense of proposed. paragraph (d) is overestimated. A to guide the design, development, testing, integration, and verification of Paragraph (d) specifies that hardware railroad is not required to replace non- and software that controls or monitors compliant materials in every instance, if computer software and hardware that controls or monitors passenger safety functions shall include design such materials are found, and that has equipment safety functions. In features that result in a safe condition in been made clear in the rule text. Neither preparing this paragraph of the final the event of a computer hardware or has FRA specified that the railroad rule, FRA essentially combined the software failure. Such design features perform a fire safety analysis equivalent requirements proposed in § 238.107(a), are used in aircraft, as well as in to that required for new equipment and § 238.121(a) of the NPRM. See 62 weapon control systems, to ensure their under paragraph (c). FR 49801, 49803. Paragraph (b) states safety. In the case of primary braking As a final point FRA notes that, that the hardware and software safety systems, electronic controls must either following its investigation of the Silver program shall be based on a formal fail safely (resulting in a full service Spring, Maryland, passenger train safety methodology that includes a brake application) or access to full collision, the NTSB also found that Failure Modes, Effects, Criticality pneumatic control must be provided. As Federal guidelines on the flammability Analysis (FMECA); full verification and clarified, this provision was proposed in and smoke emission characteristics and validation testing for all hardware and § 238.121(c) of the NPRM. See 62 FR the testing of interior materials do not software that controls or monitors 49803. provide for the integrated use of equipment safety functions, including Paragraph (e) makes clear that the passenger car interior materials and, as testing for the interfaces of such railroad shall comply with the elements of its hardware and software safety a result, are not useful in predicting the hardware and software; and program that affect the safety of the safety of the interior environment of a comprehensive hardware and software passenger equipment. Failure to carry passenger car in a fire. (NTSB/RAR–97/ integration testing to ensure that the out a provision unrelated to the safety 02, at 74) FRA believes that existing fire software functions as intended. A formal safety analysis that includes full of the equipment is not implicated by safety guidelines have continuing value verification testing is standard practice this section, so as not to unnecessarily for their specific purpose. Those for safety systems that contain software restrict the flexibility of the railroad. guidelines are being codified, as revised, components. Hardware and software FRA adapted this requirement from that in this final rule as the best currently integration testing ensures that the proposed in § 238.107(d) of the NPRM. available criteria for analysis of hardware and the software installed in See 62 FR 498901. individual materials. As noted above, the hardware function together as Overall, the requirements of this FRA is conducting research through intended. This testing is common section reflect good practices that have NIST to address the interaction of practice for safety control systems that led to reliable, safe computer hardware materials and other aspects of fire safety include both software and hardware and software control systems in other from a broader, systems approach. This components. The requirements found in industries. Computer hardware and philosophy is embodied in part in paragraph (b) arise in particular from software systems designed to these paragraph (c) with respect to new § 238.121(a) and (b) of the NPRM. See requirements may require a larger initial equipment. Based on this ongoing 62 FR 49803. investment to develop, but experience research and industry fire safety efforts, Paragraph (c) focuses on ensuring the in other industries has shown that this FRA expects to propose new fire safety safety and reliability of software that investment is quickly recovered by standards in the second phase of this controls or monitors passenger significantly reducing hardware and rulemaking. equipment safety functions. Paragraph software integration problems and
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00053 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 25592 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations minimizing trouble-shooting and creation of these plans, FRA did not periodic mechanical inspection debugging of equipment. intend to enter into the area of requirements contained in § 238.307(b). addressing employee safety while Consequently, FRA has moved the § 238.107 Inspection, Testing, and conducting the inspections, tests, and general conditions maintenance interval Maintenance Plan maintenance covered by the plans. FRA provisions previously addressed in this This section contains the general is always concerned with the safety of section to the specific inspection provisions requiring railroads to employees while conducting their requirements contained in subpart D of develop detailed plans for inspecting, duties, but employee safety in this final rule. testing, and maintaining Tier I maintenance and servicing areas equipment. (The inspection, testing, and Section 238.109 Training, generally falls within the jurisdiction of Qualification, and Designation Program maintenance plan for Tier II equipment the United States Department of Labor’s is covered under § 238.503.) FRA’s goal Occupational Safety and Health This section contains the training, is for railroads to develop a set of Administration (OSHA). It is not FRA’s qualification, and designation standards to ensure that equipment intent to oust OSHA’s jurisdiction with requirements for workers (that is, both remains safe and operates properly as it regard to the safety of employees while railroad employees and contractors as wears and ages, and to provide enough performing the inspections, tests and defined in the section) who perform flexibility to allow individual railroads maintenance required by this part, inspection, testing, and maintenance to adapt the maintenance standards to except where FRA has already tasks. FRA believes that worker training, their own unique operating addressed workplace safety issues, such qualification, and designation are environment. as for blue signal protection. Therefore, central to a safe operation. Paragraph (b) requires a railroad that in order to prevent any uncertainty as to Paragraph (a) requires railroads to adopt and comply with a training, operates Tier I passenger equipment FRA’s intent, FRA has modified this qualification, and designation program subject to this part to develop and section by eliminating any language or for employees and contractors who provide to FRA, if requested, particulars provision which could have been perform safety-related inspection, about its inspection, testing, and potentially perceived as displacing the testing, or maintenance tasks under this maintenance plan for that equipment, jurisdiction of OSHA and has added a part. ‘‘Contractor,’’ in this context, including the following: specific clarification that FRA does not • means ‘‘a person under contract with Inspection procedures, intervals intend for the plan required by this the railroad or an employee of a person and criteria; section to address employee safety • under contract with the railroad to Testing procedures and intervals; issues that arise in the course of • Scheduled preventive maintenance perform any of the tasks required by this conducting the inspections and tests intervals; part.’’ FRA intends for the training, • Maintenance procedures; and described. Consequently, the specific qualification, and designation • Training of workers who perform elements that FRA proposed to be requirements to apply not only to the tasks. included in the inspection, testing, and railroad personnel but also to contract Since FRA does not dictate the exact maintenance plan have been eliminated personnel that are responsible for contents of the plan, individual for the reasons noted above and because performing brake system inspections, railroads retain much flexibility to tailor they were merely duplicative of the maintenance, or tests required by this the plan to their individual needs and general requirements contained in part. FRA believes that railroads are in experience. At the same time, FRA paragraph (b) and are unnecessary. the best position to determine the believes this requirement is important It should also be noted that the precise method of training that is and will cause railroads to re-examine general inspection, testing, and required for the personnel they elect to their inspection, testing, and maintenance requirements previously use to conduct the required brake maintenance procedures to determine proposed in the 1997 NPRM at system inspections, tests, and that they are adequate to ensure that the paragraph (b) of this section (62 FR maintenance. Although FRA provides safety-related components of their 49801–802) and the maintenance railroads with broad discretion to equipment are not deteriorating over interval requirements proposed at develop training programs specifically time. This approach represents good paragraph (c) have been removed from tailored to the type of equipment they business practice and in most cases this section in this final rule. The operate and the personnel they employ, merely formalizes what passenger conditions and components previously FRA will expect railroads to fully railroads are already doing. However, proposed in paragraph (b) of this section comply with the training and FRA believes this section will provide have been moved to the periodic qualification plans they develop. This valuable guidance to regional mechanical inspection contained in section has been amended slightly from governments or coalitions attempting to § 238.307(c). As the conditions that proposed in the 1997 NPRM in establish new commuter rail service. previously proposed in this paragraph order to stress that a critical component Paragraph (c) makes clear that the were intended to ensure that the of this training is ensuring that a inspection, testing, and maintenance railroads had an inspection scheme in railroad’s employees are aware of the plan required by this section should not place to ensure that all systems and specific Federal requirements that include procedures to address employee components of the equipment are free of govern their work. Currently, many working conditions that arise in the conditions that endanger the safety of railroad training programs fail to course of conducting the inspections, the crew, passengers or equipment, FRA distinguish Federal requirements from tests, and maintenance set forth in the believes that a specific inspection company policy. plan. FRA intends for the plan required interval would be better suited to Paragraph (b) contains a series of by this section to detail only those tasks address the general condition of the general requirements or elements which required to be performed in order to equipment and ensure the safety of must be part of any training and conduct the inspections, tests, and railroad employees, passengers and qualification plan developed and maintenance necessary to ensure that equipment. In addition, the implemented by a railroad. FRA the equipment is in safe and proper maintenance interval requirements have believes that the elements contained in condition for use. In proposing the been modified and moved to the this section are specific enough to
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00054 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25593 ensure high quality training while being perfectly suited to provide much of the inspection, testing, and maintenance of sufficiently broad to permit a railroad to ‘‘hands-on’’ training envisioned by FRA. train brake systems. This paragraph also develop a training plan that is best Consequently, FRA strongly suggests makes clear that the records maintained suited to its particular operation. This that railroads work in partnership with by a railroad contain sufficient detail paragraph requires each railroad to their employees to develop a training regarding the training provided in order identify the specific tasks related to the program which utilizes the knowledge, for FRA to ascertain the basis for the inspection, testing and maintenance of skills, and experience of the employees railroad’s determination. the brake systems operated by that to the greatest extent possible. FRA believes that many benefits can railroad, develop written procedures for This paragraph specifically requires be gained from this increased performing those tasks, identify the that employees pass either a written or investment in training. Better skills and knowledge necessary to oral examination covering the inspections will be performed, resulting perform those tasks, and specifically equipment, tasks, and Federal in the running of less defective identify and educate its employees on regulatory requirements for which they equipment, which translates to a better the Federal requirements contained in are responsible as well as require that safety record. Equipment conditions this part related to the performance of each individual deemed qualified to requiring maintenance attention are those tasks. FRA believes that these perform a task required by this final rule more likely to be found while the requirements will ensure that, at a demonstrate ‘‘hands-on’’ capability to equipment is at a maintenance or yard minimum, the railroad surveys its entire perform that task. This paragraph also site where repairs can be more easily operation and has identified the various contains requirements for conducting done. Trouble-shooting of brake and activities its employees perform. FRA periodic refresher training and mechanical problems will take less time intends for these written procedures and supervisor oversight of an employee’s and more maintenance will be done the identified skills and knowledge to performance once training is provided. right the first time, resulting in cost be used as the foundation for any FRA believes both these requirements savings due to less rework. are essential to ensure that an training program developed by the Section 238.111 Pre-Revenue Service individual continues to possess the railroad. Acceptance Testing Plan This paragraph also makes clear that knowledge and skills necessary to railroads are permitted to train continue to perform the tasks for which This section provides requirements employees only on those tasks that they the individual is assigned for pre-revenue service testing of will be responsible for performing. FRA responsibility. Furthermore, employees passenger equipment and relates to tends to agree with several railroad must be periodically retrained in order subpart G, which describes commenters that there is no reason for to keep up with technological advances requirements for the procurement of individuals who solely perform simple relating to braking systems that are Tier II passenger equipment and for a air brake or mechanical tests and constantly being made by the industry. major upgrade or introduction of new inspections to be as highly trained as This paragraph also contains the technology that could affect safety those individuals responsible for requirements related to maintaining systems of Tier II passenger equipment. conducting comprehensive brake or adequate records for establishing that Pre-revenue service acceptance tests are mechanical inspections or those individuals are capable of performing extremely important in that they are the individuals responsible for trouble- the tasks for which they are assigned culmination of all the safety analysis shooting, maintaining, and repairing the responsibility. FRA believes that the and component tests of a railroad’s equipment. This paragraph also makes record keeping requirements contained system safety program or other safety clear that a railroad may incorporate an in this paragraph are the cornerstone of planning efforts. The pre-revenue already existing training program, such the training and qualification service tests are intended to prove that as an apprenticeship program. Thus, provisions. As FRA is not proposing the equipment can be operated safely in railroads would likely not need to specific training curriculums or specific its intended environment and provide much additional training, experience thresholds, FRA believes demonstrate the effectiveness of the except training specifically addressing that these record keeping provisions are system safety program or other safety the requirements contained in this part vital to ensuring that proper training is planning undertaken by the railroad. and possibly refresher training, to its being provided to railroad personnel. FRA has revised and clarified this mechanical forces that have completed FRA believes these requirements section based on comments received in an apprentice program for their craft. provide the means by which FRA will response to the NPRM. APTA believed This paragraph also contains judge the effectiveness and that the proposed test program was requirements that any program appropriateness of a railroad’s training excessive for equipment that has developed must include ‘‘hands-on’’ and qualification program. These previous successful operating training as well as classroom provisions also provide FRA with the experience. It believed that an extensive instruction. FRA believes that classroom ability to independently assess whether pre-revenue service test program is training by itself is not sufficient to the training provided to a specific needed only when a new type of ensure that an individual has retained individual adequately addresses the equipment is placed in revenue service or grasped the concepts and duties tasks for which the individual is for the first time. Otherwise, APTA explained in a classroom setting. In deemed capable of performing, and will suggested a simple compatibility check order to adequately ensure that an most likely prevent potential abuses by with the infrastructure of a specific individual actually understands the railroads to use insufficiently trained railroad is all that is needed when the training provided in the classroom, individuals to perform the necessary railroad procures new equipment that some sort of ‘‘hands-on’’ capability must inspections, tests, and maintenance has successful operating experience on be demonstrated. FRA believes that the required by this rule. This paragraph other railroads. APTA claimed that FRA ‘‘hands-on’’ portion of the training makes clear that FRA intends to require does not have the in-house expertise to program would be an ideal place for that railroads maintain specific approve plans, and that the need for railroads to fully involve its labor forces personnel qualification records for all FRA approval will delay the in the training process. Appropriately personnel (including contract introduction of new equipment, causing trained and skilled employees would be personnel) responsible for the a needless expense. APTA
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00055 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 25594 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations recommended that the rule require a full equipment identical to that purchased approve the testing plans, FRA is test program only for the first time on a previous order, there is no need for mindful of APTA’s concern that the equipment is introduced into revenue detailed testing requirements. This is need for FRA approval of the plans may service, that FRA not approve the test reflected in § 238.111(a) of the final rule, unnecessarily delay the introduction of plans, and that FRA instead be invited which governs testing requirements for new equipment. Further, not having by railroads to witness the pre-revenue passenger equipment that has endless resources, FRA has decided to service tests. previously been used in revenue service focus its resources here on Tier II Amtrak, in its comments on the in the United States. Each railroad is passenger equipment in light of the NPRM, expressly agreed with APTA. required to test such equipment only to equipment’s higher operating speed and Amtrak believed FRA does not have the ensure the compatibility of the greater potential risk. As a result, a resources to support the burden that equipment with the railroad’s operating railroad intending to place in service would be required by the proposal. system. Although the railroad must keep Tier I equipment under this paragraph Further, Amtrak believed there is no a record of such testing and make it does not need FRA approval of its test technical justification to require the available to FRA for inspection and plan for the equipment or FRA approval formal testing proposed by FRA when a copying, no formal submission to FRA to place the equipment in service. Of particular equipment order is nothing is required. (In this regard, FRA does course, paragraph (b) does provide that more than acquiring additional not believe that the plan must be for Tier I equipment the railroad must equipment identical to that purchased submitted to FRA for the purpose that notify FRA to permit the agency to on a previous order. Amtrak suggested it may be available to the public under witness the testing (paragraph (b)(2)); that formal testing be limited to new FOIA, as that justification, in itself, comply with the testing plan (paragraph and untried types of equipment would require virtually any railroad (b)(3)); document the results of the according to a long-standing AAR safety record to be submitted to FRA, testing and make it available for FRA practice. whether or not FRA deems it necessary.) inspection (paragraphs (b)(4), (6)); and Metra commented that the rule should Further, no FRA approval is required correct or otherwise compensate for require railroads to submit their own prior to testing the equipment or placing safety deficiencies uncovered during the pre-revenue service testing plans to FRA it in revenue service. FRA expects the testing prior to introducing the and invite FRA to witness the testing, requirements of paragraph (a) to apply equipment in revenue service instead of having FRA determine when in the majority of situations a railroad (paragraph (b)(5)). Each railroad is also and how railroads should conduct places passenger equipment in service under an independent duty to comply acceptance testing on their systems. for the first time, and FRA has with the other requirements of Part 238 Metra explained that railroads know consequently placed this provision at and the railroad safety laws in general. their own systems and are more capable the beginning of § 238.111 for ease of In this regard, a railroad would have to of designing testing plans compatible use by the regulated community. obtain a waiver of FRA safety with their systems. Metra believed As specified in the final rule, regulations through the formal waiting for FRA testing and approval § 238.111(a) applies not only to the procedures of 49 C.F.R. part 211 before would cause needless delay and actual equipment which has previously introducing any equipment into service expense. been used in revenue service in the that does not comply with the safety In its comments on the NPRM, the United States or to equipment which is appliance regulations or the safety BRC believed this section to be wholly manufactured identically thereto. glazing standards, for example. necessary because of the types of Paragraph (a) also applies to equipment However, by operation of § 238.111, a equipment being brought into service which is similarly manufactured to that railroad is not restricted from seeking a that generally do not comply with the equipment and has no material waiver of an FRA safety regulation safety appliance laws or the safety differences in safety-critical components under 49 C.F.R. part 211, nor is FRA glazing regulations, or both. The BRC or systems. restricted from granting such a waiver. believed that this equipment must Paragraph (b) contains the Part 211 contains procedures to ensure comply with applicable laws and requirements for a railroad placing that FRA grants a waiver of a safety regulations affecting the safety of passenger equipment in service for the regulation in the interest of employee passengers and railroad workers in first time on its system when the and public safety. order to be brought into service in the equipment has not previously been used For Tier II passenger equipment, United Service. The BRC also in revenue service in the United paragraph (b) requires the railroad to recommended that the pre-revenue States—in other words, when the follow the additional steps of obtaining service testing plan be filed with FRA so equipment is not covered by paragraph FRA approval of the testing plan under that the plan will be available under the (a). Each railroad must develop a pre- the procedures specified in § 238.21 Freedom of Information Act (FOIA). revenue service acceptance testing plan (paragraph (b)(1)); reporting the results In proposing requirements for pre- and submit the plan to FRA at least 30 of the testing to FRA (paragraph (b)(4)); revenue service acceptance testing, FRA days prior to beginning testing. Previous agreeing to comply with any operational did distinguish between passenger testing of the equipment at the limitations imposed by FRA on the use equipment that has previously been Transportation Test Center, on another of the equipment (paragraph (b)(5)); and used in revenue service in the United railroad, or elsewhere should be obtaining FRA approval prior to placing States and that which has not. In lieu of included in the submission. the equipment in revenue service the requirements proposed in § 238.213 The requirements of paragraph (b) (paragraph (b)(7)). Under paragraph (a) through (e) of the NPRM, paragraph distinguish between whether the (b)(7), a railroad is not required to (f) provided for an abbreviated testing passenger equipment intended for follow the formal requirements set forth procedure for passenger equipment that service is Tier I or Tier II passenger in § 238.21. has previously been used in revenue equipment, and FRA has decided to Paragraph (c) applies only to Tier II service. See 62 FR 49763, 49802–3. require approval of testing plans only passenger equipment. If a railroad plans Accordingly, FRA agrees that when a for Tier II equipment. Although FRA a major upgrade or introduction of new particular equipment order is nothing disagrees with APTA’s claim that FRA technology in Tier II passenger more than acquiring additional does not have the in-house expertise to equipment that has been used in
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00056 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25595 revenue service in the United States and windows—to permit flexibility and the emergency window exit dimensions that affects a safety system on such innovation in future passenger car should be determined by the size equipment, the railroad shall follow the designs. Bombardier added that any dimensions needed: (1) To extricate an procedures specified in paragraph (b) such requirement would be in addition injured person from the passenger car; prior to placing the equipment in to the requirement for side doors. and (2) to allow an emergency revenue service with such a major The final rule largely carries forward responder fitted with a self-contained upgrade or new technology. This the NPRM’s proposal, and the current breathing apparatus to enter the requirement is based on proposed Federal requirement in § 223.9(c) of this passenger car. The NTSB noted that one §§ 238.603 (b) and (c) in the NPRM. See chapter for four emergency window of the typical adult backboards used by 62 FR 49823. FRA has integrated those exits in each passenger car. The emergency responders to evacuate proposed requirements into the section requirement for a minimum number of injured persons is 24 inches wide by 72 for clarity, as alluded to in the NPRM. window exits is important to ensure an inches long, and therefore may not clear See 62 FR 49785. unobstructed avenue of egress in a a window 24 inches wide. (The NTSB Overall, FRA believes the set of steps variety of accident scenarios, regardless did note that the other typical adult and the documentation required by of car capacity. Of course, as FRA has backboards measure 16 inches wide by § 238.111 are necessary to ensure that explained, the Volpe Center is working 72 inches long, and 12 inches wide by all safety risks have been reduced to a on an emergency evacuation 84 inches long. The NTSB also stated level that permits the equipment to be performance requirement for passenger that a typical steel basket stretcher used used in revenue service. cars to determine the number of total by emergency responders measures exits necessary to evacuate the Section 238.113 Emergency Window about 23 inches horizontally by 8 inches maximum passenger load in a specified Exits deep by about 81 inches vertically.) The time for various situations. Further, NTSB further noted the concern that if This section represents the partial through the APTA PRESS effort, FRA a car derails to the extent that the merger of NPRM § 238.235, emergency understands that APTA is developing a normal vertical dimension becomes the window exit requirements for Tier I systems approach to emergency egress horizontal dimension, the backboard passenger equipment, and NPRM similar to that which Bombardier has must be tilted to fit through the opening. § 238.439, as it concerned emergency suggested in its comments. FRA (During Working Group discussions, it window exit requirements for Tier II recognizes the merit such approaches was noted that for this to happen, the passenger equipment. FRA has have and will consider these alternative car must come to rest on its end.) combined these sections principally in approaches in Phase II of the Moreover, the NTSB stated that an response to the NTSB’s comment on the rulemaking. emergency responder with a self- proposed rule that these requirements Paragraph (b) requires, as specified, contained breathing apparatus may have should not be differentiated on the basis each emergency window exit in a new difficulty entering an 18-inch vertical of train speed. passenger car, including a sleeping car, opening. Paragraph (a)(1) requires that a single- to have a minimum unobstructed FRA agrees that the emergency level passenger car, other than a opening with dimensions of 26 inches window exit size requirements should sleeping car or similarly designed car, horizontally by 24 inches vertically. In be the same for both tiers of equipment. have a minimum of four emergency the NPRM, FRA invited comments as to The final rule requires that emergency window exits, either in a staggered what size requirements for emergency window exits have a minimum configuration where practical or with window exits FRA should impose in the unobstructed opening with dimensions one located in each end of each side of final rule. FRA had proposed that Tier 26 inches horizontally by 24 inches the car. A bi-level car shall have a I equipment have a minimum, vertically. This requirement only minimum of four emergency window unobstructed emergency window exit applies to new cars, however, as exits on each main level, configured as opening of 24 inches horizontally by 18 specified in paragraph (b). FRA above, so that the car has a minimum inches vertically, and that Tier II recognizes that these dimensions are total of eight emergency window exits. equipment have a minimum, greater than those proposed for Tier I FRA received several comments unobstructed emergency window exit passenger equipment (and smaller than relating to the quantity of emergency opening of 30 inches horizontally by 30 those proposed for Tier II passenger window exits that the rule should inches vertically. The Tier II Equipment equipment). require. First, the NTSB commented that Subgroup, including Amtrak, had A review of emergency window exit specifying a minimum quantity recommended the latter requirement for sizes on the nation’s rail passenger car requirement for emergency window application to Tier II equipment. shows a wide variation in window size. exits in passenger cars is not sufficient. However, the full Working Group Differences in size are not necessarily The NTSB believed that the requirement advised against imposing such a attributable to the age of the passenger should be based on the capacity of the requirement on Tier I equipment. FRA cars: On certain railroads, some older passenger car, the number of door exits, had explained in the NPRM that, passenger cars have smaller emergency and the scientifically-determined time although it would prefer that all window exits than do newer passenger needed to completely evacuate the fully- emergency window exits afford the cars; whereas, on other railroads, some loaded passenger car. Next, Talgo larger opening, the Tier I equipment newer passenger cars have smaller commented that passenger cars half the proposal provided the minimum emergency window exits than do older length of conventional cars should be opening needed for a fully-equipped passenger cars. Staff from the Boston, required to have only two emergency emergency response worker to gain Massachusetts, and Los Angeles, window exits on each main level. access to the interior of a train. California, fire departments Further, Bombardier commented that The NTSB commented that the recommended, upon DOT’s inquiry, that instead of limiting the application of horizontal and vertical openings of emergency window exits provide at this section to emergency window exits, emergency window exits should be the least a 26-inch horizontal opening to FRA should apply the requirements of same for both tiers of equipment, as the maneuver a 24-inch wide stretcher into this section broadly to emergency speed at which the equipment travels and out of the window. They also exits—whether or not those exits are should not matter. The NTSB stated that expressed concern whether an 18-inch
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00057 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 25596 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations vertical opening would be large enough car nor require that emergency window These requirements are currently to allow an emergency responder exits be placed at the extreme ends of provided in the rule on passenger train wearing a self-contained breathing a car. emergency preparedness. See 63 FR apparatus to fit through the window. FRA is requiring that each sleeping 24630. In Phase II of the rulemaking, United States Department of Defense car, and any similarly designed car FRA will consider integrating into this MIL–STD–1472E (October 31, 1996), having a number of separate part (part 238) the emergency window which contains design criteria for compartments intended to be occupied exit marking and operating instruction human engineering, provides by passengers or train crewmembers, found in parts 223 and 239 of this dimensions for rectangular access have at least one emergency window chapter. Additionally, FRA will openings for male body passage as exit in each compartment. An example consider revising those requirements as differentiated by the amount of clothing of a similarly designed car subject to necessary. worn. For side access, MIL–STD–1472E, this requirement is a crew dormitory Section 238.115 Emergency Lighting section 5.7.8.3 provides that openings car. If an emergency window exit is not shall be not less than 26 inches in depth provided in individual sleeping Experience gained during emergency (vertical) and 30 inches in width compartments, occupants of those response to several passenger train (horizontal) for a male wearing light compartments may have difficulty accidents indicates that emergency clothing. Further, the standard provides reaching the car’s doors quickly in an lighting systems either did not work or that openings shall be not less than 29 emergency, especially if the car’s failed after a short time, greatly inches in depth and 34 inches in width interior passageways become blocked or hindering rescue operations. This for a male wearing bulky clothing. (This obscured by smoke. An emergency section requires that passengers cars section of the military standard has been window exit is necessary in each ordered on or after September 8, 2000, placed in the public docket for this compartment to enable occupants to or placed in service for the first time on rulemaking.) quickly exit the car in a life-threatening or after September 9, 2002, be equipped On the basis of the comments and situation, as when the car is submerged. with emergency lighting providing at information received following FRA notes that, for purposes of this least an average illumination level of 1 publication of the NPRM, FRA believes section, a restroom is not a compartment foot-candle at floor level adjacent to that an emergency window exit vertical specifically required to have an each exterior door and each interior opening of 18 inches is not sufficient for emergency window exit. door providing access to an exterior new rail cars. The emergency window Paragraph (a)(3) requires that each door (such as a door opening into a exit size requirements contained in this emergency window exit be designed to vestibule). In addition, the emergency final rule provide a more reasonable permit rapid and easy removal during lighting on such cars must provide an dimension for passage of large, fully- an emergency situation without illumination level of at least an average clothed persons, including emergency requiring the use of a tool or other of 1 foot-candle at floor level along the response personnel with fire gear. The implement. In the NPRM, FRA had center of each aisle and passageway, dimensions are practicable in light of specified that the emergency window and a minimum of 0.1 foot-candle at the design of many passenger cars in the exit must be easily operable by a 5th- floor level at any point along the center United States. percentile female without requiring the of each aisle and passageway. The cars FRA explained in the NPRM that use of a tool or other implement. In must also be equipped with a back-up safety may be advanced by staggering response to the proposal, Bombardier power feature capable of operating the the configuration of emergency window commented that the feasibility and lighting for a minimum of 90 minutes exits so that the exits are located practicability of making the emergency after loss of normal power with no more diagonally across from each other on exit operable by a 5th-percentile female than a 40% loss of the prescribed opposite sides of a car, instead of is not known at this time. Bombardier illumination levels. placing them directly across from each recommended FRA more fully examine In the NPRM, FRA proposed requiring other. FRA invited comment on this the feasibility of designing and for both passenger cars and locomotives issue, as well as on the concern that the maintaining passenger cars to meet this a minimum emergency lighting seat arrangement of passenger cars may requirement before it is made a rule. In illumination level of 5 foot-candles at block access to and the removal of the final rule, FRA believes it floor level for all potential passenger emergency window exits. The NTSB appropriate not to specify a requirement and crew evacuation routes from the commented that emergency window at this time for the ease of operability of equipment. See 62 FR 49803. FRA exits should be staggered rather than an emergency window exit by a 5th- explained that its proposal was not a opposite each other, and they must also percentile female. In Phase II of the recommendation of the Working Group, be distributed as uniformly as practical rulemaking, FRA will evaluate with the as FRA believed an illumination level to allow for passenger distribution. The Working Group whether such a concept higher than that suggested by members rule will require staggering where should be reintroduced. Instead, FRA of the Working Group was necessary for practical, but other considerations must has decided to incorporate into the final passengers to locate emergency exits, be taken into account, including the rule language from the definitions of read instructions for operation of the need to provide an unobstructed exit ‘‘emergency window’’ found in 49 CFR exits, and operate the exits. See 62 FR without diminishing normal seating parts 223 and 239—that is, each 49764. FRA did request comments capacity. Railroads should be mindful emergency window must be designed to whether the lighting intensity that if the ends of a car are crushed in permit its rapid and easy removal requirement need be 5 foot-candles at a collision, then the window exits during an emergency situation—and floor level for all potential evacuation located at the car’s ends may be specifically require that such rapid and routes if the rail vehicle has a rendered inoperable. In this regard, easy removal of the window be able to combination of lower intensity floor FRA’s use of the term ‘‘in each end’’ in be accomplished without requiring the proximity lighting, similar to that used paragraph (a)(1) refers to the forward use of a tool or other implement. on aircraft to mark the exit path, and and rear ends of a car as divided in its Paragraph (c) is reserved for higher intensity lighting at the vehicle’s center—and does not literally refer to emergency window exit marking and exits. FRA also proposed applying the the extreme forward and rear ends of a operating instruction requirements. emergency lighting requirements to
VerDate 06-MAY-99 17:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00058 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm03 PsN: 12MYR2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25597 rebuilt passenger equipment, and noted an emergency lighting illumination door providing access to an exterior that it was considering applying these level of 5 foot-candles would be door (such as a door opening into a requirements to existing passenger unnecessarily bright and costly. Metra vestibule), a 1 foot-candle average equipment sooner than when the recommended that the illumination measured 25 inches above the floor equipment is rebuilt. level be set at 0.5 foot-candle. Further, level along the center of each aisle and In response to FRA’s proposal, APTA Metra suggested that for new passenger passageway, and a minimum of 0.1 foot- commented that requiring a minimum equipment the requirement be modified candle measured 25 inches above the emergency lighting illumination level of to apply only to new orders placed after floor level at any point along the center 5 foot-candles is excessive. APTA January 1, 1998, so as to avoid costs of each aisle and passageway. These believed that roughly a five-fold associated with change orders and dual illumination levels are based on the increase in battery capacity would be standards on ongoing orders that will be emergency lighting illumination levels necessary to comply with the proposed delivered both before and after January specified in Section 5–9.2.1 of the illumination standard when combined 1, 1998. Finally, the Omniglow National Fire Protection Association’s with the two-hour minimum duration Corporation (Omniglow) commented in (NFPA) ‘‘Life Safety Code Handbook,’’ requirement proposed in the rule. APTA response to the NPRM that to effectively Seventh Ed. (a copy of this section has stated that a minimum emergency address an emergency situation where been placed in the public docket for this lighting illumination level of 1 foot- lives are at stake, each train exit should rulemaking) and the Illuminating candle is adequate for new equipment, be equipped with emergency lighting. Engineering Society Lighting Handbook. based on recent light level In light of these comments and after Specifying the measurement of the measurements taken on passenger further analysis, FRA has revised the emergency lighting illumination level at coaches by Volpe Center personnel. requirements of this section in several the floor for doors is intended to permit APTA noted that a survey in support of ways from those originally proposed in passengers and crewmembers to see and its APTA PRESS efforts shows the NPRM. First, under the final rule, negotiate thresholds and steps typically emergency lighting illumination levels the requirements of this section apply located near doors. Specifying the to be between approximately 0.2 foot- only to passenger cars—and not to measurement of the emergency lighting candles and 1 foot-candle on existing passenger locomotives as proposed in illumination level at 25 inches above passenger equipment. APTA observed the NPRM. As MU locomotives and cab the floor for aisles and passageways is that even an illumination level of less cars that transport passengers are intended to permit passenger and than 1 foot-candle measured at the floor considered passenger cars under this crewmembers to see and make their way can allow for an orderly evacuation of rule, however, the practical effect of this past obstacles as they exit a train in an a passenger coach with well-marked revision is not to apply the specific emergency, as demonstrated by tests exits. emergency lighting requirements in this conducted by the Volpe Center. At the In regard to applying the requirements rule to conventional passenger same time, specifying that the of this section to existing passenger locomotives. Moreover, the issue of illumination level be measured above equipment, APTA suggested imposing specifying emergency lighting the floor for aisles and passageways an emergency lighting illumination requirements for conventional recognizes that light emitted from level of less than 1 foot-candle on such locomotives as a whole, taking into lighting fixtures placed on the sides of equipment to avoid an expensive account their unique characteristics, has passenger cars may be obstructed, as by retrofit. APTA further recommended been placed before the RSAC car seats, before the light reaches the that the rule allow the emergency Locomotive Crashworthiness Working floor, and, in this regard, the rule lighting illumination level to decay over Group for its consideration. provides greater flexibility to railroads the proposed two-hour duration it Second, the requirements of the final would be required to operate, and APTA rule do not apply to rebuilt passenger in the placement of lighting fixtures. suggested allowing the illumination equipment. FRA is seeking a broader FRA notes that the permanency of this level to degrade to no less than 50% of approach to implementing emergency area lighting standard will be dependent the original illumination level after two lighting requirements in existing on successful resolution of issues hours. In addition, APTA noted that passenger cars, whether or not the cars related to emergency signage, exit path emergency lighting systems in are rebuilt. To accomplish this, FRA marking, and egress capacity that are conventional locomotive cabs are does not necessarily expect that existing being progressed toward resolution radically different from those in passenger cars will be required to meet through the APTA PRESS Task Force passenger cars, and APTA asked FRA to the area lighting standard specified for and the Volpe Center, as noted below, reconsider how it would apply new equipment. However, FRA desires as a predicate for completion of the emergency lighting requirements inside that achievable emergency lighting standards in the second phase of this locomotive cabs. enhancements to existing passenger cars rulemaking. In commenting on this proposal, the will be implemented over a reasonable FRA believes that the emergency BRC stated that the requirements for period of time. In the second phase of lighting illumination levels specified in emergency lighting must be phased into the rulemaking, FRA will evaluate the this section will enable the occupants of existing passenger equipment sooner anticipated APTA PRESS standard for rail cars to discern their immediate than when it is rebuilt. The BRC implementing emergency lighting surroundings and thereby minimize or explained that for passengers it would requirements in existing passenger cars avoid panic in an emergency. In this be far better to have cars equipped with with a view to incorporating the APTA regard, a lighting demonstration was emergency and exit lighting to eliminate standard into this Federal standard. conducted in a SEPTA rail car in March many of the hazards in getting out of the Third, as provided in paragraphs 1998, and in the judgement of the FRA cars, and that there is no justification or (b)(1)–(3) of the final rule and modified participants it showed that these analysis in the record for delaying the from the NPRM, this section prescribes illumination levels appear sufficient. implementation of the requirements in the minimum emergency illumination These emergency lighting illumination existing passenger cars. level for new passenger cars as a 1 foot- levels are achievable for rail cars. In Metra, in its comments on this candle average at floor level adjacent to fact, the NFPA 101 specifications for proposal, stated that a requirement for each exterior door and each interior emergency lighting illumination levels,
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00059 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 25598 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations noted above, are recommended for use can pose significant rescue problems, common to all emergency lighting in rail transit cars through NFPA 130, especially in the case of tunnels, circuits in a particular car. Section 5–5.3. nighttime operations, and operations in FRA notes, however, that the concept In the second phase of the inclement weather. of a power source at each fixture, as a rulemaking, FRA will focus on This section also requires the regulatory requirement, is novel. FRA augmenting the emergency illumination emergency lighting back-up power findings in recent accidents support the level specified in this section by system to be able to operate in all NTSB’s implied concern that placement including requirements for lighted orientations within 45 degrees of of electrical conduits and battery packs signage and exit path marking, as vertical and after experiencing a shock below the floor of passenger coaches can touched on above. Through a research due to a longitudinal acceleration of 8g result in damage that leads to the study conducted by the Volpe Center, and vertical and lateral accelerations of unavailability of emergency lights FRA has been investigating emergency 4g. The shock requirement will ensure precisely at the time they are most lighting requirements as part of a that the back-up power system has a needed. However, from initial systems approach to effective passenger reasonable chance of operating after the investigation it is not certain whether train evacuation. This approach takes initial shock caused by a collision or current ‘‘ballast’’ technology provides into consideration the interrelationship derailment. FRA originally considered illumination of sufficient light level between features such as the number of that the back-up power system be quality with reliable maintainability. door and window exits in a passenger capable of operation within a vehicle in FRA presented the issue of placing an car, lighted signs that indicate and any orientation. However, members of independent power source at each facilitate the use of the door and the Working Group advised that some emergency lighting fixture to the window exits, and floor exit path battery technologies utilize a liquid Passenger Equipment Safety Standards marking, in addition to the general electrolyte which can leak when the Working Group at a meeting in emergency lighting level in a car. FRA battery is tilted. December, 1997. FRA will aggressively will also examine the APTA PRESS FRA invited commenters to address pursue this option for more reliable emergency illumination in the second standard on emergency lighting, when whether the back-up power system final, to determine whether the standard phase of the rulemaking, and FRA will should be made capable of operation satisfactorily addresses matters related also work with APTA PRESS on this within a vehicle in any orientation, see to emergency signage, exit path issue. 62 FR 49764; and, in response, the BRC marking, and egress capacity so that commented that the back-up power Section 238.117 Protection Against FRA does not have to revisit the issue system must be capable of operating in Personal Injury of area lighting with a view toward any orientation since railcars do not increased illumination levels. In the This section contains a general always remain upright when they derail. interim, FRA will entertain proposals to requirement to protect passengers and The BRC believed that the fact batteries utilize alternative methods of providing crewmembers from moving parts, may have a liquid electrolyte which can at least an equivalent level of emergency electrical shock and hot pipes. This illumination to that prescribed in this leak when the battery is tilted does not section extends to passenger equipment rule. excuse railroads from obtaining proper not classified as locomotives the FRA has further revised the batteries that will function in any protection against personal injury which requirements of this section from those orientation. applies to locomotives under 49 CFR proposed in the NPRM by shortening In the final rule, FRA is not requiring 229.41. The requirements represent the required operation time period of that the back-up power system be common-sense safety practice; reflect the emergency lighting, and by capable of operating in any orientation, current industry practice; and should permitting the emergency lighting and instead FRA is retaining the result in no additional cost burden to illumination level to degrade over time, proposal in the NPRM that the system the industry. Although FRA received no as well. Specifically, the final rule be capable of operating in all equipment specific comments on this section, FRA requires a passenger car to be equipped orientations within 45 degrees of has modified this section to make clear with a back-up power feature capable of vertical. FRA will further examine this that its requirements do not apply to the operating the lighting for a minimum of issue in the second phase of the interior of a private car, consistent with 90 minutes after loss of normal power rulemaking, and FRA is aware of a more FRA’s overall approach to private cars with no more than a 40% loss of the costly battery technology utilizing a gel in this rule. The protections of this prescribed illumination levels. As a that should not leak when turned in any section would apply, of course, to rail result, illumination levels shall be orientation. However, even if the back- employees and others who may inspect permitted to decline, as appropriate, up power system could operate when or perform work on the exterior of a from 1 ft-candle to 0.6 foot-candle, and turned in any direction, FRA recognizes private car. from 0.1 foot-candle to 0.06 foot-candle. that a derailment of the magnitude that The lighting decay permitted here is would cause such a situation would Section 238.119 Rim-Stamped also based on that specified in Section potentially destroy the battery box as a Straight-Plate Wheels 5–9.2.1 of the NFPA’s ‘‘Life Safety Code whole or sever the cables connecting the This section addresses the NTSB’s Handbook,’’ cited above. Operation of battery to the emergency lighting safety recommendation concerning the emergency lighting for an extended time fixtures, or both. In this regard, FRA use of rim-stamped straight-plate wheels is particularly necessary in the event of believes it more important to focus in on tread-braked rail passenger passenger train rescue operations in the second phase of the rulemaking on equipment. Following its investigation remote locations. Fully-equipped addressing the NTSB’s recommendation of a January 13, 1994 Ringling Bros. and emergency response forces can take an to require reliable emergency lighting Barnum & Bailey Circus train hour or more to arrive at a remote fixtures in passenger cars, each fitted derailment which killed two circus accident site, and additional time would with a self-contained independent employees, the NTSB determined that be required to deploy and reach people power source (R–97–17). (See NTSB/ the probable cause of the derailment trapped or injured in a train. Even RAR–97/02) Section 238.115 does was the fatigue failure of a thermally passenger train accidents in urban areas permit continued use of battery power damaged straight-plate wheel due to
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00060 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25599 fatigue cracking that initiated at a stress subjected to the low-cycle thermal are in fact tread-braked but only in a raiser associated with a stamped fatigue of repeated tread-brake limited manner to clean the wheel character on the wheel rim. See 62 FR applications. As freight equipment surface, the requirements of this section 49743; NTSB/RAR–95/01. Noting that operates with tread brakes, the AAR has likewise do not apply. However, FRA tread braking is a significant source of discontinued rim stamping in order to hereby makes clear that the wheel overheating and thermal damage; preclude wheel failures due to cracking requirements of this section apply to the straight-plate wheels are vulnerable to initiated at the stamp marks. use of straight-plate, rim-stamped thermal damage; and rim-stamping Disc brakes use a caliper and pad wheels when the wheels are subjected provides a stress concentration for crack arrangement (like a bicycle brake) which to tread braking in any combination initiation, the NTSB recommended that operates on (squeeze) a disc which is with disc brakes for the purpose of FRA ‘‘[p]rohibit the replacement of affixed to the axle of a rail car, or to the slowing the passenger equipment. wheels on any tread-braked passenger back face of the wheel in a ‘‘cheek’’ The second principal change in the railroad car with rim-stamped straight mounted scheme, to provide retarding final rule from the NPRM provides plate wheels.’’ (Class II, Priority Action) force. Disc brakes introduce no heat into particular consideration for the use of (R–95–1). the rim, since the heat is generated by Class A rim-stamped, straight-plate In the NPRM, FRA stated that because the friction between the caliper pads wheels mounted on inboard-bearing a wheel having a rim-stamped straight- and the disc. This condition is true only axles on commuter passenger plate character is a sufficient safety if the strategy to stop a vehicle relies equipment. In commenting on the concern in itself, FRA proposed solely on discs without tread-brake NPRM, APTA noted that a number of extending the NTSB’s safety assistance. commuter railroads are currently recommendation to apply to all such Disc-braked rail cars sometimes have operating—or are in the process of wheels used on passenger equipment tread brakes which are used as parking implementing service with— regardless whether the equipment were brakes. These tread brakes may be Bombardier-manufactured bi-level tread-braked or not. See 62 FR 49743, applied periodically while the train is coaches that are equipped with Class A 49803. Further, FRA proposed running, using low cylinder forces, in rim-stamped, reverse-plate wheels. addressing separately the use of such order to clean the wheel tread surface of APTA specified that the affected wheels on passenger equipment other oxides and debris which can interfere commuter railroads operate 182 than private passenger cars—for which with the ability of the wheel to make an passenger coaches equipped with these there would be an immediate electrical connection with the rail for wheels and consist of the Southern prohibition on the use of the wheels— the purposes of shunting the track California Regional Rail Authority in distinction to the use of such wheels circuits to activate signals. This action (Metrolink), San Diego Northern on private cars—for which there would is typically of short duration and is Railway, Tri-County Commuter Rail be a prohibition on the wheels’ use as controlled by automatic circuitry (snow Authority, Dallas Area Rapid Transit, replacement wheels. See 62 FR 49743– brakes) and should not pose a threat to and the San Joaquin Railroad 4, 49803. the integrity of the wheels. Commission. APTA explained that Based on comments received in Braking strategies sometimes involve reverse-plate wheels are considered a response to the proposed rule, and after a combination of disc and tread braking hybrid of the straight-plate design and further analysis, FRA has modified the to achieve desired deceleration rates. therefore subject to the prohibition of requirements of this section from those For example, Amtrak’s AMFLEET I and this section. APTA added that these proposed in the NPRM. In the final rule, II cars use such a combination— wheels have an average service life of the restrictions on the use of rim- approximately 40% tread and 60% disc. five years. According to APTA, stamped straight-plate wheels apply In such a case, the wheels are tread- imposing this prohibition on the only to such wheels use on tread-braked braked every time the vehicle comes to affected commuter rail operations will passenger equipment. AAPRCO, in its a stop, as opposed to the lower energy dramatically reduce or terminate comments on the NPRM, stated that the snow braking described above. commuter rail operations while proposed section was overly broad in Straight plate wheels are well-known replacement wheels are procured and prohibiting rim-stamped straight-plate to be much more susceptible to thermal installed. APTA stated that Class A wheels from being used as replacement damage than curved or S-plate wheels. reverse-plate wheels have a safe history wheels on private cars operated in a Plate curvature permits radial breathing of usage with no indication of wheel passenger train. Citing the above-noted of the rim as it is heated, resulting in cracks caused by rim stamping, and that NTSB report, AAPRCO explained that lower rim stresses. The straight-plate failures of Class B and C wheels of a the only detected problem involving the wheel is much stiffer radially and true straight-plate design led to the use of rim-stamped straight-plate wheels stresses in these wheels are therefore NTSB’s recommendation here. Based on occurred when such wheels were greater for the same thermal input. If these differences, APTA recommended subjected to tread braking. AAPRCO straight-plate wheels experience tread that FRA allow Class A, rim-stamped believed that there is no known problem braking, or if tread brakes are used in reverse-plate wheels to continue in involving the use of such wheels on the event of disc brake failure, the service. passenger equipment that is disc-braked possibility exists for wheel thermal FRA has considered APTA’s and, therefore, not subject to heating. damage. However, the use of straight- comments and notes that the rim- Accordingly, AAPRCO recommended plate, rim-stamped wheels should not stamped ‘‘reverse’’-plate wheels in issue limiting the prohibition against using pose a safety threat if the wheels are are indeed straight-plate wheels. The rim-stamped straight-plate wheels as never tread-braked. ‘‘reverse’’ connotation refers to the replacement wheels on private cars to Because the use of straight-plate, rim- orientation (angle) of the wheel plate those wheels that are tread-braked. stamped wheels should pose no safety with respect to the axle. Passenger FRA notes that the stamping of threat if the wheels are never tread- wheelsets have inboard bearings—that manufacturers’ marks on railroad wheel braked, the requirements of this section is, the bearings are located between the rims introduces stress concentrations in do not apply to such wheels used in wheels on the axle. Freight wheelsets the wheel rims. Such stress risers can such circumstances. Moreover, as are outboard-bearing in that the wheels help originate cracks as the wheel is provided in paragraph (c), if the wheels are mounted between the bearings. The
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00061 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 25600 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations wheel plate is pitched one way or the may not be placed on different a provision be added to the rule to allow other in either circumstance so that the (especially heavier) rail vehicles. private car owners to install such wheel flanges end up being the same Provided the conditions for continued wheels on their cars after January 1, distance apart. In this way, either use of the wheels are met, however, a 1998,—which FRA proposed as the wheelset can transverse the same railroad may continue to use the wheels effective date for this section—provided standard gage track. until it exhausts its stock of replacement the wheels were owned by that date. In From discussions with APTA, FRA wheels held as of May 12, 1999, which this regard, FRA notes that Amtrak has understands that these Class A, rim- is the date of this final rule’s issued a letter to private car owners stamped straight-plate wheels are publication. FRA understands that the dated September 19, 1995, stating that installed on rail cars weighing manufacturer of these wheels has after June 30, 2000, Amtrak will decline approximately 115,000 pounds, already started to stamp the wheels on to move any tread-braked passenger cars utilizing blended dynamic and friction their hubs, instead of on their rims, and with rim-stamped straight-plate wheels. braking. The friction-based portion of FRA believes that the railroads’ In addition, Amtrak stated in the same the braking system in turn is composed inventory of such rim-stamped wheels letter that it would not accept any new of approximately 67% tread braking, will be exhausted within the next 18 applications for wheel change out with and 33% disc braking. FRA further months. Once a commuter railroad’s rim-stamped straight-plate wheels, understands that, when properly used, inventory of Class A, rim-stamped regardless of the brake type. Amtrak’s the extended-range dynamic brake can straight-plate wheels is exhausted, each letter referenced the NTSB’s safety slow the vehicle from 90 mph—its top such wheel must be replaced at the end recommendation noted in this section. operating speed—to less than 10 mph of the wheel’s service life with a wheel Since Amtrak is the chief carrier of with no friction (pneumatic) braking that is not rim-stamped. private rail cars, the ability of a private applied, and that this is the In commenting on the NPRM, Talgo rail car owner to use rim-stamped, recommended method of operating suggested clarifying the requirements of straight-plate wheels will be these rail cars. The service brake rate is this section to state that the stamping of significantly affected independent of the 2.0 mph/sec and the emergency rate is characters on the rim of a wheel is requirements of this rule. Further, 2.5 mph/sec. In combination with the prohibited due to dangers associated allowing such wheels to continue in use wheel slip/slide protection system with stress concentration. According to until a car owner’s inventory of the provided for these cars, FRA believes Talgo, if indeed the purpose of this wheels is depleted would prolong the that the wheels on these rail cars should section is to address rim-stamping itself, use of such wheels for potentially be subjected to limited thermal input. then the rule should be revised to decades. FRA believes that the rule Further, FRA notes that wheels are address all types of wheels and not just allows due consideration for private rail generally classified as L, A, B, or C straight-plate wheels. FRA does car owners in allowing them to continue depending on the carbon content of the recognize that the stamping of using tread-braked private rail cars wheel material. The amount of carbon manufacturers’ marks on railroad wheel equipped with rim-stamped, straight- determines the hardness and strength of rims introduces stress concentrations in plate wheels throughout the life of each the steel. A Class A wheel has a lower the rims, and, all things being equal, wheel, while recognizing that, as a carbon content, and correspondingly manufacturers should stamp wheels on whole, the wheels are subject to greater lower hardness and strength than a their hubs instead of on their rims. Yet, thermal input when in use and are more Class B or C wheel. Lower hardness FRA is concerned in particular with susceptible to cracking than the means that the wheel has increased rim-stamped straight-plate wheels commuter railroad wheels discussed ductility or improved ability to resist because, as noted above, a straight-plate above. Moreover, FRA notes that under cracking (fracture toughness). This is wheel design is more susceptible to the definition of ‘‘passenger equipment’’ why Class L and A wheels are thermal damage than a curved wheel in this rule, a private rail car not recommended for severe braking design. The plate curvature permits operated in a train with a passenger car, conditions. However, since these wheels radial breathing of the rim as it is such as in a freight train, or in a consist are ‘‘softer,’’ heavy wheel loads will heated, resulting in lower rim stresses. of private rail cars, is not subject to the result in poor wear performance, which Similar to the proposal in the NPRM, requirements of this rule. (See above is why they are recommended only for the final rule allows rim-stamped, discussion of passenger equipment in light to moderate wheel loads. Class B straight-plate wheels on tread-braked § 238.5.). In addition, the final rule does and C wheels (with more carbon and private cars to continue in service increased hardness) exhibit good wear throughout the life of each wheel. not apply to tourist railroads, and a behavior, but are more prone to However, as provided in paragraph (b), private rail car may therefore operate on cracking. Railroads choose the wheel such wheels may not be used as such railroad without complying with type for a particular class of service replacement wheels on these cars. As the requirements of this rule. See based on its operating characteristics. explained in the NPRM, FRA recognizes § 238.3. As reflected in paragraph (a)(2), FRA that private cars are generally not highly Subpart C—Specific Requirements for believes that the commuter railroads utilized in comparison to intercity or Tier I Passenger Equipment operating vehicles with Class A, rim- commuter passenger equipment, and stamped straight-plate wheels mounted Amtrak imposes its own safety Section 238.201 Scope. on inboard-bearing axles—i.e., reverse- requirements on the use of such cars in This subpart contains specific plate wheels—may continue to do so its trains. See 62 FR 49743–4. requirements for railroad passenger provided the railroads do not modify In commenting on the NPRM, a equipment operating at speeds not the operation of the vehicles in any way member of the public stated that many exceeding 125 mph. This subpart that would result in increased thermal private car owners have a substantial contains various structural standards input to the wheels during braking. As investment in rim-stamped straight- (§ 238.203Bstatic end strength; a result, vehicles equipped with these plate wheels, and precluding their § 238.205—anti-climbing mechanism; wheels may not operate at speeds installation would consequently place a § 238.207—link between coupling exceeding their current maximum financial burden on many private car mechanism and car body; § 238.209— operating speeds. Further, these wheels owners. This commenter requested that forward-facing end structure of
VerDate 06-MAY-99 17:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00062 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm03 PsN: 12MYR2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25601 locomotives; § 238.211—collision posts; CFR § 229.141 so that its requirements passenger cars that do not meet the § 238.213—corner posts; § 238.215— will not apply to passenger equipment minimum static end strength rollover strength; § 238.217—side subject to part 238. requirement may petition FRA for structure; § 238.219—truck-to-car-body In addition to these four structural grandfathering approval to continue to attachment; and § 238.223—fuel tanks). requirements, the rule also requires that use the equipment; see discussion under These structural standards do not apply passenger equipment comply with other § 238.203. to passenger equipment if used structural requirements specified in: FRA does, however, recognize that exclusively on a rail line (A) with no §§ 238.205(b) (anti-climbing mechanism low-speed rail operations that are public highway-rail grade crossings, (B) for locomotives); 238.209 (forward- structured to totally preclude both on which no freight operations occur at facing end structure of locomotives); operations over highway rail grade any time, (C) on which only passenger 238.211(b) (collision posts for crossings and the sharing of trackage equipment of compatible design is locomotives); 238.213 (corner posts); between light rail equipment and utilized, and (D) on which trains operate 238.215 (rollover strength); 238.217 conventional equipment do not require at speeds no higher than 79 mph. (side structure); 238.219 (truck-to-car- the structural standards required for In general, except for the static end body attachment); and 238.223 (fuel commingled operations. Accordingly, strength standards (’ 238.203) and as tanks). These requirements apply to the final rule (in § 238.201) provides otherwise provided in this subpart, the passenger equipment ordered on or after that passenger equipment is not subject requirements of this subpart apply only September 8, 2000, or placed in service to the structural requirements of the rule to passenger equipment ordered on or for the first time on or after September if it used exclusively on a rail line (A) after September 8, 2000 or placed in 9, 2002, unless otherwise provided in with no public highway-rail grade service for the first time on or after the cited sections. FRA notes that, under crossings, (B) on which no freight September 9, 2002. That is, where no special circumstances, it will allow the operations occur at any time, (C) on specific date or dates are provided in placement in service of passenger which only passenger equipment of the regulatory text for a particular equipment not meeting these structural compatible design is utilized, and (D) on section, such as § 238.225 (Electrical requirements if the equipment was in which trains operate at speeds no higher system), these dates apply to that fact ordered within September 8, 2000 than 79 mph. FRA will discuss with the section’s requirements. Of course, but not placed in service until after Working Group in Phase II of the certain existing Federal requirements, September 9, 2002. In such case, the rulemaking what structural standards such as the window safety glazing railroad must provide documentation to are appropriate for such operations. standards in part 223 of this chapter that the satisfaction of the Associate In the NPRM, FRA considered are referenced in § 238.221 (Glazing), Administrator for Safety that requiring that one or more of the other continue to apply by their own force. demonstrates the special circumstances structural requirements for new The rule does provide that passenger accounting for the delay in placing the passenger equipment, discussed above, equipment placed in service for the first equipment in service. be made applicable to existing time on or after September 8, 2000, equipment as soon as one of the unless otherwise provided in the cited Structural Standards for Existing following events occurs: the equipment sections, must meet the minimum Equipment is sold to another railroad; the structural requirements specified in: The final rule requires that all equipment is rebuilt; the equipment § 238.205(a) (anti-climbing mechanism); passenger equipment (other than reaches 40 years of age; or 10 years § 238.207 (link between coupling locomotives that comply with an elapses after the effective date of the mechanism and car body); and alternative standard as specified, private rule. FRA invited comments on: (1) § 238.211(a) (collision posts). Further, as cars, unoccupied vehicles operating at What equipment would be affected by specified in detail below, any such the rear of a passenger train, or each of these structural requirements; equipment in use on or after November equipment used in non-commingled (2) the feasibility and costs of 8, 1999 must also meet the static end service, as discussed below) in use on retrofitting such equipment, with costs strength standards specified in or after November 8, 1999 have a broken out for each of the different § 238.203. These four particular minimum static end strength of 800,000 structural requirements, in the event requirements are virtually identical to pounds as specified in § 238.203. Static such triggering events were adopted in existing Federal requirements, found in end strength is critical in protecting the final rule; (3) whether these 49 CFR § 229.141(a)(1)–(4), that apply to passenger equipment from crushing in a triggering events are reasonable, or MU locomotives built new after April 1, head-on or rear-end collision, especially whether some other fixed deadline 1956, and operated in trains having a in the North American railroad should be established for making one or total empty weight of 600,000 pounds or operating environment that includes more of these structural requirements more. These requirements reflect the frequent highway-rail grade crossings applicable to existing passenger common construction practices for and the mixed operation of freight and equipment; and (4) the safety benefits passenger equipment currently in passenger trains. FRA is confident that that could accrue by making these service in the United States, and FRA all but a limited number of existing requirements applicable to existing believes they are minimum safety passenger cars in the United States have equipment. FRA did specifically note in requirements. FRA notes that the been built to this basic compressive the NPRM that older passenger 600,000-pound consist weight threshold strength requirement. Beginning in equipment may not meet the collision for purposes of 49 CFR § 229.141 is not 1939, the AAR recommended that new post requirements in § 238.211(a) an appropriate distinction to apply to passenger cars operated in trains of over because of a change in collision post passenger equipment operated on the 600,000 pounds empty weight have a design following a collision between general system, intermingled with minimum static end strength of 800,000 two Illinois Central Gulf Railroad equipment of more substantial strength; pounds, and since 1956, Federal commuter trains in Chicago, Illinois, on and, as a result, part 238 contains no Regulations (49 CFR. 229.141) have October 30, 1972. such consist weight distinction. In this required that new MU locomotives In response, APTA commented that it regard, FRA notes that through this final operated in such trains must meet this opposed application of the rule’s rule it is amending the application of 49 standard. Railroads with existing structural standards to existing
VerDate 06-MAY-99 17:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00063 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm03 PsN: 12MYR2 25602 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations passenger equipment in light of the issuance. FRA does recognize that have a lesser static end strength to allow potential adverse economic impact on special attention is needed to the a crash energy management design passenger railroads. AAPRCO, in its specifics of this design, which is unique approach to be employed, if the car or comments on the NPRM, believed the in current service in the United States, locomotive resists a minimum static end costs associated with rebuilding private both to avoid inappropriate load of 800,000 pounds applied on the cars to meet the new passenger requirements and to ensure sound line of draft at the ends of its occupied equipment requirements would be functioning of features that may warrant volume without permanent deformation extremely high with no significant exceptions from other requirements. of the body structure. FRA makes clear benefit to the public. AAPRCO stated In the final rule, § 238.201 has been that, for purposes of paragraph (a)(2), that Amtrak requires all cars, including amended to permit approval of the ability of a car or locomotive to private cars, that operate on their system equipment of special construction. (This resist a minimum static end load of be maintained to strict standards of alternative compliance approval process 800,000 pounds applied on the line of inspection, including full 40-year truck does not apply to the minimum static draft at the ends of its occupied volume teardowns with specified periodic end strength requirements set forth in without permanent deformation of the scheduled truck roll-outs, annual § 238.203.) The basis for decision would body structure shall be determined on inspections, and full COT&S. AAPRCO be similar to that discussed in the the basis of the individual car or noted that nearly all private cars NPRM with respect to waivers (62 FR locomotive’s own strength and crash currently in operation are over 40 years 49728, 49755), but the special approval energy management design. Two or old. mechanism would be employed as a more units of passenger equipment may In the final rule, FRA has made the more appropriate means of recognizing not be included in demonstrating the compressive strength requirement the whether the equipment provides an ability of the occupied volume of an only structural requirement applicable equivalent level of safety with the individual passenger car or locomotive to existing passenger equipment. standard of safety benchmarked in the to resist a minimum static end load of However, in general, if the need arises particular provisions of the subpart. 800,000 pounds as specified in to apply one of the other structural No New Safety Appliance Requirements paragraph (a)(2). requirements specified in the rule to Paragraph (a)(2) is based on proposed existing passenger equipment, FRA will FRA is not imposing new safety § 238.203(b) in the NPRM, see 62 FR reconsider whether such requirements appliance requirements for passenger 49804. In the final rule, FRA has revised should be made applicable to existing equipment subject to this subpart. The and incorporated that paragraph into equipment. In particular, FRA will ask safety appliance requirements paragraph (a). FRA has done so in part its Working Group in Phase II of the referenced in § 238.229 continue to to make clear that a passenger car or a rulemaking to consider applying the apply to such passenger equipment and locomotive must first resist a minimum other structural requirements specified are noted in this rule for clarity. static end load of 800,000 pounds in the rule to existing passenger Similarly, the window glazing applied at the ends of the car or equipment when the equipment is requirements in 49 CFR part 223 locomotive, unless the car or locomotive ‘‘rebuilt’’ or otherwise improved such continue to apply by their own force. employs a crash energy management that the useful life of the equipment is Section 238.203 Static End Strength design in which case the load may then materially extended. Further, FRA will be resisted at the ends of the volume of not specifically limit the consideration This section contains the the car or locomotive occupied by of the Working Group in this regard to requirements for the overall passengers or crewmembers. the rule’s structural requirements, but compressive strength of all Tier I rail FRA has included paragraph (a)(3) in will include in its consideration any of passenger equipment, except for the final rule in response to the the other requirements for Tier I equipment meeting the requirements of comments on the NPRM that existing passenger equipment in this final rule. § 238.201. This section is based on the AEM–7 locomotives would not comply long-standing practice of constructing with the static end strength requirement Equipment of Special Construction passenger cars to possess a minimum proposed by FRA. As FRA understands, Comments from Talgo, discussed in static end strength of 800,000 pounds on applying the 800,000-pound load at the general above and in more specific the line of draft without permanent buff stops of an AEM–7 locomotive terms below, question the relevance or deformation of the body structure. This apparently creates too large a moment appropriateness of some of the proposed practice has proven effective in the on either the draft gear housing or on structural standards to a trainset built North American railroad operating the buffer beam to side sill connection. with articulated connections using a environment that includes frequent Having analyzed the AEM–7 monocoque or space frame design. In highway-rail grade crossings, mixed locomotive, FRA believes that the consultations associated with the operation of freight and passenger structure can support a 1,000,000-pound Working Group review, FRA sought trains, and less than fully-capable signal load applied at the center of the buffer information from the commenter and train control systems. This section beam, and provide an equivalent or regarding its trainset and has sought to should be read with the discussion greater level of safety than that proposed identify requirements that might be relating to static end strength earlier in in the NPRM. appropriate for this configuration. the preamble. The requirements of paragraph (a)(3) However, in general, the analytical basis In general, paragraph (a) requires that are based on former AAR Standard 034– for alternative engineering values on or after November 8, 1999 all 69, Section 6—Buffing, paragraph (f). In suggested by the commenter either was passenger equipment (except as the final rule, FRA has doubled the load not evident or was determined not to be otherwise provided in § 238.201) shall provided in the AAR Standard from appropriate. Talgo did submit resist a minimum static end load of 500,000 pounds to 1,000,000 pounds, to additional engineering information in 800,000 pounds applied on the line of ensure safety. Further, FRA has tailored October of 1998 but FRA could not draft without permanent deformation of paragraph (a)(3) so that the alternative appropriately analyze this data for the body structure. As specified in specified therein does not apply to any purposes of the final rule without paragraph (a)(2), unoccupied volumes of locomotive placed in service on or after substantially delaying the rule’s a passenger car or a locomotive may July 12, 1999, as FRA wishes to limit
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00064 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25603 application of this alternative to existing passenger equipment placed in service to rebuild the equipment would involve locomotives. In addition, the alternative before November 8, 1999 is presumed to substantial cost while failing to meet the specified in paragraph (a)(3) may not be comply with paragraph (a)(1) (and thus crashworthiness objectives of this rule. applied to a cab car or an MU presumed to resist a minimum static Information available to FRA indicates locomotive. Use of the alternative for end load of 800,000 pounds applied on that the only useable remaining such a locomotive will not provide as the line of draft without permanent components of these trainsets are their high a level of safety as for a deformation of the body structure), shells. Further, FRA is not aware that conventional locomotive. unless the railroad operating the any funding has been allocated to As specified in paragraph (a)(4), the equipment has knowledge, or FRA initiate the remanufacture of these requirements of paragraph (a) do not makes a showing, that such passenger trainsets, and any planned use of these apply to unoccupied passenger equipment was not built to the trainsets should be considered equipment operating at the rear of a requirements specified in paragraph speculative. passenger train. In the NPRM, FRA had (a)(1). FRA makes clear that passenger To prevent sudden, brittle-type failure proposed excepting from the equipment built in accordance with of the passenger equipment body requirements of paragraph (a) vehicles AAR specifications for the construction structure, paragraph (c) requires that the such as auto-carriers and RoadRailers of passenger equipment operating in body structure be designed, to the operated at the rear of a passenger train trains of more than 600,000 pounds total maximum extent possible, to fail by and used solely to transport freight. To empty weight is deemed to be built to buckling or crushing, or both, of the extent such equipment could be the requirements specified in paragraph structural members rather than by excepted from the requirements of this (a)(1) and, thereby, compliant in this fracture of structural members or failure paragraph, FRA determined that other regard. Originally adopted in 1939, of structural connections. unoccupied passenger equipment Section 6, paragraph (a), of AAR In the final rule, FRA has added a operating at the rear of a passenger train Standard S–034–69, ‘‘Specification for paragraph (d) to provide a process for could also be excepted. In general, the Construction of New Passenger grandfathering approval of passenger however, FRA would prefer that every Equipment Cars,’’ provides in part, ‘‘The equipment in use on a rail line or lines vehicle in a passenger train have a car structure shall resist a minimum on November 8, 1999 that does not meet minimum static end strength as static end load of 800,000 lbs. at the rear the minimum static end strength specified in this section so that in the draft stops ahead of the bolster on the requirements. If the operator of the event of a train collision the cars in the center line of draft, without developing equipment files a petition with FRA train will crush or resist crushing with any permanent deformation in any seeking grandfathering approval to a certain degree of predictability and, member of the car structure.’’ FRA also continue to use the equipment within this 180-day period after the rule is thereby, further the ability of the train makes clear that, in a case where the published, the equipment could to remain upright and in line. As most railroad does not know whether its continue in such usage while the collisions involving a passenger train passenger equipment was built to the petition is being processed, but such occur at the train’s forward end, the requirements specified in paragraph usage must stop May 8, 2000 unless the requirement for unoccupied passenger (a)(1) (or, in essence, this AAR petition is approved. The section sets equipment to possess a minimum specification), the presumption that the forth the requirements for petitions and compressive strength is more significant equipment was built to the requirements service of the petition, and the process for such equipment operated at the specified in paragraph (a)(1) still train’s forward end and in front of the FRA will follow in soliciting comments applies. The presumption is not passenger car consist, than for such on the petition and disposing of applicable only in those cases where the equipment operated at the rear. As petitions. railroad knows, or FRA can make a proposed in the NPRM, private cars are FRA plans to ‘‘grandfather’’ showing, that the equipment was not also excepted from the requirements of equipment only for use in particular built to the requirements specified in paragraph (a). Nevertheless, FRA operating environments providing a paragraph (a)(1). believes that, at a minimum, most sufficient showing is made that any private cars do comply with the In response to the NYDOT’s comment incremental safety risk incurred in those compressive strength requirements that as to the effect of applying the static end environments is not of significant are specified in this paragraph for other strength requirement to existing concern or that specific measures passenger equipment. passenger equipment, and thereby to the mitigating the risk to the traveling In the final rule, FRA has included turboliner equipment planned for use in public and to railroad employees are paragraph (b) to address the concern of New York State, FRA believes that the utilized. Petitioners will need to railroads commenting on the NPRM that RTL trainsets undergoing rebuild demonstrate—through a quantitative their existing passenger equipment may comply with the end strength risk assessment that incorporates design need to undergo potentially costly requirement specified in paragraph information, engineering analysis of the testing to determine whether the (a)(1). However, these RTL trainsets equipment’s static end strength and of equipment complies with the static end need to be contrasted with the RTG the likely performance of the equipment strength requirements specified in this trainsets which the NYDOT has also in derailment and collision scenarios, rule. Although FRA believes that only a expressed an interest in rebuilding for and risk mitigation measures to avoid limited number of existing passenger like use. FRA believes that these RTG the possibility of collisions or to limit equipment on the nation’s railroads trainsets do not meet the end strength the speed at which a collision might does not comply with the static end requirement specified in paragraph occur, or both, that will be employed in strength requirement specified in (a)(1), as FRA understands they were connection with the usage of the paragraph (a)(1), FRA has included a built in accordance with UIC equipment on a specified rail line or presumption in the final rule to alleviate (International Union of Railways) lines—that use of the equipment, as the burden on railroads to show that structural standards (which provide for utilized in the service environment for their existing equipment complies with lesser structural strength). FRA does which recognition is sought, is in the the requirements of this paragraph. note that no RTG trainsets are currently public interest and is consistent with Paragraph (b) provides that any in service in the United States and that railroad safety. In this regard, FRA notes
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00065 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 25604 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations that passenger equipment not endorsement by passenger railroad trainsets need only be equipped with possessing the minimum static end representatives. FRA recognizes that anti-climbing mechanisms of 47,000 strength specified in this rule does not incorporating a separate anti-climbing pounds strength to provide the same have the same capacity to absorb safely arrangement in the leading structure of level of safety as required by the rule. within its body structure the cab cars and MU locomotives presents Talgo explained that, for purposes of compressive forces that develop in a a significant challenge. FRA will calculating a vertical force requirement, collision as equipment meeting the continue to work with the APTA PRESS one should focus on the static force standard. The engineering analysis Task Force to derive a suitable solution. needed to lift a car of specified weight submitted by the petitioner should In its comments on the proposed rule, from one end while supported by the address how these forces will be Talgo remarked that § 238.205(a), as truck on the other end. Talgo further dissipated in a manner that does not drafted, seemed to consider that only explained that this value should be jeopardize occupant safety in collision couplers may properly function as anti- multiplied by a safety factor—equal to scenarios. climbing mechanisms. Talgo 2.2., as it derived from values in the Grandfathering approval of non- recommended modifying this section to proposed rule—in order to take into compliant equipment is limited to usage avoid this implication and ensure that account the possibilities of of the equipment on a particular rail anti-climbing mechanisms of varying misalignment and similar dynamics in line or lines. Before grandfathered design can be evaluated fairly. Talgo the event of a collision. As a result, equipment can be used on another rail asserted that such a modification would Talgo believed specifying a 47,000- line, a railroad must file and secure ensure that articulated trainsets are not pound strength requirement for anti- approval of a grandfathering petition for unfairly subject to a requirement that climbing mechanisms on its equipment such usage. focuses only on conventionally coupled would provide the same level of safety units. WDOT, in its comments on the Section 238.205 Anti-Climbing as specifying a 100,000-pound strength NPRM, raised similar points, noting that Mechanism requirement for anti-climbing articulated joints of semi-permanently mechanisms on conventional cars. This section contains the vertical coupled trainsets provide anti-climbing FRA notes that during a train collision strength requirements for anti-climbing ability. As a result, FRA makes clear the relatively strong underframe of a rail mechanisms on rail passenger that the term anti-climbing mechanism vehicle may ride up above the equipment. The purpose of the anti- is intended to be read broadly to underframe of an adjacent rail vehicle, climbing mechanism is to prevent the encompass more than a conventional and extensively crush the weaker override or telescoping of one passenger coupler, and that an articulated superstructure of the overridden train unit into another in a derailment connection may serve as an anti- vehicle. The potential for override to or collision. FRA is requiring that all climbing mechanism for the purposes of occur is influenced by the dynamic passenger equipment placed in service this section provided it can withstand motions of the cars, the relative heights for the first time on or after November the vertical forces specified in this of the vehicles’ underframes, and the 8, 1999 shall have an anti-climbing section. changing geometry of the vehicles’ mechanism at each end capable of In its comments on the NPRM, Talgo structures as they crush during the resisting an upward or downward also believed that the rule should be collision. These factors allow the vertical force of 100,000 pounds without restated to accommodate trains of development of a vertical component of permanent deformation. When coupled different masses. Specifically, in the very high longitudinal forces together in any combination to join two determining the strength of the anti- occurring in a train during a collision. vehicles, AAR Type H and Type F tight- climbing feature, Talgo recommended This vertical force component, in effect, lock couplers satisfy this requirement. stating the operative variable as vertical squeezes one underframe up and over This requirement incorporates a long- acceleration, expressed in gs (units of the underframe of another vehicle in the standing industry practice into the final acceleration of gravity), rather than load, train. While all three factors play a role rule. expressed in pounds. Accordingly, in the occurrence of override, results of The rule further requires that the Talgo recommended modifying this actual collisions indicate that the forward end of a locomotive ordered on section so that the anti-climbing changing geometry of the car structures or after September 8, 2000, or placed in mechanism be capable of resisting a as they crush—which, in effect, creates service for the first time on or after certain value of acceleration, instead of a ramp during the collision—can September 9, 2002, be equipped with an a vertical force of 100,000 pounds. Talgo overwhelm the influence of the anti-climbing mechanism capable of supplemented its comments on this difference in sill heights. There are resisting an upward or downward section following FRA’s announcement numerous examples of cars with vertical force of 200,000 pounds without that the minutes of the rulemaking’s relatively low underframe heights that failure. This requirement applies to Working Group meetings had been have overridden cars with relatively locomotives or power cars of added to the rulemaking’s docket, See high underframe heights. permanently coupled trains, and 63 FR 28496; May 26, 1998. As FRA had FRA has not modified the final rule in includes cab cars and MU locomotives. permitted comments for inclusion in the response to Talgo’s comment that the Specifying a vertical load requirement record as to whether the minutes rule should require the anti-climbing for lead vehicles (locomotives) that is accurately reflected statements made at mechanism to be capable of resisting a greater than that for coupled vehicles is the Working Group meetings, Talgo certain value of acceleration instead of needed to address the greater tendency stated that the minutes do not mention a specified vertical force. First, Talgo for override in a collision between that a representative of the Volpe Center has not indicated in its comments what uncoupled vehicles. AAR Standard S– acknowledged that this section should that value of acceleration should be, and 580, which addresses the be modified to address lighter rail FRA believes that formulating a crashworthiness of locomotives, has equipment. Talgo stated that, aside from performance standard in pounds of included this requirement for all freight the ends of its articulated trainsets force, instead, is appropriate. Second, locomotives built since August 1990. which it noted are compliant with the Talgo’s subsequent comments have FRA believes this industry practice is 100,000 pound vertical force focused on specifying a 47,000-pound sound, and this requirement received requirement, intermediate joints in the vertical force as an alternative to the
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100,000-pound vertical force that an horizontal position of the coupler or passenger locomotive, including a cab anti-climbing mechanism must resist coupling mechanism. car and an MU locomotive, be at a under this section. In response to this In its comments on the NPRM, Talgo minimum equivalent to a 1⁄2-inch steel latter suggestion by Talgo, FRA notes stated that this section should be plate with a 25,000 pounds-per-square- that the longitudinal force acting on a modified to apply only in the case inch yield strength. Material of a higher vehicle in a train during a collision is, where the coupler between cars itself yield strength material may be used to in large part, a function of the vehicle’s acts as the anti-climbing mechanism— decrease the required thickness of the own deceleration plus the force required not in cases where other anti-climbing material provided at least an equivalent to decelerate all the vehicles behind it. designs such as articulated unions are level of strength is maintained. The skin (The longitudinal force is also utilized. As a result, Talgo shall also be designed to inhibit the dependent on the force required to recommended that the requirements of entry of fluids into the occupied area of crush the vehicles in the train.) When a this section should apply only to the the equipment, and be affixed to the sufficient vertical component of this couplers at the far ends of an articulated collision posts or other main vertical total force develops, override occurs. trainset, and not to the interior structural members of the forward- Because the longitudinal force required articulated unions which do not employ facing end structure to add to the to decelerate the trailing vehicles can couplers. Talgo believed that this strength of the end structure. exceed the force required to decelerate approach has been proposed in the rule AAR Standard S–580 has included the subject vehicle, it is not possible to with respect to Tier II passenger these requirements for all locomotives relate the deceleration of a single equipment. Talgo further commented built since August 1990. From vehicle to the tendency to override in that the load requirement should be the observations of the improved the way that Talgo has explained in same as provided in § 238.205. performance of locomotives during arriving at its proposed 47,000-pound FRA recognizes that in an articulated collisions, FRA believes that this strength value. The Volpe Center trainset, the articulated joint connecting industry standard should be part of representative cited by Talgo sought to the cars in the train serves as both the these safety standards. Passenger make this point clear at the December coupler carrier and as the anti-climbing railroad representatives in the Working 15, 1997 Working Group meeting. This mechanism. Such cars do not have a Group endorsed this improved safety representative also tried to make clear coupler shank, per se. For practical requirement. that he did not agree that consideration reasons, including administration of the In its comments on the NPRM, APTA should be given to lighter rail rule, FRA proposed separate recommended that paragraph (c) be equipment in the way that Talgo requirements for the strength of the anti- clarified so that the skin be designed to proposed at the Working Group meeting climbing mechanism in § 238.205 and permit a train line door with a window and in its comments on the rule. for the strength of the link between the in the forward-facing end structure of Even though it may be theoretically coupling mechanism and car body in cab cars and MU locomotives. In fact, as possible to develop a formula which § 238.207 because the vast majority of proposed in the NPRM, the rule defined relates the decelerations of all the cars Tier I passenger equipment possesses a ‘‘skin’’ to mean the ‘‘outer covering on in a train to the tendency to override, conventional draft system. However, a fuel tank or the front of a locomotive, such a formula would have to take into FRA intended that for passenger including a cab car and an MU account the specific cars in the train and equipment utilizing articulated locomotive, excluding the windows and the time-phasing of the decelerations of connections that comply with the forward-facing doors.’’ See § 238.5; 62 the cars during a collision, as well as the requirements of § 238.205(a), such FR 49795 (The skin may also be covered forces required to crush each of the cars. articulated connections would also with another coating of a material such Development of such a formula is comply with the requirements of this as fiberglass). APTA’s recommendation beyond FRA’s resources in issuing section. In the final rule, FRA has made is therefore consistent with FRA’s initial passenger equipment safety this explicit by adding a sentence to the proposal. For clarity, however, FRA has standards as mandated by Congress. rule text, and FRA has therefore adopted revised the final rule by removing the However, FRA will further examine this Talgo’s comment in this regard. Talgo’s exclusion concerning windows and issue in evaluating equipment of special comment with respect to specifying an forward-facing doors from the definition construction. appropriate load requirement for this of ‘‘skin’’ in § 238.5, and placing the section is consequently addressed in the exclusion instead directly in paragraph Section 238.207 Link Between discussion of § 238.205, above. (d) of this section. Coupling Mechanism and Car Body This section contains the vertical Section 238.209 Forward-Facing End Section 238.211 Collision Posts strength requirements for the structure Structure of Locomotives This section contains the structural that links the coupling mechanism to This section contains the strength requirements for collision the car body on passenger equipment. requirements for the covering or skin of posts. Collision posts provide protection The purpose of this requirement is to the forward-facing end structure of each against the crushing of occupied avoid a premature failure of the draft passenger locomotive ordered on or volumes of passenger equipment, system so that the anti-climbing after September 8, 2000, or placed in including the telescoping of one vehicle mechanism will have an opportunity to service for the first time on or after into another, in the event of a collision engage. September 9, 2002. The purpose of these or derailment. FRA is requiring that all passenger requirements is to protect the occupied Paragraph (a) requires that all equipment placed in service for the first volume of the locomotive cab. This area passenger equipment placed in service time on or after November 8, 1999 be is especially vulnerable in a highway- for the first time on or after November provided with a coupler carrier or other rail grade crossing collision if a fuel 8, 1999 shall have either two full-height coupler-to-car-body linking structure tank that is part of or being transported collision posts, each collision post that is designed to resist a vertical by the highway vehicle ruptures, or bulk having an ultimate longitudinal strength downward thrust from the coupler hazardous materials are released. of not less than 300,000 pounds, or an shank of 100,000 pounds, without FRA is requiring that the skin equivalent end structure. The 300,000- permanent deformation for any normal covering the forward-facing end of each pound strength requirement makes
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00067 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 25606 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations mandatory the long-standing of equipment which could tend to FRA accepts as persuasive—a construction practice for collision posts misalign the train consist. For occupant documented engineering analysis in passenger equipment operating in the safety, it is optimal that a train remain establishing that the articulated United States and has proven effective in line and upright in the event of a connection is capable of preventing in the Nation’s railroad operating collision or derailment, and gradually disengagement and telescoping to the environment. This requirement is come to a stop after ‘‘plowing the same extent as equipment satisfying the similar to that contained in 49 CFR ballast’’ along the railroad track. anti-climbing and collision post 229.141(a)(4), which applies to MU Nonetheless, FRA has revised the requirements contained in this subpart. locomotives operated in trains having a final rule to except unoccupied In such case, the interior ends of the total empty weight of 600,000 pounds or passenger equipment from the individual units in the consist need not more, but also requires the collision requirements of this section—whether be equipped with an end structure posts to be full-height. As noted, FRA operated at the rear or forward end of meeting the requirements of paragraphs does not believe the 600,000-pound a passenger train. However, as noted (a) and (b). FRA notes that, in consist weight threshold is an above in the discussion of § 238.203, commenting on proposed § 238.211(c), appropriate distinction to retain for unoccupied passenger equipment both Talgo and WDOT had requested passenger equipment operating on the operated at the forward end of a that FRA substitute the phrase ‘‘semi- general system intermingled with passenger train must comply with the permanently coupled’’ for ‘‘permanently equipment of more substantial strength, static end strength requirement to joined’’ in describing the consist of and, as a result, no such consist weight maintain the integrity of the train. units subject to the exception provided distinction is made in the final rule. Paragraph (b) requires that each in paragraph (c). This recommendation Full-height collision posts provide locomotive, including a cab car or MU has been adopted. additional protection because they locomotive, ordered on or after FRA has modified paragraph (c) from extend higher than posts attached only September 8, 2000, or placed in service that proposed in the NPRM, see 62 FR at the underframe. Little, if any, for the first time on or after September 49804, by not providing an automatic additional cost is imposed on builders 9, 2002, have two forward collision exception from the collision post by requiring full-height posts. Spacing posts, located at approximately the one- requirements for the interior ends of the collision posts at approximately the third points laterally across the end of individual units in a consist of semi- one-third points laterally across the the locomotive, each post capable of permanently coupled, articulated units. ends of the equipment will allow both withstanding a 500,000-pound Instead, a railroad must submit a posts to be engaged in many collision longitudinal force without exceeding documented engineering analysis scenarios. An equivalent single end the ultimate strength of the joint. In supporting the capabilities of the structure may be used in place of the addition, each post must be capable of articulated connection, as described two collision posts provided the withstanding a 200,000-pound above, and FRA must find that analysis structure can withstand the sum of the longitudinal force exerted 30 inches persuasive. Articulated assemblies have forces that each collision post is above the joint of the post to the a history of remaining in line during required to withstand. This allows for underframe, without exceeding its derailments and collisions and, if not the design of monocoque, unitized or ultimate strength. AAR Standard S–580 designed to be uncoupled, only the like structures. FRA notes, of course, has included this requirement for all outside ends of the entire assembly that such a single end structure must locomotives built since August 1990. should be exposed to the risks of also resist the loading requirements for From observation of the improved override. However, none of the relevant corner posts as specified in § 238.213, as performance of these locomotives recent experience is on the North well as any other applicable end during collisions, including collisions American continent, and the ability of structure requirements as specified in with motor vehicles at highway-rail articulated connections to remain intact this rule for Tier I passenger equipment. grade crossings, FRA believes this during a collision with North American Amtrak, in its comments on the industry practice should become part of passenger equipment, freight rolling NPRM, noted that its rail passenger this rule’s safety standards. stock, or a fixed obstruction has not operation is unique in the United States As an alternative, an equivalent end been demonstrated analytically. FRA because it includes the use of structure may be used in place of the noted the weakness in the proposed unoccupied express and mail cars. two forward collision posts described in exception (§ 238.211(c) of the NPRM) Amtrak stated that collision posts paragraph (b), to allow for the design of while preparing the final rule. An applied to unoccupied head end cars monocoque, unitized or like structures. approved, documented engineering (express cars) are unwarranted because The single end structure shall withstand analysis supporting the capabilities of the posts unnecessarily increase the tare the sum of the forces that each collision the articulated connection is necessary weight of this equipment without any post is required to withstand, in to ensure the safety of passengers and associated improvement in safety. FRA addition to the loading requirements for crewmembers. had originally proposed requiring that corner posts as specified in § 238.213 all passenger equipment comply with and any other applicable end structure Section 238.213 Corner Posts the requirements of paragraph (a), requirements as specified in this rule for This section contains the except for a vehicle of special design Tier I passenger equipment. requirements for corner posts on that operates at the rear of a passenger Paragraph (c) provides that for a passenger cars, such as passenger train and is used solely to transport consist of semi-permanently coupled, coaches, cab cars and MU locomotives, freight, such as an auto-carrier or a articulated units, the end structure ordered on or after September 8, 2000, RoadRailer. See 62 FR 49804. FRA requirements in paragraphs (a) and (b) or placed in service for the first time on sought this broader application of the of this section apply only to the ends of or after September 9, 2002. FRA has collision post requirements in part the semi-permanently coupled consist clarified the requirements of this because collision posts serve to repel of articulated units, provided that the section, as explained below. adjacent passenger equipment in a train railroad submits to the FRA Associate A corner post is the vertical structural collision or derailment and, thereby, Administrator for Safety under the member normally located at the help prevent the uncontrolled crushing procedures specified in § 238.21—and intersection of the end of a rail vehicle
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00068 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25607 with a side of that vehicle. Paragraphs comments on the NPRM, the BLE does permanently coupled, articulated (a) and (b) specify the loads and not wish the cab control compartment to passenger car under certain orientation of the loads that a corner be the designated section of a passenger circumstances, the possibility of doing post in a passenger car must resist. The car to crush in a collision, and FRA so does exist. FRA, therefore, cannot values specified in paragraphs (a) and agrees with the BLE that the cab must grant an exclusion from the corner post (b) are the same as those proposed in the be protected. requirements to such equipment NPRM, see 62 FR 49804, though they Bombardier, in its comments on the operated as an intermediate unit in an have been stated in a different manner 1997 NPRM, suggested that proposed assembly of semi-permanently coupled, for clarity in the final rule. section 238.213(a) be modified so that articulated passenger cars. This section allows flexibility so that the corner posts must resist the loads In additional comments on this corner posts may be located at positions specified in this section at the point of section, the BLE stated that the other than at the extreme outside attachment to the underframe and at the proposed corner post strength corners of a passenger car, as long as the point of attachment to the roof structure, requirements for Tier I passenger corner posts are placed ahead of the as those loads are applied individually. equipment do not adequately address its occupied volume of the car. In this FRA had proposed that the corner post safety concerns. The BLE noted that past manner, corner posts may be positioned be able to resist these loads as applied cornering collisions may have resulted adjacent to the occupied volume of a simultaneously, not as applied in fewer deaths and injuries had passenger car to provide structural individually. FRA has carried forward improved corner post structures been in protection to the occupied volume. For its proposal into the final rule, and has place, and that Tier I passenger instance, for passenger coaches not adopted Bombardier’s comment. equipment may operate up to 125 mph equipped with end vestibules, the Requiring the corner post to resist the in corridors with a significant number of corner posts may be located in the side specified loads as applied highway-rail intersections. The BLE structure inboard of the vestibules’ side simultaneously at the points of recommended that FRA apply the door openings, provided that such posts attachment to the underframe and at the corner post requirements proposed for are not placed inside the occupied roof structure is a stricter requirement. Tier II power cars in § 238.409 to all volume, which includes any space for In addition, the requirement is likely new and upgraded Tier I passenger crew or passenger seating. FRA has fully more representative of the conditions equipment. defined ‘‘occupied volume’’ in § 238.5 present in an actual collision where the As FRA explained in the NPRM, the to mean the volume of a rail vehicle or corner post may be impacted at both structural parameters for corner post passenger train where passengers or points simultaneously, as in the case of strength represent the common practice crewmembers are normally located a sideswipe with a passing rail car. for passenger cars built for North during service operation, such as the In their comments on the NPRM, American service. They are being operating cab, and passenger seating Talgo and WDOT stated that the rule adopted as an interim measure to and sleeping areas. The entire width of should provide an exception for prevent the introduction of equipment a vehicle’s end compartment that articulated trainsets similar to that not meeting such minimum contains a control stand is an occupied proposed for collision posts in requirements. FRA recognizes that volume. Further, a vestibule is typically § 238.211(c) of the NPRM. Accordingly, current design practice has proven not considered occupied, except when it these commenters believed that corner inadequate to protect the occupied contains a control stand for use as a posts should be required only at the far volume in several recent side-swipe control cab. ends of an assembly of semi- collisions involving passenger trains FRA did not intend that the flexibility permanently coupled, articulated with cab cars leading. Crash modeling to place corner posts at locations other passenger equipment—not at each end suggests that it is not feasible to modify than at the extreme outside corners of of each intermediate, semi-permanently current equipment designs to protect passenger cars would permit such coupled vehicle. FRA has not adopted against collisions of the magnitude that corner posts to be placed inside the these comments in the final rule. First, occurred at Secaucus, New Jersey, and occupied volume of the cars, and FRA as discussed above, FRA has modified Silver Spring, Maryland, in February of recognizes that it should have made this § 238.211 on collision posts so that there 1996. Nevertheless, stronger corner point more explicit in the NPRM. See 62 is no automatic exception from the posts are necessary to address collisions FR 49766. (Of course, as a railroad is collision post requirements for involving lower closing speeds. FRA is free to take safety measures beyond intermediate vehicles in an assembly of assisting the APTA PRESS Task Force in those required in this rule, a railroad semi-permanently coupled, articulated preparing a standard for corner post may, therefore, operate a passenger car passenger equipment. Further, corner arrangements on cab cars and MU with corner posts inside the occupied posts, by their very definition and locomotives. Adoption of a suitable volume of the car if another set of corner location, protect against hazards in a standard will be an immediate priority posts that do comply with the way that collision posts (positioned upon publication of the final rule. requirements of this section are placed closer to the center of the end of a ahead of the occupied volume.) In light vehicle) cannot. There are many Section 238.215 Rollover Strength of the vulnerabilities of cab cars and MU different scenarios in which a passenger This section contains the structural locomotives operating as the leading car may be struck at its corner, such as requirements intended to prevent units in a passenger train, such in a corner-to-corner collision with significant deformation of the normally passenger cars must be equipped with another rail vehicle, or a raking collision occupied spaces of a passenger car in corner posts meeting the requirements with an object fouling the right-of-way. the event it rolls onto its side or roof. of this section that are placed ahead of As noted in the NPRM, eight passengers This section essentially requires the the occupied volume. Cab cars and MU were killed following incursion of a vehicle structure to be able to support locomotives will normally be occupied freight car into the side of two Amtrak twice the dead weight of the vehicle by a train crewmember in an end coaches beginning at the corner of each while the vehicle is resting on its side compartment, and thus must have car, near Lugoff, South Carolina, on July or roof. Analysis has shown that current corner posts placed near the extreme 31, 1991. Although there may be less passenger car design practice meets this ends of the vehicles. As stated in its chance of striking the corner of a semi- requirement. This requirement has
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Accordingly, FRA has rolled during collisions or derailments. allowable stress for occupied volumes. expressly provided that the minimum For this reason, FRA believes this . . .’’ See 62 FR 49804–49805. section moduli or thickness specified in requirement should be incorporated into paragraph (a) may be adjusted in Section 238.217 Side Structure these safety standards. proportion to the ratio of the yield In the NPRM, FRA invited comment This section contains car body side strength of the material used to that of whether this requirement should also structure requirements. These mild open-hearth steel only for a car apply to locomotives. Representatives requirements are intended to prevent whose structural members are made of from RPI had advised that locomotives the side panels of a passenger car from a higher strength steel. do not roll over frequently enough to flexing excessively while in operation, Talgo, in its comments on this section justify such requirements for and help to resist penetration of the in the NPRM, believed that the conventional locomotives. passenger car’s side structure by an requirement should be rewritten to The BRC commented that this outside object. These provisions specify the units used for each of the requirement should apply to essentially codify, with minor concepts discussed. For clarity, FRA locomotives to protect the locomotive’s modifications, sections 16 and 17 of states that the dimensional units in this crew from the crush and deformation of AAR Standard S–034–69, Specification paragraph are in inches, and the units the locomotive’s occupied volume. for the Construction of New Passenger for the section moduli are ‘‘in inches3’’ While recognizing that locomotives may Equipment Cars. (inches cubed) in paragraphs (a)(1) and not roll over frequently, the BRC This section was originally entitled (2). observed that the additional strength ‘‘Side impact strength’’ in the NPRM. In its comments on the NPRM, WDOT will protect the locomotive’s crew if FRA has changed the section title stated that it appeared FRA has other equipment does land on top of the because the requirements in this section continued to refuse to provide it with locomotive. The BRC believed that the principally refer to the stiffness of a detailed information on the risks and occupied volume of the locomotive car’s side panel, rather than the panel’s true need for side impact standards. must be protected to increase the strength. That is, these provisions WDOT stated that it had previously chances of survivability for principally focus on preventing the side asked FRA for documentation to crewmembers. FRA notes that a rollover panel from flexing excessively under support FRA’s assertion that, as strength requirement for all service loads. The greatest service loads originally stated in the ANPRM, locomotives—freight and passenger—is acting on the sidewalls of a passenger ‘‘[d]esigns of some passenger equipment being examined in the RSAC car probably result from the have floor levels low to the rail, creating Locomotive Crashworthiness Working aerodynamic loads of a train entering or the tendency for a heavy highway Group. FRA believes that the exiting a tunnel, and from two trains vehicle striking the side of the train to Locomotive Crashworthiness Working passing each other at speed. Residually, climb into the occupied passenger Group is the most appropriate forum in these requirements will provide some volume rather than being driven under which to address a rollover strength protection in the event the passenger the underframe of the passenger rail requirement for locomotives overall. car’s side panel is struck by an outside car’’ (61 FR 30692). Without such In its comments on the NPRM, Talgo object. detailed evidence, WDOT recommended stated that paragraph (a) should include FRA believes that a side structural that proposed § 238.217 be deferred the clarification that local deformations strength requirement is necessary until the second phase of the are acceptable when the car rests on its because approximately 13% of the grade rulemaking. side, just as paragraph (b) specifies that crossing accidents involving a passenger The Volpe Center has analyzed a some deformation is permitted to the train result from a highway vehicle highway vehicle side impact into a roof when the car is resting thereon. In striking the side of the passenger train. single-level Amfleet car. The results of paragraph (b), FRA has specified that Further, passenger trains may be struck that analysis indicate that the Amfleet deformation to the roof sheathing and in the side by other trains, individual car will derail and push sideways before framing is allowed to the extent rail cars that roll out of sidings, or significant crushing of the car can occur. necessary for the vehicle to be freight being transported on trains It is expected that rail cars having supported directly on the top chords of sharing common rights-of-way. In similar structures—side sill, body the side frames and end frames. This addition, during a derailment or train- bolster, and center sill—at a similar type of deformation does not impinge to-train collision, trains frequently height would behave in the same way in on the volume normally occupied by buckle, exposing the sides of cars to such a collision. This includes most passengers. However, side wall potential impacts during the collision. passenger cars operating in the United deformations pose a safety risk to In its comments on this section in the States. However, other cars, such as passengers since seats and other interior NPRM, Bombardier noted that the Amtrak’s bi-level cars and WDOT’s fittings are typically attached to the side proposed requirement was based on single-level rail cars, have floor wall, and passenger limbs are at risk of AAR Standard 034, Section 20, and it structures that are structurally different entrapment or crushing. Therefore, FRA believed that to be consistent with the and positioned closer to the rail. has modified this section in response to AAR Standard and to take advantage of Preliminary analysis indicates that Talgo’s comment only to permit local the higher strength steels currently used significant crushing may occur if a yielding of the outer skin of a passenger in carbody construction, the rule should highway vehicle collides into the side of car provided the resulting deformations specify in paragraph (a) that, ‘‘Where one of these cars. in no way intrude upon the occupied minimum section moduli or thickness As a general principle in specifying a volume of the car. are specified, they shall be adjusted in side impact strength requirement for a As Bombardier suggested in its proportion to the ratio of the yield passenger car, the objective is to ensure comments on the NPRM, FRA has also strength of the material used, to that of that the side of the passenger car is made a minor clarification to this mild open-hearth steel.’’ FRA agrees strong enough so that the car derails and section by substituting the words ‘‘in that this comment is applicable to cars is pushed sideways—rather than the structural members of the’’ in place whose structural members are made of collapses—when struck in the side by
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A considered heavy highway vehicles to trainsets for the Northeast Corridor. more meaningful side structure consist of all those vehicles identified as Section 238.219 Truck-to-car-body requirement than contained in this a ‘‘Truck-Trailer’’ (3) and one-half of attachment section is necessary to address this those vehicles identified as ‘‘Truck’’ concern. Such a requirement will (55), as specified according to Form This section contains the truck-to-car- include specifying minimum shear FRA F6180–57—Rail-Highway Grade body attachment strength requirement values at the car’s floor as well as at Crossing Accident/Incident Report. In for passenger equipment. The some point above the floor to protect the this period, then, a heavy highway attachment is required to resist without car’s occupants. This will be a priority vehicle struck the side of a passenger failure a 2g vertical force on the mass of in the second phase of the rulemaking. train an average of 4 times each year— the truck and a force of 250,000 pounds The requirement in this final rule is, and of these occurrences a heavy in any horizontal direction on the truck. therefore, an interim measure. As FRA highway vehicle struck other than the The intent of the requirement for the believes that this section does not lead unit in the train an average of 1 to attachment to resist without failure a address in particular the vulnerability of 2 times each year. minimum vertical force equivalent to 2g low-floor passenger cars to a side impact In its comments on the NPRM, the acting on the mass of the truck is to by a heavy highway vehicle, FRA has, WDOT noted that FRA had not provided prevent the truck from separating from in effect, deferred consideration of a a record of any injuries or deaths the car body if it is raised or rolls over. requirement to do so. occurring from highway vehicle In effect, the attachment must resist, FRA notes that WDOT also collisions into passenger trains. FRA without failure, a force equal to twice commented as to the likelihood that a states here that in the 8-year period from the weight of the truck and all the highway vehicle will strike the side of 1990 through 1997, highway vehicle components attached to the truck. Many a passenger train. WDOT disagreed with collisions into passenger trains resulted types of keepers are used to keep trucks FRA’s analysis and conclusions on this in 7 total injuries reported to FRA—3 attached to car bodies. FRA believes that issue as stated in the NPRM. See 62 FR injuries to railroad employees, and 4 the majority of them are capable of 49730–1. WDOT stated that FRA had injuries to passengers—and no reported meeting this requirement. The intent of omitted mentioning that two-thirds of fatalities. FRA notes that reliance on the requirement for the attachment to all the highway vehicle side impact this passenger injury data in the abstract resist without failure a minimum force collisions into a passenger train is not appropriate when considering the of 250,000 pounds acting in any involved the highway vehicle striking risks associated with operating a horizontal direction on the truck is to the side of the locomotive. From this, particular rail passenger vehicle. For address the forces that act upon the WDOT estimated that one-half of one example, it is possible that a highway truck during a derailment that would percent (0.5%) of all grade crossing vehicle collision into the side of an tend to shear the truck from the car accidents over the 10-year period shown Amfleet rail car that does not injure any body. The parameter selected represents in the NPRM may have involved a passengers would instead cause injuries the current design practice that has ‘‘heavy’’ highway vehicle striking the under the same circumstances in a proven effective in preventing side of a passenger car. collision involving a rail car with a horizontal shear of trucks from car FRA has gathered more recent data different floor structure positioned bodies. since publication of the NPRM on closer to the rail. As noted above, most If the truck separates from the car highway vehicle side impact collisions of the passenger cars in the United body in a collision or derailment it may into passenger trains. Between January States possess floor structures similar to become a hazardous projectile that will 1, 1990, and December 31, 1997, 1,572 the Amfleet rail car, positioned at a intrude upon the occupied volumes of collisions occurring at public highway- similar height above the rail. FRA the equipment involved in the collision rail public grade crossings between maintains that the potential for a or derailment. Further, if the truck passenger trains and highway vehicles highway vehicle to strike the side of a separates from the car body it will not were reported to FRA. In 202 of these passenger train is real, as shown by the be able to serve, in effect, as an anti- instances (12.8%) highway vehicles record of the frequency of highway climbing device in a collision or struck the side of a passenger train. In vehicles striking the sides of passenger derailment. With the truck attached to other words, a highway vehicle struck trains. FRA therefore advises railroads the car body, the truck of an overriding the side of a passenger train an average to consider the risks and consequences rail vehicle is likely to be caught by the of approximately 25 times each year in of such a collision, with particular underframe of the overridden rail this period. Further, in this period 137 attention to the different units of vehicle, thus arresting the override. collisions involved the highway vehicle passenger equipment in their In its comments on the NPRM, Talgo striking the first unit of the passenger operations. recommended that the regulation be train, and 65 collisions involved the As noted above, the side strength of modified so that the strength of the highway vehicle striking a unit behind a passenger car is also highly pertinent attachment against horizontal force is the first unit in the train. As a result, to its crashworthiness in a side or raking also measured in gs. Specifically, Talgo WDOT is correct insofar as collision with other railroad rolling suggested that the vertical force approximately two-thirds of such stock. Examples could include a freight resistance limit of 2g could be employed collisions involved the highway vehicle car rolling out of a siding or industrial rather than a fixed load measure that, striking the first unit in the passenger spur into the side of a passenger train, according to Talgo, did not take into train, which ostensibly was a or a locomotive moving in a terminal account individual truck mass. Talgo locomotive but could also have been a area passing through a switch and into believed that this modification would passenger car (cab control car or MU the side of a passenger train. not undermine the intent of the rule, locomotive). Recognizing these concerns, the Tier II which it noted as allowing the truck to
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00071 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 25610 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations act as an anti-climbing device during a to-car-body attachment must resist: In the car body. Paragraph (b)(1) requires collision, citing the NPRM at 62 FR this case, the mass of the truck each exterior window on a locomotive 49767. necessarily determines how strong the cab or a passenger car to remain in place In addressing Talgo’s comments, FRA truck-to-car-body attachment must be to when subjected to the forces the glazing would like to make clear that the prevent the truck from separating from itself is required to resist in part 223 of fundamental reason for requiring the the vehicle, as the weight of the truck this chapter. In this way, the window truck-to-car-body attachment to resist essentially acts to ‘‘pull’’ the truck away glazing must be secured in place so that without failure a minimum force of from the rail vehicle. it can both resist spalling when struck 250,000 pounds acting in any horizontal Talgo, in further commenting on the by a projectile, for example, and also direction on the truck is to prevent the requirements of this section, resist being knocked out of the window truck from shearing off (separating from) recommended that the rule should frame. Paragraph (b)(2) requires each the car body. (FRA believed this except articulated equipment utilizing a exterior window on a locomotive cab or implicit in the preamble discussion of single-axle truck positioned between a passenger car to remain in place when the NPRM, and is making it clear here two car bodies. Talgo stated that in the subjected to the forces due to air to remove any doubt.) Whether the truck event a compressive force is generated pressure differences caused when two separates from the car body if the car by a collision, the truck attached to trains pass at the minimum separation rolls over, or whether the truck articulated equipment would become for two adjacent tracks, while traveling separates from the car body from being embedded between the two car bodies. in opposite directions, each train sheared off, the truck may become a In this case, it believed the truck is not traveling at the maximum authorized hazardous projectile in either case. FRA intended to serve as an anti-climbing speed. This requirement is also did state in the NPRM, ‘‘If the truck device, and that the train’s articulated intended to prevent the window from remains attached to the car body, the joints would instead provide protection being forced from the window frame, truck is less likely to be struck by [or against climbing. WDOT also raised this potentially injuring passengers and strike] other units of the train.’’ 62 FR point in its comments on the NPRM, crewmembers. FRA believes that most 49767. Having the truck remain attached and recommended that FRA work with existing passenger equipment subject to to the car body also allows the truck to Talgo to develop an appropriate part 223 meets these requirements. serve, in effect, as an anti-climbing alternative to the proposed rule for non- FRA did not receive any specific device to prevent one vehicle from conventional equipment. comments on this section. However, for overriding another in a collision. In this As noted, having the truck remain clarity, FRA has restated the regard, FRA stated in the NPRM, ‘‘With attached to the car body in a collision requirements proposed in § 238.221(b) the truck attached to the car body, the or derailment helps to prevent one and (c) in the NPRM, see 62 FR 49085, truck of an overriding vehicle is likely vehicle from overriding another vehicle as § 238.221(b) in this final rule. The to be caught by the underframe of the as the truck of the vehicle attempting focus in paragraph (b) in the final rule overridden vehicle, thus arresting the the override is caught on the is clearly on the ability of each exterior override.’’ Id. (Emphasis added.) underframe of the other vehicle. window to remain in place, however the However, insofar as FRA’s statement in Further, the opportunity of having the window may be secured, and not have the NPRM that the ‘‘Arequirement for truck of one vehicle caught on the the window become a potential the [truck-to-car-body] attachment to underframe of another vehicle in such a projectile itself. resist a horizontal force is intended to scenario should be less likely to occur Section 238.223 Fuel tanks allow the truck to act as an anti- in a collision involving single-axle climbing device during a collision’’ has articulated passenger rail cars than in This section contains the structural been understood to represent the only the case of non-articulated, requirements for external and internal intent of the horizontal loading conventional rail equipment. Yet, as fuel tanks on passenger locomotives resistance requirement, FRA makes FRA has made clear, the requirements of ordered on or after September 8, 2000, clear here that such an understanding of this section are principally intended to or placed in service for the first time on the requirement’s intent is too narrow. prevent a truck from separating from a or after September 9, 2002.External fuel FRA believes it appropriate to specify rail passenger vehicle. Trucks can and tanks must comply with the that a passenger rail vehicle’s truck-to- have separated from articulated rail performance requirements for car-body attachment must resist without equipment in a collision; and truck locomotive fuel tanks contained in failure a minimum force of 250,000 separation poses a direct threat to the Appendix D to this part, or an industry pounds acting in any horizontal safety of a passenger train’s occupants, standard providing at least an direction on the truck. This force may especially when the cars in which those equivalent level of safety if approved by be possessed by one rail vehicle passengers ride are structurally FRA’s Associate Administrator for (Vehicle A) as it collides with the truck vulnerable to penetration. As a result, Safety under § 238.21. The requirements of another rail vehicle (Vehicle B) in a the requirements of this section must in Appendix D are based on AAR collision. Vehicle A is able to possess apply to all passenger rail equipment- Recommended Practice-506, this force independent of the mass of whether articulated or not. Performance Requirements for Diesel Vehicle B’s truck—or, for that matter, Electric Locomotive Fuel tanks, as the mass of Vehicle B itself. Section 238.221 Glazing adopted on July 1, 1995. In the NPRM, Nonetheless, Vehicle B’s truck-to-car- This section contains additional FRA proposed incorporating the body-attachment must resist this force requirements concerning the safety requirements of AAR RP–506 directly so that its truck does not separate from glazing of passenger equipment subject into the rule. See 62 FR 49805. In its body. In this regard, FRA believes it to the requirements of 49 CFR part 223. preparing the final rule, however, FRA inappropriate to restate the horizontal Existing safety glazing requirements for determined that restating the force requirement in this section so that windows have largely proven effective requirements of RP–506 in Appendix D it is dependent on the mass of an in passenger service at speeds up to 125 would facilitate FRA’s administration of individual rail vehicle’s truck. FRA does mph. However, part 223 does not the external fuel tank performance note that it has related the mass of the address the performance of the frame requirement. RP–506 itself is not truck to the vertical force that the truck- which attaches the window glazing to specifically written as a regulatory
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00072 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25611 document, and one of its provisions on operational and performance passenger equipment, and the NPRM fueling does not appear to be a safety information is gained. reflected this advice. requirement. However, FRA does not Overall, FRA is requiring that all Section 238.225 Electrical System intend to make any substantive change passenger equipment shall exhibit from the requirements of RP–506, FRA did not receive any specific freedom from hunting oscillations at all except as noted in detail in the comments on this section, and it is speeds. Further, FRA is requiring discussion of Appendix D. adopted as proposed. This section particular suspension system safety FRA has included a definition of contains the requirements for the design requirements for passenger equipment external fuel tank in the final rule to of electrical systems on passenger operating at speeds above 110 mph but mean a fuel containment volume that equipment. In developing the proposed not exceeding 125 mph, near the extends outside the car body structure rule, the Working Group advised that no transition speed range from Tier I to of the locomotive. An external fuel tank single, well-recognized electrical code Tier II requirements. Although FRA is distinguished from an internal fuel or set of standards applied directly to believes that for speeds not exceeding tank, which is defined in the rule as a the design of railroad passenger 110 mph existing equipment has not fuel containment volume that does not equipment. As a result, the Working demonstrated serious suspension extend outside the car body structure of Group recommended broad performance system stability problems, most of this the locomotive. As a result, a fuel tank requirements which reflect common same equipment is only operated at that is built into the car body structure electrical safety practice and are widely speeds that do not exceed 110 mph. but is exposed in any way to the outside recognized as good electrical design Accordingly, when new or existing is considered an external fuel tank practice. FRA had offered for comment passenger equipment is intended for under the rule. more detailed electrical system design operation above 110 mph, this FRA has changed the title of requirements in the ANPRM, but as equipment must demonstrate stable paragraph (b) in the NPRM from Integral advocated by the Working Group the operation during pre-revenue service fuel tanks to Internal fuel tanks, NPRM’s approach was more qualification tests at all speeds up to 5 reflecting the clarification in the performance-oriented and provided mph in excess of its maximum intended definitions. This change is consistent wide latitude in equipment design. FRA operating speed under worst-case with FRA’s intent that, for purposes of believes that this approach helps to conditions—including component the rule, locomotive fuel tanks must ensure good electrical design practice wear—as determined by the operating railroad. The Working Group advised comply with one of two standards, without imposing unnecessary costs on FRA that a single definition of worst- depending upon the exposure of the fuel the industry. case conditions could not be applied tank outside the car body structure. FRA The electrical system requirements generally to all railroads; and, as a has dispensed with the term ‘‘integral’’ include provisions for: result, the definition of worst-case fuel tank—i.e., a fuel tank that is • Electrical conductor sizes and conditions shall be determined by each essentially integrated with a structural properties to provide a margin of safety railroad based upon its particular member of the locomotive not designed for the intended application; • Battery system design to prevent the operating environment. as a fuel container—because, depending FRA has revised paragraph (a) based risk of overcharging or accumulation of on its placement, an integral fuel tank on a comment from Talgo by defining dangerous gases that can cause an either may or may not be exposed hunting oscillations in the rule text outside the locomotive car body explosion; • directly, and removing the definition of structure. Design of resistor grids that hunting oscillations from § 238.5. In commenting on the NPRM, dissipate energy produced by dynamic Further, FRA has clarified the intent of Bombardier noted that the requirements braking with sufficient electrical paragraph (a) that passenger equipment proposed in this section have not been isolation and ventilation to minimize shall exhibit freedom from hunting applied by the industry to diesel the risk of fires; and • oscillations at all ‘‘operating’’ speeds, by multiple-unit locomotives (DMUs). Electromagnetic compatibility inserting the word ‘‘operating’’ as Bombardier believed that the need and within the intended operating recommended by Bombardier in its feasibility of applying these standards to environment to prevent electromagnetic comments on the rule. FRA has made a DMUs must be evaluated specially interference with safety-critical similar clarification in paragraph (b). because DMUs have much smaller equipment systems and to prevent AAPRCO, in its comments on the enclosed and protected fuel tanks than interference of the rolling stock with NPRM, stated that ‘‘hunting’’ is a those found on conventional North other systems along the rail right-of- dynamic resonance phenomenon in American locomotives. Accordingly, way. which factors as diverse as car body Bombardier recommended that FRA Electrical standards currently under characteristics, truck characteristics, defer applying the requirements of this development by an APTA PRESS Task suspension conditions, wheel tread section to DMUs, until specific Force will help give effect to these contours and multiple rail alignment, requirements for DMUs are developed. requirements and supplement them as profile, and lubrication conditions all Having considered Bombardier’s appropriate. interact to produce a condition in which comment, FRA does not recommend the truck oscillates back and forth separately addressing requirements for Section 238.227 Suspension System rapidly as the train moves down the DMU locomotives at this time. FRA has This section contains the track. AAPRCO recognizes that hunting not been provided the operational or requirements for suspension system may be dangerous because high forces performance information necessary for performance of all Tier I passenger can be generated between the wheels an in-depth evaluation of DMU fuel equipment. In the ANPRM, FRA and the rails. However, according to tanks, and only a limited number of presented for comment a large set of AAPRCO, because complex interactions DMUs presently operate within the U.S. detailed suspension system performance of many factors lead to hunting, there is FRA will further consider formulating requirements. The Working Group no straightforward way for a car owner separate requirements for DMU fuel advised that such an extensive set of or railroad carrier to determine ahead of tanks in Phase II of the rulemaking, as requirements was not needed for Tier I time whether hunting will occur
VerDate 06-MAY-99 18:00 May 11, 1999 Jkt 183247 PO 00000 Frm 00073 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm03 PsN: 12MYR2 25612 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations without extensive, dynamic testing at for any train brake system. This section effective brake system performance, and operating speed and often on the merely codifies a requirement which is a codification of current industry particular track in question. AAPRCO current industry practice and is the practice. FRA intends the requirement believed that all cars which exhibit basis for safe train operation in the to apply to all types of brake control hunting when in service should be fixed United States. signals, including pneumatic, electric, at the first opportunity. Yet, AAPRCO Paragraph (b) requires that passenger and radio signals. recommended deleting from the rule the equipment ordered on or after Paragraph (e) prohibits the requirement that passenger equipment September 8, 2000, or placed in service introduction of alcohol or other exhibit freedom from hunting for the first time on or after September chemicals into the brake line. During oscillations at all speeds for lack of a 9, 2002 be designed not to require an periods of extreme cold weather, practical, predictive method to inspector to place himself or herself on, railroad employees at times resort to determine whether an individual car under, or between components of the adding alcohol or other freezing point meets this requirement. equipment to observe brake actuation or depressants to the brake line in an FRA agrees with AAPRCO’s release. The requirement allows attempt to prevent accumulated comments to the extent that the onset of railroads the flexibility of using a moisture in the line from freezing. truck hunting cannot always be reliable indicator in place of requiring Virtually every railroad has a policy predicted. However, railroads should direct observation of the brake against this practice because alcohol not use equipment that they know has application or piston travel, because the and other chemicals attack the o-rings a hunting problem; and FRA is retaining current designs of many passenger car and gaskets that seal the brake system, the proposed requirement in the final brake systems make direct observation causing them to age or fail prematurely. rule. FRA has added AAPRCO’s extremely difficult without the This practice can lead to dangerous air suggestion that if hunting oscillations inspector placing himself or herself leaks and it increases maintenance do occur, a railroad shall take underneath the equipment. Brake costs. immediate action (such as a reduction system piston travel or piston cylinder Paragraph (f) requires that the brake in speed and subsequent attention to pressure indicators have been used with system be designed and operated to wheel contours) to prevent derailment. satisfactory results for many years. FRA prevent dangerous cracks in wheels. FRA does note that private rail cars are recognizes the concerns raised by Passenger equipment wheels are typically heavy rail cars and, therefore, certain labor representatives regarding normally heat treated so that the wheel less likely to hunt than lighter rail cars. the use of piston travel indicators, and rim is in compression. This condition FRA has added paragraph (c) to this although such indicators do not provide forces small cracks that form in the rim section to make clear that the 100 percent certainty that the brakes are to be closed. Heavy tread braking can requirements of 49 C.F.R. part 213 effective, FRA believes that they have heat wheels to the point that a stress concerning vehicle/track interaction proven themselves effective enough to reversal occurs and the wheel rim is in apply by their own force to passenger be preferable to requiring an inspector tension to a certain depth. Rim tension equipment, notwithstanding any to assume a dangerous position. is a dangerous condition because it provision of this section. The Paragraph (c) requires that an promotes surface crack growth. In the requirements of 49 C.F.R. § 213.345 are emergency brake application feature be 1994 NPRM on power brakes, FRA more detailed than those that are available at any time and that it produce proposed a wheel surface temperature contained in this section, and apply as an irretrievable stop. This section limit to prevent this condition. See 59 specified in that section to the merely codifies current industry FR 47729. Several brake manufacturers qualification of the vehicle/track system practice and ensures that passenger and railroads objected to this approach, for track Classes 6 through 9 for equipment will continue to be designed claiming that the temperature limit was passenger equipment operating above 90 with an emergency brake application too conservative and did not allow for mph (and freight equipment operating feature. This provision recognizes the the development of new materials that above 80 mph). reality that most passenger brake can withstand higher temperatures. equipment currently provides a Based on these comments and concerns, Section 239.229 Safety appliances deceleration rate with a full service FRA proposed in the 1997 NPRM and is This section references current safety application that is close to the retaining a more flexible performance appliance requirements contained in 49 emergency brake rate. The current requirement rather than a wheel tread U.S.C. chapter 203 and 49 CFR part 231. design requirement contained in 49 CFR surface temperature limit. This is an These existing requirements continue to Part 232, Appendix B, requiring the extremely important safety requirement apply independently to all Tier I emergency application feature increase because a cracked wheel that fails at passenger equipment, and FRA is a train’s deceleration rate by 15 percent, high speed can have catastrophic referencing them here for clarity. would require the lowering of full consequences. In addition to the safety service brake rates on passenger concerns, FRA believes that this Section 238.231 Brake system equipment, thereby compromising requirement will lead to longer wheel This section contains general brake safety and lowering train speeds. life, and thus should provide system performance requirements that Consequently, FRA will not require a maintenance savings to the railroads. apply on or after September 9, 1999 to specific deceleration rate that must be Paragraph (g) requires that brake discs Tier I passenger equipment except as obtained through an emergency brake be designed and operated so that the otherwise provided. Paragraph (a) application. disc surface temperature does not contains a requirement that the primary Paragraph (d) requires that the train exceed manufacturer recommendations. braking system be capable of stopping brake system respond as intended to In the 1994 NPRM, FRA proposed a disc the train with a service application of brake control signals and that the brake surface temperature limit. See 59 FR the brakes from its maximum authorized control system be designed so that a loss 47729. As noted above, several brake operating speed within the signal of control signal causes a redundant manufacturers and railroads objected to spacing existing on the track. FRA control to take over or cause the brakes this approach, claiming that the believes that this requirement is the to apply. These provisions are temperature limit was too conservative most fundamental performance standard fundamental requirements necessary for and did not allow for the development
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00074 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25613 of new materials that can withstand locomotives generally transport operation, there is not an independent higher temperatures. Based on these members of the general public, similar dynamic brake: The dynamic brake and comments and concerns, FRA proposed to passenger coaches, the necessity to the pneumatic brake systems are in the 1997 NPRM and is retaining a apply the hand brake while the car is in automatically blended without separate more flexible requirement rather than a motion becomes critical for passenger action being taken by the locomotive single disc surface temperature limit. safety. Therefore, FRA believes that MU engineer. Thus, the undue reliance on FRA believes this requirement will lead locomotives should be equipped with a the dynamic brake is not a major to longer disc life, and thus will hand brake which meets the design concern when blended braking systems produce maintenance savings to requirements contained in part 231 are utilized. In addition, the provisions railroads. regarding passenger cars. contained in this paragraph ensure that Paragraph (h) contains the This paragraph contains the blended brake systems are designed so requirements related to hand brakes and requirement that the hand brake or that failure of the dynamic portion of parking brakes on passenger equipment. parking brake hold the loaded unit on the blended braking system does not A hand or parking brake is an important the maximum grade anticipated by the impact the safe operation and stopping safety feature that prevents the rolling or operating railroad. FRA makes clear that of the train. Furthermore, as part of the runaway of parked equipment. In the the term ‘‘loaded unit’’ refers to the exterior calendar day mechanical 1997 NPRM, FRA proposed an all maximum weight and capacity that the inspection railroads are required to encompassing requirement that all unit will carry during its operation. verify that all secondary braking locomotives, except those ordered and Thus, such things as maximum fuel systems are in operating mode and do placed in service before certain dates, capacity, maximum passenger capacity, not have any known defects. See and all other passenger equipment be maximum train crew capacity, and the § 238.303(e)(15). Consequently, the provided with a hand or parking brake maximum weight of any lading that the railroad must verify that the dynamic that could be set and released manually locomotive or other unit will carry brakes are in operating mode and do not and could hold the equipment on the should be considered in determining the contain any known defects and take maximum grade anticipated by the holding ability of any hand or parking prescribed action whenever the operating railroad. Based on the brake utilized. dynamic brakes are found to be concerns of labor representatives, FRA Paragraph (i) contains the requirement inoperative prior to releasing a recognizes that this proposed provision that passenger cars be equipped with a locomotive from an exterior calendar is somewhat at odds with the hand means for the emergency brake to be day mechanical inspection. brake provisions currently contained in applied that is clearly identified and Paragraph (k) requires that either 49 CFR part 231, particularly the accessible to passengers. This is a computer modeling or dynamometer requirements that the hand brake be longstanding industry practice and an tests be performed to confirm that new able to be operated while the equipment important safety feature because crucial brake designs not result in thermal is in motion and that the hand brake time may be lost requiring passengers damage to wheels or discs. Further, if operate in harmony with the brake sensing danger to find a member of the the operating parameters of the new system. As it is FRA’s intent to remain train crew to stop the train. braking system change significantly, a consistent with the existing safety Paragraph (j) contains provisions to new simulation must be performed. appliance requirements for Tier I ensure that the dynamic brake does not This requirement provides a means to passenger equipment, FRA has slightly become a safety-critical device. ensure that the requirements in modified the provisions requiring hand Railroads have consistently held that paragraphs (f) and (g) are being or parking brakes on passenger dynamic brakes are not safety devices complied with by new brake designs. equipment. because the friction brake alone is Paragraph (l) requires that all FRA is retaining the requirement for capable of safely stopping a train if the locomotives ordered on or after equipping locomotives, except for MU dynamic brake is not available. The September 8, 2000, or placed in service locomotives, with either a hand brake or provisions in this paragraph include for the first time on or after September a parking brake that can be set and requiring that the blending of the 9, 2002, be equipped with effective air released manually and can hold the friction and dynamic brakes be coolers or air dryers if equipped with air equipment on the maximum grade automatic, that the friction brakes alone compressors. The coolers or dryers must anticipated by the operating railroad. As be able to stop the train in the allowable be capable of providing air to the main there are currently no requirements for stopping distance, and that a failure of reservoir with a dew point suppression equipping locomotives with hand the dynamic brake does not cause at least 10 degrees F. below ambient brakes, FRA will permit the use of a thermal damage to wheels or discs due temperature. FRA and most members in parking brake or hand brake which to the greater friction braking load. FRA the industry agree that moisture is a meets the above specifications on these believes that without these requirements major cause of brake line contamination. vehicles. However, for all other the dynamic brake would most likely Consequently, reducing moisture leads passenger equipment and for MU become a safety-critical item and to longer component life and better locomotives, FRA is requiring that they railroads would not be permitted to brake system performance. Currently, be equipped with a hand brake or dispatch trains unless the dynamic virtually all passenger railroads parking brake which meets the brake were fully operational. purchase only locomotives equipped requirements contained in 49 CFR part Although FRA recognizes the with air dryers or coolers. Therefore, 231 regarding hand brakes on passenger concerns of labor representatives that FRA is merely requiring the cars. Although part 231 does not dynamic brakes are safety critical and continuation of what it believes is good currently require hand brakes on MU should be required to work at all times, industry practice. Although labor locomotives, FRA is requiring that the FRA believes that in the context of representatives contend that a dew hand brake required to be installed on blended braking labor’s concerns are point suppression of 10 degrees below these locomotives under this paragraph somewhat misplaced and are adequately ambient temperature is insufficient to comply with the requirements addressed by various provisions prevent condensation in the train line, contained in part 231 for other contained in this final rule. In the these commenters provided no support passenger equipment. As these blended brake context, unlike freight for that contention other than the
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00075 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 25614 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations assertion that prior specifications called Due to the injuries caused by broken rule by relating it more directly to how for a 35 degree dew point suppression. seats and other loose fixtures, FRA the rule is applied and allow for Based on available information, FRA believes that the current design practice different seat pitches. Seat pitches are believes that a 10 degree dew point is inadequate. expected to reflect actual use of the suppression is adequate. Without Paragraph (a)(1) requires that each seats and be less than that assumed by further study into the issue, FRA is seat in a passenger car remain firmly FRA. Consequently, secondary impact reluctant to impose a more burdensome attached to the car body when subjected speeds of occupants striking the standard than that which was proposed. to individually applied accelerations of seatbacks ahead of them are expected to This issue may be further considered in 4g in the lateral direction and 4g in the be 25 mph or less—a marginally less the second phase of this passenger upward vertical direction acting on the severe test condition than that provided equipment rulemaking process. deadweight of the seat or seats, if held for in the NPRM. Paragraph (m) requires that when a in tandem. Based on a comment from The revision to this paragraph is train is operated in either direct or Simula in response to the NPRM, FRA based in part on comments from Simula graduated release, the railroad shall has clarified this requirement from that that the rule require the seat to resist a ensure that all cars in the train consist proposed in the NPRM by specifying dynamic crash pulse, which it believed are set-up in the same operating mode. that the vertical loading is in the to be triangular with a 250 millisecond This provision was added based upon ‘‘upward’’ direction. Paragraph (a)(2) duration and an 8g peak, plus the the concerns of several labor specifies that a seat attachment shall impact of representative unrestrained commenters regarding trains operated have an ultimate strength capable of occupants seated in a second row by Amtrak which contain a mixture of resisting the longitudinal inertial force directly behind the test article. Simula traditional passenger equipment and of 8g acting on the mass of the seat plus noted that including a dynamic crash freight-like equipment. Most passenger the load associated with the impact into pulse in the longitudinal direction trains are operated in what is known as the seat back of an unrestrained 95th- (parallel to the normal direction of train a graduated release mode, whereby percentile adult male initially seated travel) provides a simulation of a typical brake cylinder pressure may be reduced behind the seat back, when the floor train-to-train collision in which the seat in steps proportional to increments of decelerates with a triangular crash pulse would be involved. According to brake pipe pressure build-up; however, having a peak of 8g and a duration of Simula, a dynamic crash pulse is more when passenger trains operated by 250 milliseconds (msec). By resisting representative of the crash environment Amtrak contain certain freight-like the force of an occupant striking the seat than the shock pulse defined by a peak equipment the train is operated in a from behind, a potential domino effect acceleration only. Simula explained that direct release mode, whereby brake of seats breaking away from their the crash pulse is typically specified for cylinder pressure is completely attachments is avoided. As used in this seat testing in the aircraft and exhausted as a result of an increase in section, a 95th-percentile adult male has automotive industries. Specifying a brake pipe pressure. As these two been defined in § 238.5 of the final rule crash pulse in essence specifies the different types of operating modes are based on the same characteristics for operation of the test equipment. FRA now being utilized on passenger trains, such a vehicle occupant specified by the notes that the seat testing proposed in FRA agrees it is necessary to require a National Highway Traffic Safety the NPRM (and required in the final railroad to ensure that all the cars in the Administration (NHTSA) in its motor rule) is similar to such testing train are set-up in the same operating vehicle safety standards at 49 CFR performed in the aircraft and mode in order to prevent potential train § 571.208, S7.1.4. At the January 1998 automotive industries, and FRA expects handling problems. Working Group meeting, the NTSB had that the actual testing of rail equipment recommended use of the NHTSA will utilize the same test equipment as Section 238.233 Interior Fittings and specifications for purposes of the rule’s used in these other industries. FRA has, Surfaces occupant protection requirements. therefore, specified a crash pulse in this This section contains the The requirement contained in paragraph. requirements concerning interior fittings paragraph (a)(2) represents a FRA notes that at the Working Group and surfaces that apply, as specified in modification from FRA’s original meeting in December 1997, APTA this section, to passenger cars and proposal that the seat attachment resist explained that it could not agree then to locomotives ordered on or after a longitudinal inertial force of 8g acting change any of the proposed seat testing September 8, 2000, or placed in service on the mass of the seat plus the impact requirements, and that it was for the first time on or after September force of the mass of a 95th-percentile conducting research in these matters. 9, 2002. male occupant(s) being decelerated from However, FRA does not believe the FRA and NTSB investigations of a relative speed of 25 mph and striking inclusion of a crash pulse in this passenger train accidents have revealed the seat from behind. See 62 FR 49806. paragraph and elimination of the 25 that luggage, seats, and other interior The impact speed at which the occupant mph impact speed to significantly alter objects breaking or coming loose is a strikes the seatback ahead of him during the required strength of the seats from frequent cause of injury to passengers a collision depends on the distance from that proposed in the NPRM. In fact, the and crewmembers. During a collision, the occupant to the seatback and the original proposal was potentially more the greatest decelerations and thus the deceleration of the car (the crash pulse) rigorous than that required under this greatest forces to cause potential failure during the collision. In drafting the rule, final rule. of interior fitting attachment points are FRA has assumed a seat pitch, or Simula additionally commented that experienced in the longitudinal distance from the occupant to the each crash test dummy used to impact direction, i.e., in the direction parallel to seatback ahead of him, consistent with the seat back in testing the strength of the normal direction of train travel. the longest seat pitch currently used in the seat must be instrumented, and that Current practice is to design seats and intercity passenger train service. As a the injury data gathered from each other interior fittings to withstand the result, the final rule specifies the crash dummy then meet specified injury forces due to accelerations of 6g in the pulse and its duration, and need not criteria. Simula explained that, like longitudinal direction, 3g in the vertical specify the secondary impact velocity. automotive and transport aircraft direction, and 3g in the lateral direction. This change is intended to clarify the testing, rail seat design requirements
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00076 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25615 should include the use of crash test not believe that a railroad should be instead suggested substituting the words dummies to measure specified loads allowed to specify the mass of the ‘‘car-mounted seat.’’ Simula expressed and accelerations for meeting specified luggage stowed for purposes of this concern that railroads may use wall- injury criteria. FRA believes that requirement. However, each railroad is mounted seats for crewmembers that do Simula’s comment is significant and in the best position to determine the not comply with these requirements. wholly appropriate for consideration in mass of the luggage that can be stowed Yet, as noted below in the discussion of the second phase of rulemaking on in the stowage area. § 238.445(g) (this provision’s Tier II passenger equipment safety standards. Paragraph (c) requires that all other counterpart), Bombardier observed that In this regard, FRA notes that Simula interior fittings in a passenger car be an additional seat—commonly a flip-up references in its comments on proposed attached to the car body with sufficient or a shelf-type seat—is in many cases § 238.435 (the Tier II counterpart to this strength to withstand individually provided in the cab for a train section) the use of a future APTA applied accelerations of 8g crewmember who is not normally in the standard to specify occupant injury longitudinally, 4g vertically, and 4g cab. Bombardier believed these seats criteria and other parameters. laterally acting on the mass of the should not be subjected to the same Accordingly, resolution of this issue in fitting. FRA believes the attachment requirements as for the train operators’ the second phase of the rulemaking strength requirements for seats, seats. should benefit from APTA’s efforts in overhead storage racks, and other FRA has revised paragraph (f) so that this area. interior fittings will help reduce the the requirements of this provision apply In its comments on the NPRM, Simula number of injuries to occupants in to floor-mounted seats and each seat also suggested modifying the rule so passenger cars. provided for a crewmember regularly that the requirements of paragraph (a) Passenger car occupants may also be assigned to the locomotive cab. FRA apply to each seat assembly and specify injured by protruding objects, especially recognizes that flip-down and other that each seat assembly not separate if the occupants fall or are thrown auxiliary seats are provided in from its mountings or have any of its against such objects during a train locomotive cabs for the temporary use of parts detach. FRA believes that Simula’s collision or derailment. As a result, FRA employees not regularly assigned to the suggested modification restates the is requiring in paragraph (d) that, to the cab, such as a supervisor of locomotive requirements of this section, in effect, extent possible, all interior fittings in a engineers conducting an operational and FRA does not find it necessary to passenger car, except seats, shall be monitoring test of the engineer. These change the explicit wording of the rule recessed or flush-mounted. Fittings that seats do not need to meet the text. Simula further recommended are recessed or flush-mounted do not requirements of this section. specifying in the rule that in sled testing protrude above interior surfaces and In further commenting on this the strength of the seat attachment to the thereby would help to minimize paragraph, Simula recommended car, the attachment that is tested must occupant injuries. specifying that the seat resist a be representative of the actual structure Paragraph (e) is a general, common triangular crash pulse of a 250 msec and attachment. FRA agrees with sense prohibition against sharp edges duration having an 8g peak. However, Simula that testing a seat and its and corners in a locomotive cab and a FRA believes that the static 8g load attachment of a design or structure not passenger car. Just as FRA is concerned requirement proposed in the NPRM is a representative of that actually used in a about protruding objects, these surfaces rational option, and has retained it in passenger car would necessarily fail to could also injure passenger train the final rule. As train operators’ seats demonstrate that the actual seat and its occupants. If sharp edges and corners are not likely to be hit from behind, they attachment comply with the cannot be avoided in the equipment are not likely to experience the impact requirements of the rule. FRA has made design, they should be padded to forces that passenger seats experience. this explicit in paragraph (g). Of course, mitigate the consequences of occupant Adopting Simula’s comment would any tests of passenger equipment or impacts. result in a more expensive test without components of a design or structure not The requirements of paragraph (f) a corresponding increase in safety. representative of an actual rail vehicle apply to each floor-mounted seat in a Simula additionally commented that, or actual components subject to the locomotive cab as well as to any seat in conducting a test of the seat, the requirements of this part would provided for an employee regularly attachment of the seat to the sled fixture necessarily fail to demonstrate that such assigned to occupy the cab. FRA is must be representative of the actual actual vehicle or components comply requiring the seat attachment to have an structure and attachment. FRA has with the requirements of this part— ultimate strength capable of resisting the adopted this comment, as noted above, whether or not FRA has made this loads due to individually applied in paragraph (g). Testing a seat and its explicit in the rule text. accelerations of 8g longitudinally, 4g attachment of a design or structure not Paragraph (b) requires that overhead vertically, and 4g laterally acting on the representative of that actually used in a storage racks provide longitudinal and combined mass of the seat and its locomotive cab would necessarily fail to lateral restraint for stowed articles to occupant. When turned backwards demonstrate that the actual seat and its minimize the potential for these objects during a collision, seats with head rests attachment comply with the to come loose and injure train that are designed to this requirement requirements of the rule. occupants. Further, to prevent overhead can effectively restrain crewmembers storage racks from breaking away from and minimize or prevent injuries. Section 238.235 Doors their attachment points to the car body, In the NPRM, FRA had proposed that This section contains the these racks shall have an ultimate the requirements of this section apply to requirements for exterior doors on strength capable of resisting each floor-mounted seat provided passenger cars. These doors are the individually applied accelerations of 8g exclusively for a crewmember assigned primary means of egress from a longitudinally, 4g vertically, and 4g to occupy the cab of a locomotive. See passenger train. laterally acting on the mass of the 62 FR 49806. Simula, in its comments Paragraph (a) requires that by luggage stowed. This mass shall be on the NPRM, recommended that the December 31, 1999, each powered, specified by each railroad. In requirements of this section not be exterior side door in a vestibule that is commenting on the NPRM, the BRC did limited to floor-mounted seats and partitioned from the passenger
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00077 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 25616 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations compartment of a passenger car shall cars with the manual override feature is use of a deadman control alone on these have a manual override device that is: too long. new locomotives would be prohibited. capable of releasing the door to permit Having considered the comments An alerter will initiate a penalty brake it to be opened without power from submitted, FRA has decided to require application if it does not receive the inside the car; located adjacent to the that compliance with this section be proper response from the engineer. door which it controls; and designed effected by December 31, 1999. FRA Likewise, a deadman control will and maintained so that a person may understands that a majority of the initiate a penalty brake application if readily access and operate the override passenger cars are already in the engineer fails to maintain proper device from inside the car without compliance with the rule as proposed. contact with the device. The Working requiring the use of a tool or other FRA recognizes that some entities may Group discussed establishing specific implement. Passenger cars subject to not be able to accomplish the total setting requirements for alerters or this requirement that are not already retrofit within the required time, to the deadman controls based on maximum equipped with such manual override extent their budget and acquisition train speed and the capabilities of the devices must be retrofitted accordingly. process can only commence once the signal system. This discussion led to the FRA notes that a vestibule is not rule becomes final. However, these are conclusion that settings should be left to partitioned from the passenger self-imposed constraints that should not the discretion of individual railroads as compartment of a passenger car solely arrest progress in the industry as a long as they document the basis for the by the presence of any windscreen whole. Any entity faced with such settings that they select. If the device which extends no more than one-quarter constraints should seek a waiver. fails en route, the rule requires a second of the width across the car from the wall Paragraph (b) also provides that each person qualified on the signal system to which it is attached. powered, exterior side door have a and brake application procedures to be The requirements in paragraph (a) manual override feature the same as that stationed in the cab or the engineer originally arose from the NTSB’s required in paragraph (a) for existing must be in constant radio emergency safety recommendations (R– equipment, except that the manual communication with a second 96–7) as part of its investigation of the override must also be capable of crewmember until the train reaches the passenger train collision in Silver opening the door from outside the car. next terminal. This is intended to allow Spring, Maryland, on February 16, 1996. This requirement is intended to provide the train to complete its trip with the In the NPRM, FRA fully set out these quick access to a passenger car by device’s function of keeping the emergency safety recommendations and emergency response personnel, and operator alert taken over by another FRA’s response. See 62 FR 49734–5. As represents the consensus member of the crew. announced following its full recommendation of the Working Group. Alerters are safety devices intended to investigation of the Silver Spring, Paragraph (b) applies to each such door verify that the engineer remains capable Maryland passenger train collision, and on a passenger car ordered on or after and vigilant to accomplish the tasks that stated here in particular among its final September 8, 2000, or placed in service he or she must perform. Equipping recommendations, the NTSB for the first time on or after September passenger locomotives with an alerter is recommended that FRA: 9, 2002. Paragraph (b)’s requirements for current industry practice. These devices Require all passenger cars to have easily a minimum number and dimension of have proven themselves in service, and accessible interior emergency quick-release side doors on a passenger car is the requirement will not impose an mechanisms adjacent to exterior passageway discussed earlier in the preamble. additional cost on the industry. doors and take appropriate emergency action Paragraph (c) permits a railroad to In the final rule, FRA has clarified the to ensure corrective action until these protect a manul override device with a procedures a railroad must follow if the measures are incorporated into minimum cover or screen to safeguard such alerter or deadman control fails en passenger car safety standards. devices from casual or inadvertent use. route. In addition to the requirements of (R–97–14) (See NTSB/RAR–97/02) The rule requires that such cover and paragraph (d)(1), under paragraph FRA received a number of comments screens be capable of being removed by (d)(2)(i) a tag shall be prominently as to the date by which passenger cars passengers, however. displayed in the locomotive cab to must be equipped with manual Paragraph (d) is reserved for door indicate that the alerter or deadman overrides to open exterior, side doors as marking and operating instruction control is defective, until such device is specified in this section. In its requirements. These requirements are repaired. Further, under paragraph comments on the NPRM, Septa asked addressed in the final rule on passenger (d)(2)(ii), when the train reaches its next that the date be set three years after the train emergency preparedness (49 CFR terminal or the locomotive undergoes its effective date of the final rule, citing part 239), specifically § 239.107. See 63 next calender day inspection, whichever funding reasons. Metra commented that FR 24630; May 4, 1998. occurs first, the alerter or deadman the date be set four to six years from the control shall be repaired or the Section 238.237 Automated effective date of the final rule. FRA locomotive shall be removed as the Monitoring notes that this comment may have been controlling locomotive in the train. based on the assumption that the rule This section requires on or after Subpart D—Inspection, Testing, and requires manual override devices to be November 8, 1999 an operational alerter Maintenance Requirements of Tier I installed on the exterior of existing or a deadman control in the controlling Passenger Equipment passenger cars, which this section does locomotive of each passenger train not. The UTU commented that the operating in other than cab signal, Section 238.301 Scope proposal in the NPRM afforded railroads automatic train control, or automatic This subpart contains the more than enough time to comply with train stop territory. This section further requirements regarding the inspection, the requirement, considering their requires that such locomotives ordered testing, and maintenance of all types of advance notice of this issue. Finally, in on or after September 8, 2000, or placed passenger equipment operating at its comments on the NPRM, the NTSB in service for the first time on or after speeds of 125 mph or less. This subpart stated that a two-year period to September 9, 2002, must be equipped is intended to address both MU accomplish the equipping of passenger with a working alerter. As a result, the locomotives and push-pull equipment.
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This subpart includes the requirements moved some of the exterior mechanical braking systems such as dynamic for the inspection, testing, and inspection requirements related to brakes. Thus, in order to effectuate maintenance of Tier I passenger couplers and trucks to the periodic FRA’s intent that these secondary equipment brake systems as well as the mechanical inspection requirements as braking systems be inspected, paragraph other mechanical and electrical safety these periodic inspections will likely be (e)(15) has been modified to clarify that components of Tier I passenger performed at locations with facilities it is applicable to all passenger equipment. available that are more conducive to equipment, which includes all locomotives. Consequently, FRA Section 238.303 Exterior Calendar Day inspecting the specific components. The intends for the secondary braking Mechanical Inspection of Passenger specific items which have been moved systems on all locomotives to be Equipment to the periodic mechanical inspection requirements include: all trucks are inspected and that it be known that This section contains the equipped with a device or securing those systems are in operating mode and requirements for performing exterior arrangement to prevent the truck and do not contain any known defects. calendar day mechanical inspections on car body from separating in case of Paragraph (b) is also a new provision passenger equipment and is patterned derailment; all center castings on trucks being added to this final rule in order after a combination of the current are not cracked or broken; the distance to address the inspections of vehicles calendar day inspection required for between the guard arm and the knuckle that are added to a passenger train while locomotives under the Railroad nose is not more than 51⁄8 inches on en route. FRA is modifying the Class I Locomotive Safety Standards and the standard type couplers (MCB contour brake test and exterior calendar day pre-departure inspection for freight cars 1904) or more than 55⁄16 inches on D&E mechanical inspection requirements to under the Railroad Freight Car Safety couplers; the free slack in the coupler or ensure the proper operation of all cars Standards. See 49 CFR 229.21 and drawbar not absorbed by friction added to a train while en route. In 215.13, respectively. FRA intends for devices or draft gears is not more than paragraph (b) FRA is requiring the the exterior calendar day mechanical 1⁄2 inch; and the draft gear is not broken. performance of an exterior mechanical inspection to generally apply to all The changes made in this final rule inspection on each car added to a passenger cars and all unpowered were discussed with the Working Group passenger train at the time it is added vehicles used in passenger trains (which at the December 15–16, 1997 meeting. to the train unless documentation is includes, e.g., not only coaches, MU provided to the train crew that an locomotives, and cab cars but also any Paragraph (a) requires that each exterior mechanical inspection was other rail rolling equipment used in a passenger car and each unpowered performed on the car within the passenger train). However, paragraph (a) vehicle used in a passenger train receive previous calendar day. FRA is adding has been slightly modified to clarify that an exterior mechanical safety inspection this requirement in order to address the an inspection of secondary braking at least once each calendar day that the concerns raised by various labor systems must be conducted on all equipment is placed in service except representatives that no provisions were passenger equipment, which includes under the circumstances described in provided in the 1997 NPRM to address all locomotives. A mechanical safety paragraph (f). As noted above, this circumstances when cars are added to inspection of freight cars has been a paragraph also recognizes that the an en route train. FRA believes that the longstanding Federal safety requirement contained in paragraph added provision will ensure the requirement, and FRA believes that the (e)(15) that all secondary braking integrity of the mechanical components lack of a similar requirement for systems on all passenger equipment are on every car added to an existing train passenger equipment creates a serious in operating mode and do not have any and should not be a burden for railroads void in the current Federal railroad known defects. FRA has amended this since cars are generally added to safety standards. requirement from that proposed in the passenger trains at major terminals with As noted in the general preamble 1997 NPRM, which proposed to require the facilities and personnel available for discussion, FRA has made minor that all secondary braking systems be conducting such inspections. changes and clarifications to the exterior working (62 FR 49808), in order to Furthermore, the inspection calendar day mechanical inspection that acknowledge that it is impossible to requirements contained in this was proposed in the 1997 NPRM. In ascertain whether some secondary paragraph are very similar to what is paragraph (d) of this final rule, FRA is braking systems, such as dynamic currently required when a freight car is explicitly stating that the exterior brakes, are working unless the added to a train while en route. See 49 mechanical inspection is to be equipment is in use. Thus, FRA has CFR § 215.13. performed to the extent possible modified the language of the Paragraph (c) requires that exterior without uncoupling the trainset and requirement to ensure that all secondary calendar day mechanical inspections be without placing the equipment over a braking systems are capable of working performed by a qualified maintenance pit or on an elevated track. This explicit when released from the exterior person. FRA believes the combination of statement has been added in response to mechanical inspection. Paragraph (a) a daily Class I brake test and a APTA’s concerns regarding what would and paragraph (e)(15) have also been mechanical safety inspection performed constitute proper performance of these modified to accurately reflect FRA’s by highly qualified personnel is a key to inspections. It was never FRA’s intent to intent to ensure that all secondary safer passenger railroad operations. require this inspection to be conducted braking systems are inspected. The Such a practice will most likely detect in such a manner. FRA intended the requirements for an exterior calendar and correct equipment problems before inspection to be very similar to the day mechanical inspection are generally they become the source of an accident freight car safety inspection currently applicable only to passenger cars and or incident resulting in personal injuries required pursuant to part 215. other unpowered vehicles used in a or damage to property. As noted in FRA also recognizes that certain items passenger trains. Thus, except for MU previous discussions, FRA does not contained in the proposed exterior locomotives and cab cars, other intend to provide any special provisions mechanical inspection could not have locomotives would not fall within the for weekend operations with regard to been easily inspected without proper requirements of this section. However, conducting calendar day mechanical shop facilities. Therefore, FRA has many locomotives contain secondary inspections by QMPs as suggested in the
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00079 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 25618 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations comments submitted by some APTA makes the passenger car or unpowered without dynamic brakes and representatives. The rationale for vehicle defective if it is in service. The compensating train control practices are requiring daily mechanical attention by Working Group members generally not used. In developing the highly qualified inspectors, a agreed that the components contained requirements for handling defective proposition generally accepted by in this section represent valid safety- dynamic brakes, FRA has generally Working Group members, appears to related components that should be incorporated the current best practices apply equally to weekend periods. In frequently inspected by railroads. of the industry. fact, based on FRA’s experience, However, members of the Working This paragraph draws a distinction equipment used on weekends is Group had widely differing opinions between dynamic brakes on MU generally used more rigorously than regarding the criteria to be used to locomotives and dynamic brakes on equipment used during weekday inspect these components. FRA selected conventional locomotives, treating each operations. and has retained inspection criteria slightly differently due to the safety At present, only one commuter based on the locomotive calendar day implications involved in each type of operation (Metra) has raised significant inspection and the freight car safety pre- operation. FRA intends to require that concerns regarding weekend operations. departure inspection required by 49 MU locomotives equipped with Although there is no specific data CFR parts 229 and 215, respectively. dynamic brakes found not to be in suggesting that existing weekend FRA believes that, at a minimum, operating mode or containing a operations on Metra have created a passenger cars should receive an defective condition which prevents the safety hazard, FRA has found it virtually inspection which is at least equivalent proper operation of the dynamic brakes impossible to draft and justify to that received by locomotives and be handled in the same manner as a provisions providing limited flexibility freight cars. running gear defect pursuant to for Metra that do not create potential As discussed in the 1997 NPRM, FRA § 238.17. Thus, MU locomotives found loopholes that could be abused by other intends for the daily mechanical with defective dynamic brakes at the passenger train operations that have not inspection to serve as the time when the exterior calendar day mechanical had the apparent safety success of railroad repairs defects that occur en inspection must have the dynamic Metra. Moreover, based on FRA’s route. Thus, this section generally brakes repaired prior to continuing in independent investigation of Metra’s requires that safety components not in passenger service. FRA further intends operation, it is believed that the impact compliance with this part be repaired that MU locomotives which experience of this final rule on Metra’s weekend before the equipment is permitted to a dynamic brake defect while en route operations will be significantly less than remain in or return to passenger service. be handled the same as a running gear that indicated in APTA’s written (See § 238.9 for a discussion of the defect pursuant to § 238.17. Thus, the comments and originally perceived by prohibitions against using passenger locomotive would have to be inspected Metra. FRA believes that most of the equipment containing defects; and by a QMP and be properly tagged at the personnel needed by Metra to conduct §§ 238.15 and 238.17 for a discussion of location it is found to be defective. its weekend operations in accordance movement of defective equipment for The requirements related to with this final rule are available to purposes of repair or sale). The purpose conventional locomotives found with Metra or its contractors and that minor of the defect reporting and tracking dynamic brakes not to be in operating adjustments could be made to its system required in § 238.19 is to have mode or containing a defective weekend operations that might avoid the mechanical forces make all condition which prevents the proper significant new expense. As the necessary safety repairs to the operation of the dynamic brakes are concerns regarding weekend operations equipment before it is cleared for somewhat less stringent than the appear to involve just one commuter another day of operation. In other movement requirements placed on MU operation and because the precise words, FRA generally intends for the locomotives. In these cases, the impact on that operation is not known flexibility to operate defective locomotive may remain in passenger or available at this time, FRA believes equipment in passenger service to end service provided that the unit is that the waiver process would be the at the calendar day mechanical properly tagged, each locomotive best method for handling the concerns inspection. engineer taking charge of the train is raised by that operator. This would In paragraph (e)(15), FRA has informed as to the status of the afford FRA an opportunity to provide modified the requirements regarding locomotive, and the locomotive’s any relief that may be warranted based secondary braking systems to clarify dynamic brakes are repaired within on the specific needs and the safety that secondary braking systems must be three calendar days of being found history of the individual railroad in operating mode and contain no defective. without opening the door to potential known defective conditions. FRA has FRA has treated MU and conventional abuses by other railroads that are not also included provisions to address the locomotives slightly differently for similarly situated. handling of defective dynamic brakes in several reasons. Past history has shown Paragraph (e) identifies the order to specifically establish that failure to have operative dynamic components that are required to be restrictions on the movement of brakes in MU operations increases the inspected as part of the exterior daily equipment containing this type of potential of causing thermal stress to the mechanical safety inspection and defective secondary brake and to wheels of the vehicles to a much greater provides measurable inspection criteria recognize the concerns raised by several extent than inoperative dynamic brakes for the components. The railroad is commenters regarding the importance in conventional locomotive operations. required to ascertain that each passenger that these secondary brakes have in the MU locomotive operations generally car, and each unpowered vehicle used operation of passenger equipment. FRA tend to have a greater number of station in a passenger train conforms with the agrees that in many circumstances it is stops, requiring the use of the brakes, conditions enumerated in paragraph (e) desirable to have operative dynamic than operations where conventional and that all passenger equipment brakes in order to prevent thermal stress locomotives are utilized and, thus, the conforms with the requirement to the wheels, which has the potential potential for thermal stress to the contained in paragraph (e)(15). of occurring if certain passenger trains wheels is increased. Furthermore, Deviation from any listed condition are operated for extended periods operations utilizing conventional
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Therefore, these in a train carrying passengers or However, after several discussions with operations may need extra time to get a available to carry such passengers to a members of the Working Group and defective locomotive to a particular place where the test can be performed, several other representatives of location for repair. Furthermore, FRA then the single car test must be passenger railroads, FRA determined believes that the tagging and notification performed before or during the exterior that the training and experience typical requirements imposed on conventional calendar day mechanical inspection. of qualified maintenance persons is not locomotives reduce the potential of an This provision has been retained from necessary and often does not apply to engineer’s undue reliance on a the 1997 NPRM. The comments inspecting interior safety components of secondary brake system which is not submitted by APTA suggested that the passenger equipment. In addition, the available. Finally, the handling word ‘‘next’’ be inserted prior to flexibility created by permitting requirements contained in this ‘‘calendar day mechanical inspection.’’ someone less qualified than a qualified paragraph are consistent with the FRA did not make this change as it maintenance person can reduce the cost current practices within the industry would provide greater latitude than FRA of performing the mechanical safety and should have a minimal impact on intended. Paragraph (h) applies to inspection since the most economical passenger operations. equipment that is already in transit from way to accomplish the mechanical Paragraph (f) contains a narrow the location where repairs were inspection is to combine the exterior exception which allows long-distance conducted that required the inspection with the Class I brake test intercity passenger trains that miss a performance of a single car test. Thus, and then have a crewmember inspect on scheduled exterior calendar day in order to remain consistent with the arrival at the final terminal or have a mechanical inspection due to a delay en provisions contained in § 238.311(f) train coach cleaner combine the interior route to continue in passenger service to such cars must receive the single car test coach inspection with coach cleaning. the location where the inspection was prior to, or as part of, the car’s exterior Paragraph (c) lists various scheduled to be performed. At that calendar day mechanical inspection. components that are required to be point, a calendar day mechanical Although FRA recognizes the concerns inspected as part of the interior calendar day mechanical safety inspection. As a inspection must be performed prior to of labor representatives with regard to minimum, FRA requires that the returning the equipment to service of this provision, FRA believes that it is following components be inspected: any kind. This flexibility applies only to necessary to provide the railroads the trap doors; end and side doors; manual the mechanical safety inspections of flexibility to make the necessary repairs door releases; safety covers, doors and coaches. FRA does not intend to relieve to a piece of equipment and then move plates; vestibule step lighting; and the railroad of the responsibility to it to a location which is most conducive safety-related signs and instructions. perform a locomotive calendar day to performing the required single car test. FRA currently permits such Consistent with the discussions inspection as required by 49 CFR part flexibility and is not aware of any regarding the movement of defective 229. significant safety problems that have equipment with non-running gear Paragraph (g) contains certain arisen as a result of such a practice. defects, all en route defects and all minimal recordkeeping requirements However, in order to ensure the safe noncomplying conditions under this related to the performance of the movement of such equipment, FRA has section must be repaired at the time of exterior calendar day mechanical added various inspection and tagging the daily interior inspection or the inspection provisions. FRA believes that requirements in § 238.311(f) that must equipment would be required to be proper and accurate recordkeeping is be performed prior to hauling such locked-out and empty in order to be the cornerstone of any inspection equipment to another location for the placed or remain in passenger service process and is essential to ensuring the performance of a single car test. (See with the exception of a defect under performance and quality of the required section-by-section discussion of § 238.305(c)(5). (See § 238.9 for a inspections. Without such records the § 238.311.) discussion of the prohibitions against inspection requirements would be using passenger equipment containing difficult to enforce. Although Section 238.305 Interior Calendar Day defects, and § 238.17 for a discussion of recordkeeping was discussed in the Mechanical Inspection of Passenger Cars the movement of defective equipment Working Group and FRA believes it to This section contains the for purposes of repair.) be an integral part of any inspection requirements for the performance of It should be noted that two of the requirement, FRA inadvertently omitted interior mechanical inspections on items contained in paragraph (c) have any such requirements in the NPRM passenger cars (which includes, e.g., been slightly modified in order to clarify specifically related to mechanical passenger coaches, MU locomotives, FRA’s intent and to ensure the safety of inspections. This omission was brought and cab cars) each calendar day that the the traveling public. Paragraph (c)(5), to FRA’s attention through verbal and equipment is used in service except regarding the continuing use of a car written comments provided by various under the circumstances described in with a defective door, has been interested parties and has now been paragraph (d). Unlike the exterior modified by the addition of corrected. This paragraph specifically calendar day mechanical inspection, subparagraph (c)(5)(iii), which requires permits a railroad to maintain the FRA in paragraph (b) of this section that at least one operative and accessible required records either in writing or permits the interior inspections of door be available on each side of the electronically, and the record may be passenger cars to be performed by vehicle in order for the car to continue part of a single master report covering ‘‘qualified persons,’’ individuals to be used in passenger service. FRA an entire group of cars. Whatever format qualified by the railroad to do so. Thus, believes the addition of this requirement the railroad elects to use to record the these individuals need not meet the is necessary to ensure that passengers information, it must contain the specific definition of a ‘‘qualified maintenance have adequate egress from the information listed in this paragraph. person.’’ equipment should an emergency occur.
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Paragraph (c)(8) has also been modified Section 238.307 Periodic Mechanical on trucks are not cracked or broken. to clarify that the inspection of the Inspection of Passenger Cars and FRA will also require a 92-day manual door releases, as proposed in Unpowered Vehicles Used in Passenger inspection of emergency lighting the 1997 NPRM, need only be made to Trains systems as they are critical to the safety the extent necessary to verify that all D This section contains the of passengers in the event of an accident rings, pull handles, or other means to requirements for performing periodic or derailment. FRA is adding an access manual door releases are in place mechanical inspections on all passenger inspection of the roller bearings to the based on a visual inspection. FRA cars and all unpowered vehicles used in 92-day inspection. Although this recognizes that inspection of the actual passenger trains. Paragraph (b) makes component was inadvertently left out of manual door release would be overly clear that the periodic mechanical the NPRM, FRA believes that roller burdensome, costly, and unnecessary inspections required under this section bearings are an integral part of the due to the relative reliability of such are to be performed by a qualified mechanical components and must be devices. It should also be noted that the maintenance person as defined in part of any mechanical inspection final rule contains a new paragraph § 238.5. In the 1997 NPRM, FRA scheme. Furthermore, several labor (c)(9) which requires that the interior proposed that the following components commenters recommended inspections mechanical inspection ensure that all be inspected for proper operation and criteria similar to that contained in 49 required emergency equipment, repaired, if necessary, as part of the CFR Part 215, which specifically including fire extinguishers, pry bars, periodic maintenance of the equipment: addresses the condition of roller auxiliary portable lighting, and first aid emergency lights; emergency exit bearings. See 49 CFR § 215.115. As kits be in place. These items are windows; seats and seat attachments; roller bearings are best viewed in a shop required pursuant to the regulations on overhead luggage racks and facility context, FRA is adding the passenger train emergency preparedness attachments; floor and stair surfaces; inspection of this component to the 92- contained at 49 CFR part 239, and FRA and hand-operated electrical switches. day periodic mechanical inspection which is consistent with the current believes that the inspection to ensure See 62 FR 49808–09. FRA further practices of the industry. FRA is also the presence of such equipment is proposed that such periodic inspections adding the general conditions and appropriate under this section. be performed every 180 days. As noted above, FRA, with the intent of requiring components previously proposed in Paragraphs (d) and (e) contain their inspection on a periodic basis, § 238.109(b) (62 FR 49801–802) to the provisions which are identical to certain removed certain items previously 92-day periodic mechanical inspection requirements pertaining to exterior proposed in the exterior calendar day contained in this paragraph. As the calendar day mechanical inspections. mechanical inspection as they could not conditions previously proposed in Paragraph (d) allows long-distance be easily inspected without proper shop § 238.109(b) were intended to ensure intercity passenger trains that miss a facilities. that the railroads had an inspection scheduled calendar day mechanical After a review of the industry’s scheme in place to ensure that all inspection due to a delay en route to practices regarding the performance of systems and components of the continue in passenger service to the periodic mechanical-type inspections, equipment are free of conditions that location where the inspection was FRA believes that some of the items endanger the safety of the crew, FRA scheduled. Paragraph (e) contains the removed from the exterior calendar day believes that a specific inspection recordkeeping requirements related to mechanical inspection as well as some interval is better suited to address the the performance of interior calendar day of the items previously proposed in the general condition of the equipment and mechanical inspections. FRA believes 180 day periodic mechanical inspection ensure the safety of the riding public that proper and accurate recordkeeping should be and are currently inspected and railroad employees. This paragraph is the cornerstone of any inspection on a more frequent basis by the also requires that all of the components process and is essential to ensuring the railroads. As it is FRA’s intent in this inspected as part of the exterior and performance and quality of the required proceeding to attempt to codify the interior calendar day inspection be inspections. Without such records the current best practices of the industry, inspected at the 92-day periodic inspection requirements would be FRA believes that the current intervals inspection. difficult to enforce. Although for inspecting certain components Paragraph (d) of this section retains a recordkeeping was discussed in the should be maintained. Consequently, semi-annual periodic inspection for Working Group and FRA believes it to FRA is modifying the time interval for certain components as proposed in the be an integral part of any inspection conducting periodic mechanical 1997 NPRM. In the NPRM, FRA requirement, FRA inadvertently omitted inspections to include a 92-day and a proposed a 180-day periodic inspection, any such requirements in the 1997 368-day periodic inspection. but in order to remain consistent with NPRM specifically related to In paragraph (c), FRA requires the the 92-day inspection scheme this mechanical inspections. This omission periodic inspection on a 92-day basis of paragraph requires a 184-day periodic was brought to FRA’s attention through certain mechanical components inspection of certain mechanical verbal and written comments provided previously proposed as part of the components. These include: seats; by various interested parties and has exterior calendar day mechanical luggage racks; beds; and emergency been corrected. This paragraph inspection, as well as an inspection of windows. This paragraph also contains specifically permits a railroad to floors, passageways, and switches. The an added requirement related to the maintain the required records either in mechanical components to be inspected inspection of the couplers; couplers writing or electronically, and the record that were previously included as part of were removed from the calendar day may be part of a single master report the calendar day mechanical inspection inspection and have been inserted in the covering an entire group of cars. include verification that all trucks are 184-day inspection scheme. FRA is Whatever format the railroad elects to equipped with a device or securing placing the coupler inspection at this use to record the information, it must arrangement to prevent the truck and interval rather than at the 92-day contain the specific information listed car body from separating in case of interval in order to reduce the amount in this paragraph. derailment and that all center castings of coupling and uncoupling of
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00082 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25621 equipment that will be required. In of passenger equipment. Therefore, FRA particular situation. However, as paragraph (e) FRA has extended the encourages equipment owners to adequately structured databases are inspection interval related to manual perform additional sensitivity analyses developed and implemented for door releases over that which was to determine which components or reliability center maintenance programs, proposed in the 1997 NPRM. Due to the equipment has the greatest potential for FRA believes more reliance can be general reliability of these devices and introducing risk, thus requiring the most placed on objective data and reliability because they are partially inspected on careful monitoring to increase reliability assessments will be based on a a daily basis, FRA believes that an while reducing the consequences of combination of data and judgment. FRA annual inspection of the releases will failure. FRA believes that, in addition to believes that, in the very near term, sole ensure their proper operation. Thus, the component design reliability, quality reliance cannot be placed on objective final rule requires an inspection of the assurance, as well as maintenance and data sources to provide quantitative manual door releases every 368 days. inspection proficiency may be reliability assessments; instead, In paragraph (b) FRA has attempted to considered and evaluated by the adequately qualified and unbiased make clear that, although FRA has equipment owners as a part of this judgment will continue to be required in established certain periodic inspection process. When considering the reliable conjunction with verifiable operating intervals in order to establish a default use of passenger equipment, elements data for analysis purposes. interval, FRA will allow railroads to such as couplers as well as suspension When planning the maintenance of a develop alternative intervals for systems; trucks; side bearings; wheels; component or system to protect the performing such inspections for specific jumpers; cable connections; buffer safety and operating capability of the components or equipment based on a plates; diaphragms; and secondary brake equipment, FRA expects that a number more quantitative reliability assessment systems, and human factors as it relates of items will be considered in the completed as part of their system safety to inspecting and maintaining these reliability assessment process, which programs. FRA expects that railroads elements may be considered. include: will utilize reliability-based Component level structural fatigue, 1. The consequences of each type of maintenance programs as appropriate, corrosion, and wear are variables that functional failure; given this opportunity to do so. As may be considered to bound or 2. The visibility of a functional failure successful reliability based maintenance introduce uncertainty in passenger to the operating crew (evidence that a programs are dynamic, it is expected equipment performance, effectively failure has occurred); that, in the process of defining and reducing reliability as well. 3. The visibility of reduced resistance documenting the reliable use of Given the limited quantitative to failure (evidence that a failure is equipment or specific components, over information that is presently available imminent); time, continued assessments may regarding factors that influence the 4. The life or age-reliability indicate a need to increase or decrease reliability of passenger equipment, the characteristics of each item; inspection intervals. FRA will only primary sources of information available 5. The economic tradeoff between the permit lengthened inspection intervals for initial reliability assessments cost of scheduled maintenance and the beyond the default intervals when such include: judgement; simulations; field, benefits to be derived from it; changes are justified by a quantitative laboratory, and office experiments; 6. A multiple failure, resulting from a reliability assessment. The previously operating environment and maintenance sequence of independent failures, may described inspection intervals are based process reviews; and accident and near- have consequences that would not be on sound but limited information miss investigations. FRA believes that in caused by any one of the individual provided to FRA that FRA believes the operation of passenger equipment, failures alone. These consequences are represents a combination of operating where failure costs are high and taken into account in the definition of experience, analytical analyses, casualties infrequent, accident data for the failure consequences for the first knowledge and intuition. FRA expects informed decision making may be failure; and that railroads will collect and respond scarce or not fully applicable. Further, 7. A default strategy will continue to to additional data throughout the legal and punitive threats may provide govern decision making in the absence operating life of the equipment. significant impediments to identifying of full information or agreement. This FRA believes that the approach taken the contributing, initiating, and strategy provides for conservative initial to identify the stated default inspection compounding causes of failures. Data decisions, to be revised on the basis of intervals contained in this section from near-miss, or near-catastrophic information derived from operating combined both qualitative, or incidents may be found to be experience. subjective, judgement with available instructive, but often not all of the FRA believes that a variety of quantitative information. FRA believes parameters entering a quantitative qualitative approaches, such as a Failure this approach is appropriate for the analysis are recorded or communicated Modes, Effects, Criticality Analysis conservative default strategy defined. in these cases. (FMECA) may be useful in evaluating However, FRA recognizes that this FRA believes that for the initial the potential consequences of a mixed approach does not yield a reliability assessments of passenger functional failure. FRA believes a quantified level of equipment reliability. equipment and components qualified qualitative approach may be used in The reliability of a system or component judgment will be an important source of complement and combined with a is defined as the probability that, when quantitative information. Qualified quantitative approach such as operating under stated environmental judgment is based upon both the Probabilistic Risk Analyses (PRA) or conditions, the system or component accumulation of experience and a Quantified Risk Analyses (QRA) which will perform its intended function mental synthesis of factors allowing the may include structured probabilistic adequately for a specified interval of evaluator to assess the situation and Event Tree, Fault Tree, or Influence time, number of cycles of operation, or produce results. Such judgment has a Diagram analyses to provide additional number of miles. Reliability is a rightful place in making initial insight to railroads regarding the quantitative measure. FRA believes that quantitative reliability assessments reliable use of their equipment. quantified, high levels of reliability are because current available data is often Quantitative approaches are useful to desired for the continued safe operation deficient for the evaluation of a characterize the details of a system
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00083 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 25622 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations whereas qualitative approaches can Quality) S2 (1995) Introduction to Attribute commenters with regard to the testing provide characterization of the general Sampling; and data submitted to FRA regarding • performance quality of the system ANSI/ASQC Z1.4 (1993) Sampling modest extensions of the COT&S analyzed.4 Component level reliability Procedures and Tables for Inspection by intervals for equipment utilizing certain analysis centered around a quantitative, Attributes; types of brake valves. All of the COT&S • ANSI/ASQC Z1.9 (1993) Sampling deterministic design approach such as Procedures and Tables for Inspection by intervals contained in this section are Damage Tolerance Analysis (DTA) may Variables for Percent Nonconforming; based, at least in part, on current be appropriate when information about • Handbook of Reliability Engineering and operations under existing waivers and the ability of a structural component to Management, W. G. Ireson, McGraw Hill, on data and information which FRA sustain anticipated loads in the 1996; believes provide substantial support presence of fatigue, corrosion, or • MIL–STD–414 (1957) Sampling that the valves can be safely operated for accidental damage is required.5 Procedures and Tables for Inspection by the periods of time provided in this FRA expects that analyses of Variables for Percent Nonconforming; • section. Furthermore, FRA believes that individual components investigated as a MIL–STD–1234A (1974) Single and the stringent inspection and testing part of the reliability assessment process Multi-Level Continuous Sampling regiment and the single car test Procedures and Tables for Inspection by may require equipment owners to Attributes; requirements contained in this final rule collect and consider information • Reliability-Centered Maintenance, F. S. also provide sufficient additional regarding: a component’s physical Nowlan and H. F. Heap, Final Report for safeguards to permit modest increases in features and conditions; a component’s Contract MDA 903–75–C–0349, Office of the COT&S intervals for equipment actual operating use; the existence of Assistant Secretary of Defense, Washington, outfitted with certain brake valves and manufacturing defects and tolerances; D.C., 1978; other equipment having generally the effects of repairs or modifications • Reliability-Centered Maintenance, A. M. shown the ability to operate for longer made to the component; and capabilities Smith, McGraw Hill, 1992; • periods without failure. of available nondestructive evaluation Reliability-Centered Maintenance, J. Paragraph (b) extends the periodic methods used for inspection. Moubray, McGraw Hill, 1997; and maintenance interval for MU locomotive • Reliability in Engineering Design, K.C. Management of effective reliability- Kapur and L. R. Lamberson, John Wiley & fleets that are 100 percent equipped based maintenance programs requires Sons, 1977. with air dryers and modern brake an organized information system for systems from 736 days to 1,104 days. surveillance and analysis of the Paragraph (e) contains the The requirement remains 736 days for performance of each component under recordkeeping requirements related to fleets that are not 100 percent equipped the known operating conditions. FRA the performance of periodic mechanical with air dryers or that are equipped believes that the information derived inspections. FRA believes that proper with older brake systems. FRA bases from such operating experience can and accurate recordkeeping is the this extension on tests conducted by provide information of failures that cornerstone of any inspection process Metro-North and monitored by FRA could affect operating safety; failures and is essential for ensuring the field inspectors. These tests revealed that have operational consequences; the performance and quality of the required that after three years brake valves on failure modes of units removed as a inspections. Without such records, the MU locomotives equipped with air result of failures; as well as the general inspection requirements would be dryers were very clean and showed little condition of unfailed parts in units that difficult to enforce. Although or no signs of deterioration. Based on have failed and serviceable units recordkeeping was discussed in the the results of these tests, FRA is inspected as samples. Working Group and FRA believes it to confident that these valves can safely As stated above, at the time of the be an integral part of any inspection operate for three years between periodic development of default maintenance requirement, FRA inadvertently omitted maintenance. FRA believes this intervals, FRA used the available any such requirements in the NPRM extension of the periodic maintenance information to determine the inspection specifically related to mechanical interval will result in a cost savings to intervals necessary to protect safety. inspections. This omission was brought those railroads that operate MU However, FRA believes that the to FRA’s attention through verbal and locomotives equipped with air dryers. optimum inspection tasks, methods, and written comments provided by various Paragraph (c) extends the periodic intervals as well as the applicability of interested parties and has been maintenance interval on conventional age or life limits will be best obtained corrected. This paragraph specifically locomotives equipped with 26–L or from reliability analyses based on permits a railroad to maintain the equivalent types of brakes from the additional service-based data collection, required records either in writing or current standard of 736 days to 1,104 in some cases coupled with appropriate electronically. Whatever format the days. The required periodic deterministic analyses to both ensure railroad elects to use to record the maintenance interval remains at 736 safety and maximize reliability. For information, it must contain the specific days for locomotives equipped with further information regarding sources of information listed in this paragraph. other types of brake systems. This reliability theory and analysis, FRA requirement merely makes universal a Section 238.309 Periodic Brake recommends that the following practice that has been approved by Equipment Maintenance materials be considered: waiver for several years. See H–80–7. This section contains the • ANSI (American National Standards FRA believes that locomotives equipped Institute)/ASQC (American Society for requirements related to the performance with 26–L brakes have demonstrated an of periodic brake maintenance for ability to operate safely for three years 4 Evaluation Approaches & Quantification various types of passenger equipment, between periodic maintenance. (Chapter 8), ‘‘The Role of Human Error in Design, referred to in the industry as clean, oil, Paragraph (d) extends the periodic Construction, and Reliability of Marine Structures.’’ test, and stencil (COT&S). Although maintenance interval on passenger Robert G. Bea, Report No. SSC–378, U.S. Coast FRA has considered the concerns raised coaches and other unpowered vehicles Guard, Washington, D.C. 1994, pp. 127–149. 5 ‘‘Reliability and Risk Analysis for Design and by certain labor representatives during equipped with 26–C or equivalent brake Operations Planning of Offshore Structures.’’ T. this rulemaking, FRA does not agree systems from 1,104 days to 1,476 days. Moan, Sixth ICOSSAR, Innsbruck, August 1993. with the conclusions drawn by these This extension is based on tests
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00084 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25623 performed by Amtrak. Based on these response to concerns raised by a labor paragraphs (c) through (e). FRA agrees tests, FRA granted Amtrak a waiver for commenter, it should be noted that FRA with several of the commenters that the this extension on July 26, 1995. See FRA would likely not completely eliminate 1997 NPRM may have been over- Docket No. PB 94–3. Amtrak has the need to perform COT&S on a inclusive in listing the components operated under the terms of this waiver periodic basis but might consider whose repair, replacement, or removal for several years with no problems. extending the interval between such would trigger the performance of a Consequently, based on Amtrak’s attention depending on the frequency of single car test. Paragraph (c) lists the experience, FRA believes all passenger the single car test intervals proposed by wheel defects that would trigger the cars with 26–C equipment can safely be a railroad. requirement to perform a single car test. operated for four years between periodic Section 238.311 Single Car Test FRA believes that the wheel defects maintenance. contained in this paragraph generally Paragraph (e) recognizes that the same This section contains the tend to indicate some type of braking extensions applicable to locomotives requirements for performing single car equipment problem. FRA believes that and passenger coaches should be tests on all nonself-propelled passenger merely changing a wheel to correct a applied to control cab cars that use cars and all unpowered vehicles used in wheel defect that is actually caused by brake valves that are identical to the 26– passenger trains. As previously a brake system problem will only lead C valves used in passenger cars or the discussed in the general preamble, FRA to a continuation of the problem on the 26–L valves used on locomotives. is modifying the requirements related to new wheel and will increase repair Consequently, based on the information the performance of single car tests from costs to the railroad. A test that checks and tests conducted on those valves as those that were proposed in the 1997 for the root cause of the defect is not well as waivers currently existing, FRA NPRM. In paragraph (a), based on the only a good safety practice, but is a good is extending the periodic maintenance recommendations of representatives business practice that will lead to interval for cab cars to 1,476 days or from both rail labor and rail reduced operating costs. However, in 1,104 days for those cab cars that use management, FRA is referencing the accordance with the discussions brake systems identical to the 26–C and single car testing procedures which conducted with the Working Group in 26–L, respectively. This extension is were developed by APTA PRESS rather mid-December of 1997, paragraph (d) consistent with recent requests for than the AAR single car testing makes clear that FRA will not mandate waivers received by FRA. procedures referenced in the 1997 the performance of a single car test for In paragraph (a)(2) FRA provides that NPRM. The single car test procedures wheel defects, other than a built-up were issued by APTA on July 1, 1998, a railroad may petition FRA, under tread, if the railroad can establish that and are contained in APTA Mechanical § 238.21, to approve alternative the wheel defect is due to a cause other Safety Standard SS–M–005–98. The maintenance procedures providing than a defective brake system. Thus, the equivalent safety. Under this provision, single car test procedures issued by burden will fall on the railroad to railroads could propose using APTA are more comprehensive and establish and maintain sufficient periodically scheduled single car tests better address passenger equipment documentation that a wheel defect is to extend the time between required than the older AAR recommended due to something other than a brake- periodic maintenance on passenger practices. In paragraph (a), FRA is also related cause. FRA makes clear that if coaches. FRA believes that the single car slightly modifying the applicability of the railroad cannot establish the specific test provides a good alternative to more this section for clarity. In the 1997 non-brake related cause for a wheel frequent periodic maintenance. In fact, NPRM, FRA proposed to require the defect, it is required to perform a single in the 1994 NPRM on power brakes, performance of single car tests on all car test. FRA proposed the elimination of time- passenger cars and other unpowered based COT&S and in its stead proposed vehicles used in passenger trains. Paragraph (e) requires a railroad to time intervals for conducting single car However, the definition of passenger conduct a single car test if one or more tests, ranging from three to six months, cars includes self-propelled vehicles of the identified brake system depending on the utilization rate of the such as MU locomotives, to which FRA components is removed, repaired, or passenger equipment. See 59 FR 47690– did not intend the single car test replaced. This paragraph also requires 91, 47710–11, and 47740–41. However, requirements to apply. Consequently, that a single car test be performed if a comments received and discussions FRA has modified the language of passenger car or vehicle is placed in with members of the Working Group paragraph (a) to clarify that the testing service after having been out of service revealed that many passenger railroads requirements apply to nonself-propelled for 30 or more days. FRA believes that would rather perform periodic passenger cars and unpowered vehicles these requirements will ensure that maintenance than more frequent single used in passenger trains. brake system repairs have been car tests. One reason for this is that Paragraph (b) requires that all single performed correctly and that the car’s some operators would rather take car tests be performed by a qualified brake system will operate as intended equipment out of service every few maintenance person. A single car test is after repairs are made or after the car years and perform the overhaul of the a comprehensive brake test that requires has been in storage for extended brake system than have equipment out the skills and knowledge of a highly periods. As noted above, FRA has of service for shorter periods every few trained and skilled person with amended the list of brake components to months. Therefore, FRA has retained mechanical expertise. Railroads include only those circumstances where periodic maintenance intervals but currently use personnel which would a relay valve, service portion, provided the alternative to railroads to generally meet the definition of emergency portion, or pipe bracket is propose single car testing intervals in ‘‘qualified maintenance person’’ as removed, repaired, or replaced. order to reduce the frequency with defined by this part to perform single Whenever any other component which the periodic maintenance is car tests, and FRA believes that this previously contained in the 1997 NPRM performed. Consequently, railroads are practice should continue. is removed, repaired, or replaced, afforded some flexibility to determine FRA is also modifying some of the paragraph (g) requires that only that the type of maintenance approach that circumstances under which a single car portion that is renewed or replaced be best suits their operations. However, in test is required to be performed in tested. FRA believes that the items
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00085 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 25624 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations contained in paragraph (g) can generally Class I brake tests from those that were terminal. Consequently, paragraph (b) be removed, replaced, or repaired previously proposed in the 1997 NPRM. retains the proposed requirement that a without affecting other portions of the Paragraph (a) of this section requires Class I brake inspection be performed brake system, thus reducing the need to that a Class I brake test be performed at on long-distance intercity passenger perform a single car test. FRA believes least once each calendar day that a piece trains prior to departure from an initial that the requirements contained in of equipment is placed in service. As terminal. FRA does not believe there paragraphs (e) and (g) are more noted previously in the 1997 NPRM, the would be any significant burden placed consistent with the current practices of Working Group discussed and debated on these operations as the current most passenger railroads than the when and how a Class I brake test regulations require that an initial requirement proposed in the 1997 should be performed. Labor terminal inspection be performed at NPRM. representatives stressed the need for a these locations. Furthermore, virtually Paragraph (f) provides that if a single thorough brake test performed by all of the initial terminal inspections car test cannot be made at the point qualified mechanical inspectors on currently conducted on these types of where repairs are made, the car may be every passenger train. These trains are performed by individuals who moved in service to the next forward representatives strongly contended that would be considered qualified location where the test can be made. this brake test must be performed prior maintenance persons pursuant to This paragraph requires that at a to the first daily departure of each § 238.5. minimum the single car test be passenger train. On the other hand, Paragraph (b) also retains the completed prior to, or as a part of, the representatives of passenger railroads requirements proposed in the 1997 car’s next calendar day mechanical expressed the desire to have flexibility NPRM related to the performance of inspection. As noted previously, labor in conducting a comprehensive brake Class I brake tests on long-distance representatives object to permitting cars inspection, arguing that safety would be intercity passenger trains every 1,500 to be used in passenger service after a better served if railroads were permitted miles or every calendar day, whichever to conduct these inspections on a daily comes first. After reviewing the repair is made without the required basis. Although FRA agrees with the information and comments submitted single car test being performed. These position advanced by many labor by labor representatives, the information commenters contend that the representatives that some sort of car-to- and comments provided by Amtrak, and performance of a single car test is car inspection must be made of the based upon the independent necessary prior to using the vehicle in brake equipment prior to the first run of information developed by FRA, FRA order to determine whether any other the day in most circumstances, FRA believes that the enhanced inspection unknown defects to the brake system does not agree that it is necessary to scheme contained in this final rule will exist. Although FRA recognizes the perform a full Class I brake test in order ensure the continued safety of long- concerns of labor representatives with to ensure the proper functioning of the distance intercity passenger trains. (See regard to this provision, FRA believes brake equipment. As FRA views a Class previous discussion of comments in that it is necessary to provide railroads I brake test as a comprehensive general preamble portion of this the flexibility to make the necessary inspection of the braking system, FRA document.) repairs to a piece of equipment and then believes that commuter and short- Contrary to the statements made in move it to a location which is most distance intercity passenger train the comments submitted by some labor conducive to performing the required operations must be permitted some representatives, FRA is not merely single car test. However, in order to flexibility in conducting these increasing the distance between brake address labor’s concerns and to ensure inspections. Consequently, paragraph inspections for these types of trains. the safe movement of such equipment, (a) requires that commuter and short- Rather, FRA is increasing both the FRA has added a visual inspection distance intercity passenger train quality and the content of the requirement and a tagging requirement operations perform a Class I brake test inspections that must be performed on that must be met prior to the railroad sometime during the calendar day in long-distance intercity passenger trains being allowed to haul a car in the which the equipment is used. and, thus, increasing the safety of such fashion provided in this paragraph. FRA also recognizes the differences trains. Under the current regulations Consequently, this paragraph requires between commuter or short-distance these passenger trains are required to that prior to moving a car in passenger intercity operations and long-distance receive an initial terminal brake service for the purposes of conducting a intercity passenger train operations. inspection at the point where they are single car test, a visual inspection Long-distance intercity passenger trains originally assembled, and from that verifying the application and release of do not operate in shorter turnaround point the train must receive an the brakes on both sides of the repaired service over the same sections of track intermediate brake inspection every car must be conducted and the car must on a daily basis for the purpose of 1,000 miles. The current 1,000-mile be appropriately tagged to indicate the transporting passengers from major inspection merely requires the need to perform a single car test. centers of employment. Instead, these performance of a leakage test, an Section 238.313 Class I Brake Test trains tend to operate for extended application of the brakes and the periods of time, over long distances inspection of the brake rigging on each This section contains the with greater distances between car to ensure it is properly secured. See requirements related to the performance passenger stations and terminals. 49 CFR 232.12(b). The current 1,000- of Class I brake tests. The requirements Further, these trains may operate well mile brake inspection does not require in this section apply to all passenger over 1,000 miles in any 24-hour period, 100 percent operative brakes prior to coaches, control cab cars, MU somewhat diminishing the opportunity departure and does not require piston locomotives, and all nonself-propelled for conducting inspections on these travel to be inspected. The current vehicles that are part of a passenger trains. Therefore, FRA believes that a regulations also do not require the train. After consideration of the thorough inspection of the braking performance of any type of mechanical comments and information submitted, system on these types of operations inspection on passenger equipment at FRA intends to make very minor must be conducted prior to the trains’ 1,000-mile inspection points or at any changes to the requirements regarding departure from an initial starting other time in the train’s journey. Thus,
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00086 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25625 under the current regulations a long- decrease the risk of thermal damage to Amtrak’s voluntary maintenance distance intercity passenger train can wheels. standards or operating practices. In travel from New York to Los Angeles on • The ability to effectuate a graduated addition, based on the description of one initial terminal inspection, a series release of the brakes due to a design some of the conditions, they would not of 1,000-mile inspections, and no feature of the brake equipment which be considered defective conditions mechanical inspections. permits more flexibility and more under current Federal regulations. Whereas, this rule will require the forgiving train control. Furthermore, the vast majority of the • performance of a Class I brake test, The ability to cut out brakes on a conditions alleged in the document which is more comprehensive than the per-axle or per-truck basis rather than a were not power brake defects, and thus, current initial terminal inspection, at per car basis, thus permitting greater use under the current regulations, would the point where the train is originally of those brakes that are operable. not have been required to have been • 1 assembled and will require the Brake ratios that are 2 ⁄2 times inspected at a 1,000-mile inspection. performance of another Class I brake test greater than the brake ratios of loaded Nor do the current regulations mandate every 1,500 miles or every calendar day freight cars. any type of mechanical inspection on Although some of the technologies thereafter, whichever comes first, by passenger equipment (other than on noted above have existed for several highly qualified inspectors. Thus, at locomotives under 49 CFR part 229, of decades, most of the technologies were least every 1,500 miles or every calendar course). Moreover, as the vast majority not in wide spread use until after 1980. day a long-distance passenger train will of the alleged conditions were Furthermore, most of the noted be required to receive a brake inspection mechanical and wheel defects, FRA technological advances just started to be which is more comprehensive than the believes that these types of defective integrated into one efficient and reliable current initial terminal inspection and conditions will be addressed by the braking system within the last decade. which requires that the train have 100 exterior calendar day mechanical Consequently, the technology inspection contained in this final rule percent operative brakes and have incorporated into the brake equipment which will be required to be performed piston travel set within established used in today’s long-distance intercity every calendar day that a piece of limits. Furthermore, this rule will passenger trains has increased the equipment is in service. require the performance of an exterior reliability of the braking system and and interior mechanical inspection permits the safe operation of the FRA agrees with the comments every calendar day that the train is in equipment for extended distances even submitted by the BRC that the data and service. Consequently, the inspection though a portion of the braking system information submitted by Amtrak scheme proposed in the 1997 NPRM may be inoperative or defective. regarding the allegedly defective and retained in this final rule will, in FRA also disagrees with the equipment found at Washington, D.C., FRA’s view, increase the safety and contentions raised by certain labor does not fully address whether the cars better ensure the integrity of the brake representatives that the facts and data identified by carmen at that location and mechanical components of long- do not support the 500 mile extension were defective and does indicate that at distance passenger trains. in the brake inspection interval even least many of the cars were repaired for FRA also believes that some with the more comprehensive the defective condition noted within recognition must be given to the various inspection scheme. These commenters several days after moving through types of advanced braking system recommend that the current 1,000-mile Washington, D.C. However, contrary to technologies used on many long- brake inspection interval be retained the conclusions reached by labor distance intercity passenger trains. together with the increased inspection representatives, the fact that a car Many of these advanced technologies regiment. These commenters contend remained in service with an alleged are not found with any regularity in that due to the large number of defects defective mechanical or brake condition freight operations and thus the being found at 1,000-mile inspections does not necessarily mean the train reliability and performance of brake the need to retain the inspection is involved was in an unsafe condition or systems on these passenger trains justified. As an example and support for that the equipment was being moved enhance the safety of these trains and, this position, the BRC submitted illegally. The current regulations when combined with other aspects of information containing numerous regarding freight mechanical equipment this discussion, support FRA’s belief defective conditions compiled by and the existing statutory mandates that these brake systems can safely be carmen stationed at Union Station in regarding the movement of equipment operated with the inspection intervals Washington D.C. from January 1996 with defective safety appliances and that were proposed in the 1997 NPRM. through February of 1997 that the brakes permit the movement of a certain Dynamic brakes are typically employed carmen allegedly found on trains amount of defective equipment to on these types of trains to limit thermal traveling through Union Station. After certain locations provided it is stresses on friction surfaces and to limit reviewing the documentation submitted, determined by a qualified person that the wear and tear on the brake FRA does not believe the information such a movement can be made safely or equipment. Furthermore, the brake supports the conclusion that 1,000-mile that a sufficient percentage of the brakes valves and brake components used on brake inspections must be maintained remain operative. See 49 U.S.C. 20303, today’s long-distance passenger trains and that it would be unsafe to extend 49 CFR 215.9. As this final rule will are far more reliable than was the case the distance between brake inspections specifically address the inspection of several decades ago. Other technological under the inspection scheme contained the mechanical components on advances utilized with regularity by in this final rule. passenger equipment and the movement these passenger trains include: Due to the lack of detail contained in of defective mechanical components, • The use of brake cylinder pressure the information submitted by the BRC, which is not covered by existing indicators which provide a reliable it is impossible to determine whether regulations, FRA believes that the indication of the application and release the vast majority of the alleged defective amount of defective equipment being of the brakes. conditions were defective under the operated will be reduced significantly • The use of disc brakes which Federal regulations or whether the and/or handled safely in revenue trains. provide shorter stopping distances and conditions were merely in excess of Although FRA agrees that the
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00087 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 25626 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations information submitted by Amtrak monitoring, FRA did find some trains added to a train while en route. See 49 regarding the number of cars set out at that after receiving initial terminal CFR § 232.13. 1,000-mile inspection points does not inspections still contained some Paragraph (d) requires that the Class reflect the true number of defects being defective conditions in the brake I brake tests be performed by qualified found during the inspections, FRA does system. Although FRA believes that maintenance persons. As FRA intends find it significant that a very small none of the defective conditions found for Class I brake tests to be in-depth percentage of cars set-out by Amtrak are would have prevented the safe inspections of the entire braking system, set-out at 1,000-mile inspection operation of the trains, FRA recognizes which most likely will be performed locations and that most set-outs occur that FRA as well as the railroads must only one time in any given day in which en route. be vigilant in ensuring that quality brake the equipment is used, FRA believes FRA also finds it necessary to make system inspections are performed on a that these inspections must be clear that the number of cars alleged to train at its point of origin and at each performed by individuals possessing the have been found in defective condition location where a Class I brake test is knowledge to not only identify and at Union Station in Washington, D.C. is detect a defective condition in all of the required to be performed. Consequently, not indicative of a safety problem on brake equipment required to be due to the comprehensive nature of long-distance intercity passenger trains. inspected but also the knowledge to Class I brake tests and the exterior Assuming that all of the cars contained recognize the interrelational workings of in BRC’s submission were in fact calendar day mechanical inspection the equipment and have a general defective as alleged, it appears that combined with the technological understanding of what is necessary to approximately 750 cars were defective. advances incorporated into the braking repair the equipment. Furthermore, However, the information also reveals systems utilized in these types of trains most passenger railroads currently have that approximately 1,300 trains were and after a review of the data and a daily brake test performed by highly inspected; thus, using a conservative information provided and based on qualified mechanically trained estimate of 10 cars per train, FRA’s experience with these types of employees so this requirement is not approximately 13,000 cars were operations, FRA is retaining the really a departure from current industry inspected. As a result, approximately proposed 1,500 mile interval for the practice. (For a detailed discussion of only 6 percent of the cars inspected performance of Class I brake tests in this ‘‘qualified maintenance person’’ see the were found to contain either a final rule. section-by-section analysis for § 238.5 mechanical or brake defect. Paragraph (c) contains a provision and the general preamble discussion Furthermore, of the approximate 750 that was not proposed in the 1997 related to qualified maintenance cars alleged to have been found NPRM to address the inspection of cars persons.) defective, only approximately 20 added to an en route train. FRA has Paragraph (e) provides railroads with percent of those contained a power modified the Class I brake test the option to perform the Class I brake brake-related defect. Consequently, only requirements to ensure the proper test either separately or in conjunction about 1–2 percent of the total cars operation of all cars added to a train with the calendar day mechanical inspected contained a power brake- while en route. This paragraph requires inspections. FRA has retained this related defect. Moreover, from the the performance of a Class I brake test provision simply to clarify that the two information provided it appears that on each car added to a passenger train inspections need not be done at the none of the trains contained in the BRC at the time it is added to the train unless same time or location as long as they are both performed sometime during the submission were involved in any type of documentation is provided to the train calendar day that a piece of equipment accident or incident related to the crew that a Class I brake test was is in use. defective conditions alleged. performed on the car within the FRA believes that the key to any Paragraph (f) prohibits a railroad from previous calendar day and the car has inspection scheme developed for long- using or hauling a passenger train in not been disconnected from a source of distance intercity passenger trains is the passenger service from a location where quality of the inspection which is compressed air for more than four hours a Class I brake test has been performed, performed at a train’s point of origin. prior to being added to the train. This or was required to have been performed, FRA is convinced that if a train is requirement has been included in order with less than 100 percent operating properly inspected with highly qualified to address the concerns raised by brakes. (See section-by-section analysis inspectors and has 100 percent various labor representatives that no of § 238.15 for a detailed discussion of operative brakes at its point of origin, provisions were provided in the 1997 movement of defective equipment for then the train can easily travel up to NPRM to address circumstances when purposes of repair or sale.) 1,500 miles between brake inspections cars are added to an en route train. Paragraph (g) contains a list of the without significant deterioration of the Section 238.317 makes clear that if a car safety-related items that must be braking system. FRA independently has received such inspection, the inspected, tested, or demonstrated as monitored a few long-distance intercity railroad will be required to perform a part of a Class I brake test. This list was passenger trains running from New York Class II brake test at the time the car is developed based on the experience and to Miami, New York to New Orleans, added to the train. FRA believes that knowledge of FRA’s motive power and and New York to Chicago and found these provisions are necessary to ensure equipment field inspectors familiar with that when the trains departed from their the integrity of the brake system on the operations and inspection practices points of origin with a brake system that every car added to an existing train and of passenger operations. The Working was defect free they arrived at should not be a burden for railroads Group extensively discussed the items destination without any defective since cars are generally added to contained in this paragraph. Very few conditions existing in their brake passenger trains at major terminals with comments were submitted which systems. These findings are consistent the facilities and personnel available for addressed the specific items contained with FRA’s experience in inspecting conducting such inspections. in this paragraph. One commenter did long-distance intercity passenger trains Furthermore, these inspection recommend that a few of the provisions over the last several years. It should be requirements are very similar to what is be clarified to specifically address tread noted that during this independent currently required when a freight car is brakes. Therefore, paragraph (g)
VerDate 06-MAY-99 18:15 May 11, 1999 Jkt 183247 PO 00000 Frm 00088 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm03 PsN: 12MYR2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25627 generally retains all of the requirements Amtrak or other operators of long relatively short period of time prior to proposed in the 1997 NPRM except to distance trains from having to dispatch the first run of the day and the train has the extent that a few requirements have qualified maintenance persons to the not been used in passenger service since been slightly modified for clarity. location of a delayed train merely to the performance of that inspection. Paragraph (g)(1) requires that an meet the calendar day Class I brake test From a safety standpoint, it appears to inspection be conducted on each side of requirement. This is a common sense be overkill to require the performance of each car to verify the application and exception that will not compromise a second comprehensive brake test release of each brake. This requirement safety. when the equipment has not been used is consistent with FRA’s longstanding Section 28.315 Class IA Brake Test in passenger service and has remained interpretation of what the current on a source of compressed air since the regulations require when conducting This section contains the last comprehensive brake test was initial terminal and 1,000 mile brake requirements regarding the performance performed. In such circumstances, FRA inspections pursuant to § 232.12. For of Class IA brake tests. As mentioned believes that the performance of a Class clarity and consistency, FRA has previously, although FRA agrees with II brake test would be sufficient to explicitly incorporated the requirement the position advanced by many labor determine if there are any problems into this final rule. Minor modifications representatives that some sort of car-to- with the braking system due to have been made to paragraphs (g)(3), car inspection must be made of the vandalism or other causes since the last (g)(5), and (g)(11) in order to clarify the brake equipment prior to the first run of comprehensive Class I brake test. intent of the requirements to brake the day, FRA does not agree that it is Furthermore, as APTA’s comments systems utilizing tread brakes. It should necessary to perform a full Class I brake point out, commuter railroads have been be noted that the requirement contained test in order to ensure the proper safely operated in a fashion similar to in paragraph (g)(14) would bar the use functioning of the brake equipment in this for a number of years. of a train that current regulations allow all situations. However, contrary to the Consequently, paragraph (a)(1) of this to be placed in service. This paragraph position espoused by several railroad section makes clear that a Class IA brake requires that brake indicators must representatives, FRA believes that test is to be performed prior to the first function as intended. Although this something more than just a morning departure of each commuter or provision may require railroads to make determination that the brakes on the short-distance intercity passenger train more frequent repairs than are currently rear car set and release is necessary in unless a Class I brake test was required, FRA believes these added many situations. performed within the previous twelve Currently, the quality of initial costs are necessitated by—and offset hours and the train has not been used terminal tests performed by train crews by—the ability to use brake indicators in passenger service and has not been during the performance of certain brake is likely adequate to determine that brakes apply on each car. However, disconnected from a source of tests in lieu of direct observation of the compressed air for more than four hours brakes. most commuter equipment utilizes ‘‘tread brake units’’ in lieu of cylinders since the performance of the Class I Paragraph (h) requires the qualified brake test. FRA believes that this maintenance person that performs a and brake rigging of the kind prevalent on freight and some intercity passenger exception is consistent with the concept Class I brake test to record the date, time of performing comprehensive brake and and location of the test as well as the cars. It is undoubtedly the case that train crewmembers do not verify mechanical inspections at centralized number of the controlling locomotive of locations as this provision affords the train. It should be noted that a application of the brakes by tapping railroads the ability to conduct a Class requirement to record the total number brake shoes while the brakes are I brake test at the end of a train’s daily of cars inspected during the Class I applied—the only effective means of operating cycle at a central location and brake test has been added at paragraph determining that adequate force is being then have the ability to move the train (h)(4). FRA believes this information is applied. This is one reason why the in non-passenger service to an outlying necessary to ensure that the required subject railroads typically conduct location without being required to inspection has been performed on all redundant initial terminal tests at other perform a Class IA brake test prior to the cars in a train and provides a times during the day. Further, train departure from the outlying terminal. method for the tracking of cars added to crews are not asked to inspect for wheel en route trains. This minimal defects and other unsafe conditions, nor Paragraph (a)(2) requires that a Class information is required to be available should they be asked to do so, given the IA brake test be performed prior to in the cab of the controlling locomotive conditions under which they are asked placing a train in service if that train has to demonstrate to the train crew and to inspect and the training they receive. been off a source of compressed air for future inspectors that the train is As noted previously, FRA is more than four hours. This requirement operating under a current Class I brake modifying the requirements for when a formalizes a long-standing agency test. Furthermore, the use of such Class IA brake test must be performed interpretation of the existing power records or ‘‘brake slips’’ as they are from that which was proposed in the brake regulations but increases the time known in the industry is the current 1997 NPRM. FRA continues to believe limit from two to four hours. Labor practice of virtually all passenger that some type of car-by-car inspection representatives maintain that any railroads. FRA believes that this must be performed prior to a passenger number of brake system problems can recordkeeping requirement adds train’s first run of the day if the train develop with equipment off air for only necessary reliability, accountability, and was used in passenger service the a short time, while management enforceability to the inspection previous day without any brake representatives contend that equipment requirements contained in this section. inspection being performed after it has can be left off air for extended periods Paragraph (i) allows long distance, completed service and before it lays-up of time with no problems. FRA believes intercity passenger trains that miss a for the evening. However, FRA tends to the requirement contained in this scheduled Class I brake test due to a agree with the comments submitted by paragraph is a fair compromise that delay en route to proceed to the point APTA representatives that the need for allows railroads some operating where the scheduled brake test was to such an inspection is minimized if a flexibility, but does not allow be performed. This flexibility prevents Class I brake test is performed within a equipment to be off air without a new
VerDate 06-MAY-99 18:15 May 11, 1999 Jkt 183247 PO 00000 Frm 00089 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm03 PsN: 12MYR2 25628 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations brake test for extended periods of time. Class IA brake test. This paragraph performance of a Class II brake test. This FRA agrees that its longstanding makes clear that a Class IA brake test paragraph has been modified from that administrative interpretation of include: a check that each brake sets which was proposed in the 1997 NPRM allowing cars to be ‘‘off air’’ for only two and releases; a test of the emergency in order to clarify the requirements, to hours was established prior to the brake application feature; a check of the remain consistent with other provisions development of new equipment that has deadman or other emergency control of this rule, and to address recent issues greatly reduced leakage problems. device; an observation that angle cocks that have been raised with FRA However, contrary to the contentions of and cutout cocks are properly set; an regarding certain passenger train some commenters, FRA does not believe observation that brake pipe pressure operations. Although paragraph (a)(1) that cars should be allowed to be ‘‘off changes are communicated to the rear of retains the proposed requirement that a air’’ for extended periods without being the train; and a test that the Class II brake test be performed retested. The longer cars sit without a communicating signal system is known whenever the control stand is changed, supply of compressed air attached, the to be operative. this paragraph has been modified in greater the chances are that the integrity Paragraph (g) requires that the order to clarify that a Class II brake test of the system will be compromised, inspection of the set and release of the need not be performed in circumstances either by weather conditions or brakes be performed by walking the where a train is being moved in non- vandalism. train so the inspector actually observes passenger service from one track to Paragraph (b) allows a commuter or the set and release of each brake. Labor another inside a terminal complex even short-distance intercity passenger train representatives strongly contended that though the changing of the control stand that provides continuing late night this is the only way to do a proper brake occurs during such movements. In order service that began prior to midnight to test. They believe that observation of to effectuate such movements the complete its daily operating cycle after brake indicators does not give a reliable control stand may be required to be midnight without performing another indication of effective brakes because changed several times. As these train Class I or Class IA brake test on the train the indicators sense brake cylinder movements are akin to switching prior to its first departure after pressure rather than the force of the movements in that they are performed midnight. This provision is included to brake shoe against the wheel or the pad over relatively short distances at very make clear that a train is not required against the disc. However, this low speeds and pose minor safety to be stopped during its operating cycle paragraph allows an exception when hazards, FRA will not require the in order to receive a Class I or Class IA railroads determine that direct performance of multiple Class II brake brake test prior to it first departure of a observation of the set and release can tests in order to conduct such calendar day. FRA also makes clear that place the inspector in danger. FRA movements. It should be noted that this provision does not relieve a railroad acknowledges the contention of rail § 238.319 requires the performance of a from its responsibility under § 238.313 management representatives that running brake test whenever the control to perform a Class I brake test on each conditions at certain locations where stand is changed during these types of calendar day that the train is in use. Class IA tests may be performed could movements in order to ensure the Thus, a train operating past midnight place the inspector in danger if he or operation of the brake system during must receive a Class I brake test she is required to place himself or these movements. This paragraph also sometime on each of the two days it is herself in a position to actually observe requires the performance of a Class II in use. the set and release of each brake. Where brake test prior to the train’s departure Paragraph (c) allows a Class IA brake railroads determine this to be the case, from the terminal complex with test to be performed at a shop or yard FRA will permit the use of brake passengers. site without needing the test repeated at indicators for the set and release step of Paragraph (a)(2) requires the the first passenger terminal if the train the Class IA brake test as long as the performance of a Class II brake test prior remains on air and in the custody of the inspector takes a position where an to the first morning departure of a crew. This provision is an incentive for accurate observation of the indicators commuter or short-distance intercity railroads to conduct the tests at can be made. passenger train where a Class I brake locations where they can be performed test remains valid as provided in Section 238.317 Class II Brake Test more safely and easily. FRA believes § 238.315(a)(1). As discussed in the that a shop or yard location is more This section contains the preceding section, FRA believes that in conducive for conducting a proper brake requirements regarding how a Class II these limited circumstances the test. Raised platforms and other brake test is to be performed and performance of a Class II brake test will conditions frequently found at terminals contains the conditions for when a adequately ensure the integrity of the can make the performance of a brake railroad is required to perform the brake brake system on the train since the test difficult, if not hazardous. test. The Class II brake test provides performance of the last Class I brake Paragraph (d) permits the Class IA test passenger railroads the flexibility to test. Paragraph (a)(4) has been added in to be performed by either a qualified continue to use train crew personnel to order to clarify that a Class II brake test person or a qualified maintenance perform the limited brake tests required is to be performed whenever cars or person. Paragraph (e) prohibits a when minor changes to the train occur. equipment are removed from a train. railroad from using or hauling a Both labor and management This provision is consistent with the passenger train from a location where a representatives to the Working Group concept that the proper operation of the Class IA brake test has been performed, recognized that train crews are capable brake system must be verified whenever or was required to have been performed, of performing the relatively simple an event occurs which may impact the with less than 100 percent operative checks required by a Class II brake test integrity of the brake system and is brakes. (See section-by-section analysis and that the operations of most consistent with current practice on of §§ 238.15–238.17 for a discussion of commuter and passenger railroads virtually every railroad. movement of defective equipment for require the flexibility of having Paragraph (c) requires that passenger purposes of repair or sale.) Paragraph (f) operating personnel perform these tests. trains not depart from Class II brake contains the specific tasks that must be Paragraph (a) contains the tests which are performed at a terminal performed when conducting a proper circumstances which require the or a yard with any brakes cut-out,
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As a result, Amtrak’s requirement has been slightly modified high-speed trainsets, scheduled to begin Section 238.319 Running Brake Tests from the language proposed in the 1997 regular passenger service in 1999, will NPRM, in order to make the provision This section contains the very likely comply with all of the safety consistent with the movement for repair requirements for conducting running standards in this subpart. provisions contained in this final rule. brake tests on the brakes of passenger Amtrak’s discussions with FRA led it See § 238.15. Many terminals and most trains. A running brake test is merely a to sponsor a risk assessment of high yards are locations where brake repairs brake application at the first safe speed rail passenger systems on the can be effectuated. Thus, passenger opportunity to confirm that the brake north end of the NEC—from New York equipment containing defective brake system works as expected by the to Boston. The discussions also equipment would not be permitted to engineer. Paragraphs (a) and (c) require prompted FRA to sponsor computer depart those locations capable of that a running brake test be performed modeling to predict the performance of making the necessary repairs until in accordance with the railroad’s various equipment structural designs repaired. If the necessary repairs cannot established operating rules after the and configurations in collisions. A copy be effectuated at such locations the train has received a Class I, Class IA, or of the risk assessment performed by equipment must be properly tagged and Class II brake test as safety permits. FRA Arthur D. Little, Inc., for Amtrak is moved pursuant to the requirements believes that railroads are in the best included in the docket of this contained in § 238.15. position to determine when and where rulemaking. The risk assessment was Paragraph (d) requires that a Class II running tests can be safely performed. based on existing and predicted future brake test consist of: a check that the As most passenger railroads routinely right-of-way configurations and traffic brakes on the rear unit of the train apply conduct running brake tests, FRA density patterns. The risk assessment and release in response to brake control believes that the requirements contained concluded that a significant risk of signals or a check that brake pipe in this section capture an important collisions at speeds below 20 mph and pressure changes are properly safety check without changing current a risk of collisions at speeds exceeding communicated at the rear of the train by operating practice to any great extent. It 100 mph exist over the 20-year observation of a gauge at the end of the should be noted that paragraph (b) has projected operational life of the HSTs— train or in the cab of the rear unit; a test been added to this section to require the due to heavy and increasing of the emergency brake application and performance of a running brake test conventional commuter rail traffic, a test of the deadman pedal or other whenever the control stand used to freight rail traffic on the NEC, highway- emergency control device on MU control the train is changed to facilitate rail grade crossings, moveable bridges, equipment; and a test of the the movement of a passenger train from and a history of low speed collisions in communicating signal system to ensure one track to another within a terminal or near stations and rail yards. it is operating as intended. The complex while not in passenger service. Based on the risk assessment and the proposed requirements for observing a As previously discussed, due to the results of the computer modeling, set and release of the brakes on the rear special nature of these moves FRA Amtrak and FRA determined that full car and for ensuring that brake pipe believes that a running brake test reliance on collision avoidance pressure changes are properly adequately ensures the proper operation measures rather than crashworthiness, communicated at the rear of the train of the braking system during these though the hallmark of safe high-speed have been combined and stated in the movements and obviates the need to rail operations in several parts of the alternative in this final rule, as FRA perform a Class II inspection each time world, could not be implemented in believes that the performance of either the control stand is changed in these corridors like the north end of the NEC. task indicates proper trainline circumstances. Existing traffic and right-of-way continuity and to perform both would Subpart E—Specific Requirements for configurations do not permit be redundant and unnecessary. It Tier II Passenger Equipment implementation of the same collision should also be noted that the avoidance measures that have proven requirement regarding the testing of the Section 238.401 Scope successful in Europe and Japan. To emergency application and deadman This subpart contains the design and compensate for the increased risk of a pedal or other emergency control performance requirements for Tier II collision in the North American rail devices is only applicable to MU passenger equipment—that is, passenger operating environment, a more equipment due to the ease of performing equipment operating at speeds crashworthy trainset design is needed. such an inspection on that equipment. exceeding 125 mph but not exceeding (FRA does note that on June 3, 1998, The requirement that the 150 mph. For the most part, compliance near Eschede in northern Germany, an communicating signal system be tested with the requirements of this section ICE (Inter City Express) passenger train is part of both a Class I and a Class IA will be demonstrated by one-time derailed at a speed of approximately 125 brake test and has been added to this analysis or initial acceptance tests. mph into the support structure of a brake inspection as FRA believes the The requirements contained in this highway bridge carrying traffic over the proper operation of the communicating subpart have their basis in discussions railroad right-of-way, collapsing the signal system is necessary for the safe between Amtrak and FRA involving bridge. A number of the cars in the train operation of a train and can be easily safety requirements for the operation of were crushed, and 101 fatalities resulted tested in a very short amount of time. passenger trainsets at speeds up to 150 from the derailment.) Accordingly, the FRA believes that if the equipment mph on the Northeast Corridor (NEC). set of structural requirements for Tier II receives a full Class I brake test and a Aware that FRA was considering the passenger equipment in this final rule is calendar day mechanical inspection at development of safety standards for more stringent than the current design some time during each operating day, high-speed passenger rail equipment, practice for North American passenger then these simple checks are adequate Amtrak asked FRA for assistance in equipment or for high-speed rail to confirm brake system performance at developing a set of safety specifications equipment in other parts of the world.
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Section 238.403 Crash Energy section may be unattainable using absorb collision energy before it poses a Management Requirements current technology. However, Amtrak’s risk to the train’s occupants. This section requires that each power high-speed trainsets have been shown to Paragraph (d) requires that for a 30- mph collision of a train on tangent, level car and trailer car be designed with a meet the requirements of this section. track with an identical stationary train, crash energy management system to Specifically, testing has shown the crash the deceleration of the occupied dissipate kinetic energy during a energy absorbing components of the compartments of each trailer car shall collision. power car and in the end of the first During discussions with Amtrak for trailer car adjacent to the power car to not exceed 8g; and when seated anywhere in a trailer car, the velocity at the safety provisions of its high-speed absorb the energy as provided in which a 50th-percentile adult male trainsets, FRA proposed very paragraph (c). Talgo further commented that because contacts the seat back ahead of him challenging crash energy management the kinetic energy of a running train is shall not exceed 25 mph. A 50th- requirements based on predictions using a function of its mass and speed, percentile adult male has been defined computer modeling. Amtrak believed paragraph (c) should not state a fixed in § 238.5, based on the same that meeting these requirements would value of energy. Rather, it believed characteristics for such a vehicle be well beyond the current state of the paragraph (c) should state a value with occupant’s weight and dimensions art for passenger equipment design, and respect to a specified speed to allow specified in a NHTSA standard at 49 that an extensive and costly research some flexibility for trains of varying CFR § 571.208, S7.1.4. FRA does note and testing program would be required. mass and yet preserve the same level of that, for purposes of this requirement, As an alternative, Amtrak proposed a safety. FRA recognizes that the kinetic the weight of the occupant is not crash energy management design based energy of a running train is a function particularly relevant, as weight on the demonstrated, commercially of its mass and speed, and if Tier II generally should not affect how fast the viable design developed in France and trains were at no risk of colliding with occupant strikes the seat back ahead of incorporated in the most recent design other trains of greater weight, then him. In this regard, an occupant of of the TGV trainset. FRA believes that adopting Talgo’s comment may be heavier of lighter weight should be Federal safety standards must be possible. However, the Tier II safety neither more nor less protected by the capable of implementation in the design standards are intended to apply to high- requirements of this paragraph. of passenger equipment without driving speed passenger trains that, as In its comments on the NPRM, Simula the cost of implementation to the point necessitated by the United States rail did not recommend defining an that high-speed rail systems are no operating environment, will operate occupant velocity in paragraph (d), longer financially viable. commingled with heavier trains, noting that it is a function of the crash Paragraph (c) requires a Tier II train especially heavy and long freight trains pulse, the distance between two rows of to have a crash energy management that may themselves operate at speeds seats, as well as occupant position and system capable of absorbing a minimum up to 80 mph. In the event of a collision size. FRA has specified that occupant of 13 megajoules (MJ) of energy at each with a heavier train, a Tier II passenger velocity not exceed 25 mph in a end of the train. The ability to absorb train must confront the energy secondary collision because an this energy must be partitioned as possessed by that train. FRA believes occupant travelling beyond that speed is follows: a minimum of 5 MJ by the front that a Tier II passenger train must have at considerable risk of harm from a end of the power car ahead of the a crash energy management system secondary impact. In fact, use of an operator’s control compartment; a capable of absorbing the minimum occupant restraint system would likely minimum of 3 MJ by the power car energy levels specified in paragraph (c) have to be required to protect the train structure behind the operator’s control to protect the train’s occupants in light occupants in such a case. FRA believes compartment; and a minimum of 5 MJ of the risks of colliding with heavier that compliance with paragraph (d)(1) by the unoccupied end of the first trailer trains and other objects along the can be demonstrated, and that Amtrak’s car adjacent to the power car. This railroad right of way. As a result, FRA HTS complies with the rule based on requirement can be met using existing believes it is inappropriate to adopt information presented to FRA. technology. However, it will effectively Talgo’s comment. Simula additionally commented that prevent a conventional cab car from Additionally, in its comments on the if trailer cars are built to withstand 30 operating as the lead vehicle in a Tier NPRM, Talgo believed paragraphs mph collisions and 10g decelerations, II passenger train because such (c)(1)–(3) should be rewritten so that the then the seats in these cars should also equipment cannot absorb 5 MJ of total energy that is required to be be designed to withstand these same collision energy ahead of the train absorbed is dissipated through all inter- forces. Specifically, Simula did not operator’s position. Recent accidents car connections, not just through the recommend requiring that the involving trains operating with a cab car first few cars. FRA notes that one of the decelerations in trailer cars be limited in forward have demonstrated the reasons the energy absorbing structures a 30 mph collision to 10g while vulnerability of this type of equipment of the leading car in a Tier II passenger requiring seats to withstand the impact in collisions. FRA believes such train (power car) and the adjacent trailer of an occupant travelling at 25 mph and equipment should not be used in the car must themselves absorb the energy a longitudinal force of 8g, noting that forward position of a train that travels specified in this section is to reduce the the seats will not be able to withstand at speeds greater than 125 mph. FRA risk and effects of secondary collisions the 10g decelerations and consequently has also encouraged Amtrak to use an throughout the train’s subsequent detach from the car. alternative lead vehicle where speeds vehicles. Secondary collisions (i.e., FRA notes that Simula’s comment exceed 110 mph and highway-rail grade impacts with interior objects) can relates to the seat strength requirements crossings are prevalent. Further, FRA is seriously harm or, in extreme cases, kill found in § 238.435. In the final rule, specifically requiring in paragraph (f) train occupants. This risk of harm to a § 238.435(a) requires that the seat back that passenger seating be prohibited in Tier II passenger train’s occupants is, and seat attachment in a passenger car the leading unit of a Tier II train. therefore, minimized overall by be designed to withstand, with In its comments on the NPRM, Talgo requiring the energy absorbing deflection but without total failure, the observed that the standards in this structures in the first two train cars to load associated with the impact into the
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00092 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25631 seat back of an unrestrained 95th- impractical and potentially dangerous. collision between the two different percentile adult male initially seated According to Bombardier, the specified types of equipment occur. The crash behind the seat back, when the floor to test load should be based on the yield energy management design causes a Tier which the seat is attached decelerates strength of the structure rather than the II passenger train to appear as a softer with a triangular crash pulse having a ultimate strength, as this would also be collision surface to a conventionally peak of 8g and a duration of 250 consistent with the Amtrak high-speed designed train, owing to the collision milliseconds. FRA agrees with Simula trainset specifications. FRA has revised energy absorbed by the Tier II train as that it is possible that a seat in a trailer this section pursuant to Bombardier’s its unoccupied volumes intentionally car may detach from the car when comment. FRA notes that the effect of crush. subjected to a force that is greater than this revision is to require a stronger Section 238.407 Anti-Climbing that required to be withstood under power car cab than originally proposed Mechanism proposed § 238.435(a) in the NPRM, and in the rule. expressly permitted by proposed Bombardier additionally commented This section contains the § 238.403(d). FRA has, therefore, that clarifying text should be added to requirements for anti-climbing decided to modify § 238.403(d) so as to define the structural loading conditions mechanisms on power and trailer cars. limit the permissible decelerations in a so that the 2,100,000-pound load shall Paragraph (a) requires a power car to trailer car to 8g under the conditions be resisted at the height of the have a forward anti-climbing specified in that paragraph. FRA underframe at the rear of the cab as mechanism capable of resisting an believes that meeting this requirement is follows: 300,000 pounds at each rear cab upward or downward static vertical feasible with current technology, and corner post location; and 750,000 force of 200,000 pounds, without that Amtrak’s HTS complies with pounds at each rear cab collision post exceeding the ultimate strength of the § 238.403(d)(2) on the basis of location. FRA does not believe it material. This requirement is virtually information presented to FRA. necessary to incorporate Bombardier’s identical to that required of locomotives In its comments on the NPRM, Talgo comment into the rule, and doing so by AAR S–580. However, designs are believed that paragraph (d) should make may result in confusion. As discussed in permitted that require the crash energy allowances for the short-lived elevations § 238.411, FRA believes that each corner management controlled crushing to in peak that may occur during a post structure on the rear end of a power occur prior to the anti-climber fully collision so that peaks exceeding 10g (as car cab must resist a 300,000-pound engaging. FRA has revised this proposed) for a duration no longer than load at the structure’s joint with the paragraph based on a comment from 10 milliseconds are acceptable. FRA underframe, and each collision post Bombardier that the rule text, as believes that for purposes of structure must resist a 750,000-pound proposed, did not indicate that the demonstrating compliance with this load in the same manner. These loads 200,000-pound value is an ultimate paragraph through testing, deceleration may not be resisted solely at the load. Inasmuch as this requirement as measurements may be processed underframe as a test of the strength of stated in AAR S–580 is in fact based on through a low-pass filter having a the corner and collision post structures; an ultimate load acceptance criterion, bandwidth of 50 Hz. otherwise, the actual ability of the FRA has modified the rule text Paragraph (e) contains the analysis collision and corner post structures to accordingly. process to demonstrate that equipment resist shearing would not be implicated. Paragraph (b) requires that interior meets these crash energy management Further, the load testing criteria for train coupling points between units, performance requirements. The process corner and collision post structures in including between units of articulated allows simplifying assumptions to be the rule is based on ultimate strength; cars or other permanently joined units made so that computer modeling whereas the longitudinal compressive of cars, have an anti-climbing device techniques can be used to confirm strength requirement in this paragraph, capable of resisting an upward or compliance. as revised, is based on yield strength. In downward vertical force of 100,000 light of the separate requirements for pounds without yielding. This is Section 238.405 Longitudinal Static testing corner and collision post consistent with current design practice. Compressive Strength structures, FRA believes it best not to FRA has revised this section based on This section contains the expressly integrate those requirements a comment from Bombardier that the requirements for longitudinal with this section. requirements in paragraph (b) are based compressive strength of power cars and Paragraph (b) contains the on 49 CFR § 229.141(a)(2), and should trailer cars. Paragraph (a) requires the requirements for the static compressive thus include a yield strength acceptance compressive strength of the underframe strength of the occupied volumes of criterion. FRA has modified the rule of the power car cab to be a minimum trailer cars. This adopts the traditional consistent with the requirements of 49 of 2,100,000 pounds without yielding. North American design practice of a CFR § 229.141(a)(2). To form an effective crash refuge, this static strength of 800,000 pounds, Paragraph (c) requires the forward strength is needed to take advantage of without deformation of the underframe. coupler of a power car to resist a vertical the strength of the power car’s two end Paragraph (c) makes clear that downward force of 100,000 pounds for frames. Alternate design approaches unoccupied volumes of power cars or any horizontal position of the coupler that provide equivalent protection are trailer cars may have a static end without yielding, and is virtually allowed, but the equivalent protection strength of less than 800,000 pounds to identical to that provided in 49 CFR must be demonstrated through analysis accommodate crash energy management § 229.141(a) for MU locomotives built and testing and be approved by FRA designs. new after April 1, 1956, and operated in under the provisions of § 238.21. The crash energy management design trains having a total empty weight of In its comments on paragraph (a), requirement ensures that the stronger 600,000 pounds or more. Bombardier believed that a design end structures and the stronger static Talgo commented on both this section requirement based on the ultimate compressive strength of the cab of a and its Tier I counterpart in § 238.205. strength of the structure, as proposed in power car will not make Tier II Talgo explained that it desired to avoid the NPRM, makes the analysis more passenger equipment incompatible with the implication that only couplers may difficult and testing the structure existing passenger equipment should a properly function as anti-climbing
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00093 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 25632 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations mechanisms. Talgo also believed that in at a point 30 inches up from the and two full-height collision posts measuring the strength of the anti- underframe. Bombardier stated that the (paragraph (b)). In addition, this section climbing device, the operative variable cab on the Amtrak high-speed trainset specifies loading requirements that each should be vertical acceleration, was designed to resist the 100,000- of these structural members must expressed in gs, rather than load, pound load at a point 18 inches up from withstand. Of course, the rule does expressed in pounds, to accommodate the underframe, and believed this permit flexibility for using other trains of different masses. FRA has consistent with all current design equipment designs that provide discussed these comments earlier in the practices for car end structural equivalent structural protection. preamble. members. FRA has not modified the rule The required rear end structural on this point. FRA has found no conflict protection will provide considerably Section 238.409 Forward End between the proposal and the Amtrak greater protection to the train operator Structures of Power Car Cabs. high-speed trainset specification. than that provided by existing passenger This section contains the Both Bombardier and Talgo equipment designs. Together, the front requirements for forward end structures commented that FRA appeared to have and rear end structural protection of power car cabs. The forward end specified the wrong value in paragraph required in this rule for a power car cab structure of a power car cab is vital in (c)(3) of the proposed rule, as compared make the cab a highly survivable crash a collision with another object. This with the values contained in Figure 1. refuge. structure must resist override, prevent See 62 FR 49812–3. The commenters are In commenting on the NPRM, the entry of fluids into occupied spaces correct that, as proposed, the paragraph Bombardier recommended that in of the cab, and allow the crash energy wrongly required each forward corner paragraph (b) the 750,000-pound force management system to function. The post to resist a horizontal, longitudinal at the rear end cab structure collision requirements in paragraphs (a)–(c) are or lateral shear load of 150,000 pounds. posts be applied at the height of the based on a specific end structure design As Figure 1 demonstrates, FRA intended centerline of the underframe, and not at that consists of a full-height center each corner post to resist a horizontal, the collision posts’ joint with the collision post, two side collision posts longitudinal or lateral shear load of underframe. FRA disagrees, and located at approximately the one-third 80,000 pounds. FRA has revised believes it necessary to test the strength points laterally, and two full-height paragraph (c)(3) accordingly in the final of the collision post structure at its joint corner posts. This section also includes rule. with the underframe to demonstrate the loading requirements that each of these Talgo additionally commented that in actual ability of the collision post structural members must withstand. paragraph (d)(1), although the rule structure to resist shearing. Otherwise, if However, the rule does permit makes clear that its reference to a the strength of the collision post flexibility for using other equipment particular thickness of material does not structure were tested at the height of the designs that provide equivalent preclude the use of thinner materials centerline of the underframe, the structural protection. having a higher yield strength, it would collision post connection would not be End structures meeting these be preferable to avoid specifying a loaded and the ability of the collision requirements will provide considerably thickness altogether. Instead, Talgo post structure to resist shearing would greater protection to the train operator suggested that the skin strength not be tested. than that provided by existing passenger requirement could be stated in terms of Bombardier also suggested that the equipment designs. For example, much a specified impact resistance, as FRA horizontal, shear load value of 750,000 stronger corner posts are required here proposed in § 238.421 on safety glazing. pounds specified in paragraph (b)(1) than for Tier I passenger equipment. FRA recognizes that it may be possible that the collision post is required to FRA believes these end structures help to specify an impact resistance resist be changed to 500,000 pounds. provide a degree of crashworthiness to requirement, yet FRA has chosen a yield Bombardier believed this modification compensate for the increased risk strength requirement based on AAR necessary to be consistent with the associated with operating at higher Standard No. 580 and the collective shear strength requirements for the front speeds. judgment of the railroad industry collision posts specified both in the rule The front end structure design also behind that standard. Accordingly, as well as in the Amtrak high-speed includes in paragraph (d) a skin although FRA would not preclude an trainset specifications. FRA disagrees requirement equivalent to that required equipment design based on impact with this comment, and has not revised by AAR S–580 and contained in resistance that provides equivalent the rule on this point. The 750,000 § 238.209 for Tier I locomotives. FRA safety, FRA will defer consideration of pounds that each of the two collision has revised paragraphs (a)(3) and (b)(2) specifying such an impact resistance posts at the rear of a power car cab must based on a comment from Bombardier. until Phase II of the rulemaking. FRA individually resist—1,500,000 pounds Bombardier noted that the acceptance does note that the strength of the in the aggregate—is consistent with the criterion proposed by FRA in these material, in terms of its resistance to 500,000 pounds that each of the three paragraphs is based on the yield or shear, is also important to ensure collision posts at the forward end of the critical buckling stress; whereas the occupant protection. power car cab must individually resist— design of the forward end structures of again 1,500,000 pounds in the Section 238.411 Rear end Structures of the Amtrak high-speed power car cab is aggregate—under § 238.409(a) and (b) of Power Car Cabs. based on an ultimate load. FRA agrees this rule. Further, FRA believes these that basing the acceptance criterion on The rear end structure of a power car values to be consistent with the Amtrak ultimate strength is consistent with the cab provides protection to crewmembers high-speed trainset design specification. Amtrak high-speed trainset design from intrusion of locomotive machinery specification, and FRA has modified the or trailing cars into the cab’s occupied Section 238.413 End Structures of rule in this regard. volume as a result of a collision or Trailer Cars Bombardier also commented that in derailment. The requirements in this The requirements in paragraph (a) are paragraph (c)(2) FRA proposed requiring section are based on a specific end based on a specific end structure design the corner post to resist a horizontal, structure design that consists of two that consists of two full-height corner lateral force of 100,000 pounds applied full-height corner posts (paragraph (a)) posts and two full-height collision
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00094 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25633 posts. The requirements include loading in a way that collision posts cannot.) Section 238.417 Side Loads requirements that each of these However, none of the relevant recent This section contains the structural members must withstand. The experience is on the North American requirements intended to resist rule allows flexibility for other designs continent, and the ability of articulated penetration of the side structure of a that provide protection structurally connections to remain intact during a passenger car by a highway or rail equivalent to the specified design. high-speed collision with North vehicle. The objective is to make the Paragraph (b) in the final rule American passenger equipment, freight side of the passenger car strong enough contains an additional requirement for rolling stock, or a fixed obstruction has so that the car derails rather than trailer cars designed with an end not been demonstrated analytically. collapses when struck in the side by a vestibule. Such designs provide an FRA noted the weakness in the highway or rail vehicle. If the passenger opportunity for additional corner post proposed exception (§ 238.413(b) of the car can move sideways (derail), less structures inboard of the vestibule side NPRM) while preparing the final rule. structural damage and potential to doors. These corner posts can be FRA has deleted proposed paragraph (b) supported by the side sill and therefore injure train occupants will result. in its entirety, and has not provided an In its comments on the NPRM, be structurally more substantial than the exception due to the high operating Bombardier stated that for practical corner posts ahead of the side doors. speeds of Tier II passenger equipment. This paragraph includes loading reasons and to be consistent with the requirements that these additional full- Section 238.415 Rollover Strength Amtrak high-speed trainset design height corner posts must withstand. specifications, local yielding of the side Overall, the double corner post design This section contains the sill should be allowed in calculating the provides significantly increased requirements for the rollover strength of allowable stress in paragraph (c). FRA protection to passengers in trailer cars passenger cars and power cars. If the agrees that local yielding of the side with end vestibules. occupied volumes of these vehicles skin adjacent to the side sill and belt In its comments on the rule, remain intact when they roll onto their rail, and local yielding of the side sill Bombardier stated that, to be consistent side or roof structures, occupant injury bend radii at the crossbearer and floor- with the design requirements for from vehicle collapse will be avoided. beam connections is permissible. FRA Amtrak’s high speed trainsets, the This section essentially requires the has modified paragraph (c) accordingly, corner post loads in paragraphs vehicle structure to support twice the and notes that such local yielding is (a)(1)(ii), (b)(2), and (b)(3) (as numbered deadweight of the vehicle as it rests on permissible provided the resulting in the final rule) should be applied at 18 its side or roof. Passenger equipment deformations do not intrude upon the inches up from the underframe, rather constructed to North American design occupied volume of the passenger car. than at 30 inches. FRA agrees that these practice performs well in rollover Section 238.419 Truck-to-Car-Body values are consistent with Amtrak’s situations. FRA believes this and Truck Component Attachment previous undertakings for the high- requirement captures this industry speed trainsets, and has modified the practice. Paragraph (a) requires the truck-to- final rule accordingly. car-body attachment on Tier II FRA has revised paragraph (a) to passenger equipment to resist without In the 1997 NPRM, FRA proposed an make clear that its requirements apply exception from the requirements of failure a minimum vertical force to passenger cars. This revision is paragraph (a) for a trailer car (or, more equivalent to 2g acting on the mass of consistent with the section-by-section appropriately, a consist of trailer cars) the truck and a minimum force of analysis of proposed § 238.415 in the made up of multiple articulated units 250,000 pounds acting in any horizontal NPRM, see 62 FR 49779, which not designed for uncoupling other than direction on the truck. The intent of the explained that this section included in a maintenance shop. See 62 FR requirement to resist without failure the rollover strength requirements for both 49814, proposed § 238.413(b). FRA minimum vertical force equivalent to 2g power cars and trailer cars. (The term proposed that the end structure acting on the mass of the truck is to trailer car is in fact a more inclusive requirements in paragraph (a) apply prevent the truck from separating from definition under the rule than the term only to the two ends of the entire the car body during a rollover. The articulated assembly (or consist) of passenger car.) FRA has also made clear intent of the requirement to resist units, and that the interior ends of the in paragraph (a) that minor localized without failure the minimum force of individual units of the articulated deformations to the outer side skin of 250,000 pounds acting in any horizontal assembly need not be equipped with an the passenger car or power car are direction on the truck is to resist the end structure meeting the requirements allowed provided such deformations in forces that act upon the truck during a in paragraph (a). Articulated assemblies no way intrude upon the occupied collision or derailment that would tend have a history of remaining in line volume of each car. As in the NPRM, to shear the truck from the car body. If during derailments and collisions and, paragraph (b) states that deformation to the truck separates from the car body it if not designed to be uncoupled, only the roof sheathing and framing is may become a hazardous projectile that the outside ends of the entire assembly allowed to the extent necessary for the will intrude upon the occupied volume should be exposed to the risks of vehicle to be supported directly on the of a passenger car or locomotive. override. (In this regard, FRA should top chords of the side frames and end Further, the truck will not be able to have only proposed an exception for frames. serve, in effect, as an anti-climbing such equipment from the collision post As Bombardier suggested in its device if it separates from the car body requirements in paragraph (a) and not comments on the NPRM, FRA has also in a collision or derailment. from the corner post requirements as made a minor clarification to this Paragraph (b) requires that each well since collision posts—not corner section by substituting the words ‘‘in component of the truck must remain posts—principally protect against the structural members of the’’ in place attached to the truck when a force override and telescoping of passenger of the word ‘‘for’’ in the phrase which equivalent to 2g acting on the mass of equipment. Corner posts, by their very originally read in the NPRM, ‘‘the the component is exerted in any definition and location, protect against allowable stress for occupied volumes direction on that component. Whereas hazards along the railroad right-of-way .* * *.’’ See 62 FR 49816. paragraph (a) is intended to keep the
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00095 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 25634 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations truck attached to the car body, end-facing and side-facing window the 12-pound steel sphere at an angle 90 paragraph (b) is intended to keep truck glazing, and employs different testing degrees to the window surface. This components attached to the truck. methods than specified in this section. should result in a requirement as strict Bombardier, in its comments on the As recommended by Bombardier in its or stricter than that proposed in the NPRM, requested that FRA modify comments on the NPRM, instead of NPRM. paragraph (a) so that the truck-to-car- applying the glazing requirements in Under paragraph (b)(1), end-facing body attachment must resist the this section generally to power cars as exterior window glazing shall specified vertical and horizontal forces proposed in the NPRM, FRA has demonstrate anti-spalling performance only as individual loads applied decided to limit the application of the by the use of a 0.001 aluminum witness separately. However, FRA has retained glazing requirements in this section to plate, placed 12 inches from the glazing the requirement that the truck-to-car- power car cabs. This modification is surface during all impact tests. The body attachment resist the specified consistent with the glazing requirements witness plate must not contain any vertical and horizontal forces as applied in part 223, see, e.g., 49 CFR § 223.9(a). marks from spalled window glazing at the same time. Requiring the truck-to- Bombardier had noted that one of the particles after any impact test. This car-body attachment to resist the side windows on the Amtrak high-speed requirement was originally proposed as vertical and horizontal forces applied at power cars will lead to an equipment § 238.421(a)(3)(ii) in the NPRM. When the same time reflects actual conditions room, which FRA understands will not impacted on the exterior surface, experienced during a collision or be occupied while the power car is in window glazing currently used in derailment. For this reason, FRA service. railroad equipment tends to spall from believes it inappropriate to adopt Paragraph (a) relates to paragraph (b) the inside surface. Several eye injuries Bombardier’s comment. in that paragraph (b) contains additional to crewmembers have resulted. FRA requirements for end-facing exterior believes that the witness plates used in Section 238.421 Glazing window glazing on power car cabs and conducting the spalling tests to qualify This section contains the glazing passenger cars. First, under paragraph current glazing are too thick and have requirements for Tier II passenger (b)(1), end-facing exterior window allowed glazing that actually spalled to equipment. FRA believes that the higher glazing shall resist the impact of a 12- pass the test. The witness plate speed of Tier II passenger equipment pound solid steel sphere traveling at the specified in this paragraph is much necessitates more stringent glazing maximum speed of the vehicle in which thinner and, therefore, more sensitive to standards than currently required by 49 the glazing will be installed. The test detecting spall. CFR part 223. As a result, FRA proposed must be conducted so that the sphere In commenting on the NPRM, specific standards for end-facing strikes the window glazing at an angle Automotive Glass stated that the exterior glazing, side-facing exterior of 90 degrees (perpendicular) to the performance of a witness plate is glazing, and interior glazing (which is window surface. To successfully pass critically dependent on the amount of not addressed in part 223) on windows the test, the window must neither spall tension in which it is held, and that a installed in Tier II passenger equipment. nor be penetrated by the sphere. This uniform tension procedure would See 62 FR 49817. In response to the test is similar to the requirements enhance consistency. Automotive Glass NPRM, however, FRA received a imposed under European glazing therefore recommended that the test number of comments questioning the standards for high-speed trains, and protocol specify the minimum tension appropriateness of FRA’s proposals, as should be much more repeatable than of the foil in terms of some unit of well as the existing glazing standards in the cinder block test specified in 49 CFR measure, other than ‘‘taut,’’ which it part 223. Having considered these part 223. considered an aspiration not a comments, FRA has decided to focus In the NPRM, FRA had proposed that specification. FRA notes that in testing the final rule principally on more end-facing exterior windows resist an required under 49 CFR part 223, the stringent glazing requirements for end- impact with a 12-pound steel sphere at witness plate must have a ‘‘taut’’surface. facing exterior windows installed in an angle equal to the angle between the See 49 CFR part 223, Appendix A, b.(6). Tier II passenger equipment. In the window glazing surface as installed and In the NPRM, proposed second phase of this rulemaking, FRA the direction of travel of the train. See § 238.421(a)(3)(ii) is silent as to the will reexamine the glazing requirements 62 FR 49817. In commenting on the tension of the witness plate. As ‘‘taut’’ for all windows installed in Tier II NPRM, Automotive Glass Engineering has been the witness plate tension passenger equipment. FRA notes that (Automotive Glass) explained that specification used in all safety glazing this final rule does not amend the impact angle depends upon variables testing required by FRA, use of a ‘‘taut’’ requirements of 49 CFR part 223, such as the vector of the projectile, the witness plate is not inconsistent with although FRA had proposed to amend vector of the train, and the angle at the requirements of this section. FRA the application section of that part in which the subject glazing is installed. believes that this issue may be the NPRM. See 62 FR 49791. Such an Automotive Glass then observed that it reexamined in the second phase of the amendment is no longer appropriate in would have no advance knowledge of rulemaking. light of the requirements of this section the angle at which an object would Automotive Glass also commented (§ 238.421) in the final rule. The strike the window glazing when that total elimination of spalling will requirements of this section and the installed in the train. Automotive Glass result in additional weight, additional modifications from the proposed rule recommended that the rule require that cost, loss of durability, or some are discussed below in detail. tests be conducted at an angle combination of these three. According The requirements of paragraph (a) perpendicular to the surface—noting to Automotive Glass, unessential weight apply to all exterior windows on power this would constitute the most severe above the center of gravity is car cabs and passenger cars. Windows impact—unless the rule specifies the detrimental because high-speed trains on such equipment are required to meet method for determining the angle of should have less inertia and a lower the glazing standards contained in 49 incidence. FRA has adopted the center of gravity. Automotive Glass CFR part 223, except as provided in comment of Automotive Glass by believed FRA could sacrifice too much paragraphs (b) and (c) of this section. revising the rule text to require that the by averting the slight hazard created by Part 223 contains requirements for both window glazing resist the impact with the possibility of minor spalling in an
VerDate 06-MAY-99 18:15 May 11, 1999 Jkt 183247 PO 00000 Frm 00096 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm03 PsN: 12MYR2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25635 extremely unlikely event. Under the glazing meets the requirements of this with the alternative standards specified final rule, of course, only end-facing section or part 223, or both, unless that in paragraph (c), as appropriate. exterior glazing on Tier II passenger window segment is composed of the However, FRA has included the equipment is subject to the particular same material and manufactured in the following comments received on the requirements of this paragraph. Side- same manner as the window segment proposed side-facing exterior window facing exterior glazing is subject to the that underwent the testing required by glazing standards for purposes of requirements contained in 49 CFR part this section or part 223, or both. advancing the discussion of these 223. As a result, only a relatively small Paragraph (c) contains an alternative standards in the second phase of the number of the windows on a Tier II to the glazing standards specified in rulemaking. passenger train will be required to paragraphs (a) and (b). The alternative FRA had generally proposed requiring comply with the more stringent standards specified in paragraph (c) that side-facing exterior window glazing requirements specified in this represent proposed ’’ §§ 238.421(a) and in Tier II passenger equipment resist the paragraph. In this regard, FRA believes (b) in the NPRM. FRA has included this impact of a 12-pound solid steel sphere that the changes made to the final rule paragraph in the final rule in traveling at 15 mph and impacting at an render these comments less significant. recognition that the safety glazing angle of 90 degrees to the surface of the Automotive Glass further commented standards proposed in § 238.421 were glazing, with no penetration or spall. that under the proposed rule no spalling developed in consultation with Amtrak See proposed § 238.421(a)(2)(i), 62 FR of glass is allowed, and noted that under for use on Amtrak’s HTS, and FRA 49817. FRA intended this test to be 49 CFR part 223 spalling is permitted believed these standards would provide more stringent than the large object unless it is severe enough to penetrate sufficient protection for the safety of the impact test required for side-facing the prescribed foil witness plate. train occupants. However, the option to exterior glazing under 49 CFR part 223, Additionally, Automotive Glass stated use the alternative standards in and to demonstrate whether the side- that constructing foil witness plates paragraph (c) only applies to exterior facing glazing can protect occupants requires great care to avoid creating window glazing in passenger equipment from a relatively heavy object thrown indentations in the foil, and that ordered prior to May 12, 1999. Further, against the side of the train. In response microscopic examination of the surface the option to comply with paragraph (c) to this proposal, GE Plastics (of the could be required to locate indentations is no longer available once the window General Electrical Company) to determine whether they were needs to be replaced and the railroad commented that, although the energy preexisting or produced by spall. To the has exhausted its inventory of glazed resulting from the proposed test would extent no spalling is allowed, windows conforming to the be greater than that required under part Automotive Glass suggested replacing requirements of paragraph (c) as held 223, the momentum produced would the witness plate with a capture box that prior to May 12, 1999. In this manner, not be greater. Noting that tests have would capture glass fragments in the exterior window glazing complying shown momentum to be as significant a box. Automotive Glass believed that use with the requirements in this paragraph factor as energy in the consequences of of a capture box would result in a will be phased out over time. an impact, GE Plastics did not believe simpler and more reliable determination Paragraph (d) is similar to the proposed test could be considered whether spalling occurred. In addition, § 238.221(b) in this final rule. FRA did more stringent than the current if the rule would permit minor spalling, not receive any specific comments on requirement in 49 CFR part 223. Instead Automotive Glass recommended use of this section and, for clarity, FRA has a thinner witness plate positioned closer restated the requirements proposed in of FRA’s proposed test, GE Plastics to the glazing material to reduce the §§ 238.421(c) and (d) in the NPRM, see recommended a test involving a steel severity of allowable spalling and 62 FR 49817, as § 238.421(d) in this sphere weighing 24 to 25 pounds permit determination based on final rule. The focus of paragraph (d) in travelling at 15 mph, so that energy and penetration instead of indentation. the final rule is clearly on the ability of momentum would be greater than the FRA desires that no spalling occur, each exterior window to remain in current requirement. however, and recognizes that the place, however the window may be FRA had also proposed generally specified requirement is stricter than secured, and not have the window requiring that side-facing exterior that provided in part 223. Further, FRA become a potential projectile itself. FRA window glazing in all Tier II passenger believes that use of a capture box is not notes that it is separately evaluating equipment resist the impact of a granite necessarily a superior method of testing whether securement of window glazing ballast stone weighing a minimum of 0.5 for spalling, as the integrity of the test in existing passenger equipment is pounds, traveling at 75 mph, at a 90- results depend in large part on the sufficient to withstand pressure degree angle to the glazing surface, with attentiveness of the operator examining differences associated with passing no penetration or spall. See proposed the capture box for spalled glass. FRA high-speed trains. § 238.421(a)(2)(ii). FRA intended this notes that Automotive Glass also Paragraph (e) is a stenciling test to demonstrate whether the glazing provided several other comments requirement which FRA has revised in could protect occupants against impact regarding the testing protocols specified this final rule as proposed originally in from a common stone found along the in this section and 49 CFR part 223. To § 238.421(f). railroad thrown at a speed slightly faster the extent that these comments address As noted, FRA has decided not to than a human could throw such an testing protocols in part 223, they impose on all Tier II passenger object. In response, Automotive Glass concern issues affecting glazing tests for equipment in this final rule the commented that, because ballast stones both freight and passenger equipment. particular requirements for side-facing are irregular geometrically and Such issues need to be addressed in a exterior window glazing on Tier II structurally, reproducible tests would broader regulatory forum than this final passenger equipment which FRA had not be possible unless the granite rule on passenger equipment safety. proposed in the NPRM. Instead, Tier II spheres used in the tests were machined FRA does make clear, nevertheless, in power car cabs and passenger cars must and polished. Second, Automotive Glass response to a comment from comply with the existing side-facing stated that the proposed test would not Automotive Glass, that it is not proper exterior window glazing requirements impose a significantly higher kinetic to certify that a segment of window specified in 49 CFR part 223, or comply energy load than that imposed by the
VerDate 06-MAY-99 18:15 May 11, 1999 Jkt 183247 PO 00000 Frm 00097 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm03 PsN: 12MYR2 25636 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations test involving a 12-pound steel sphere Automotive Glass observed that any standard incorporated in FRA’s interior impacting the glazing surface at 15 mph, level of ballistic resistance required of glazing proposal is an external glazing and also it would not have greater spall glazing which exceeds that provided by standard that contains requirements generation potential than the proposed the body panel construction below the which may not be needed for internal test involving a 9 mm bullet. glazing would contribute only to a false glazing, such as light stability, luminous Automotive Glass added that, if a higher sense of security. In the end, transmittance, and abrasion resistance. kinetic energy test is desired, it would Automotive Glass suggested that Likewise, AtoHaas commented that be more reasonable to increase the individual railroads be given the specifying a requirement for laminated impact velocity of the proposed test discretion whether to utilize glazing glass would exclude other materials able involving the 12-pound steel sphere to with greater ballistic resistance based on to meet the safety needs here for at least 16 mph. the threat and severity of vandalism or internal glazing. AtoHaas noted that FRA has also decided to defer terrorism each faces. Again, FRA has there are many types of glazing that imposing a new requirement for ballistic decided to defer until the second phase would shatter or break in a safe manner, testing of exterior window glazing on all of the rulemaking consideration of and urged FRA to examine the power car cabs and passenger cars. In imposing a new requirement for ballistic American National Standard for Safety the NPRM, FRA proposed requiring that testing on all exterior window glazing Glazing Used in Buildings for products all exterior glazing resist the single used on power car cabs and passenger meeting FRA’s safety needs. FRA will impact of a 9-mm, 147-grain bullet cars. Of course, a railroad may avail consider these recommendations with traveling at an impact velocity of 900 itself of the alternative requirements the Working Group in the second phase feet per second, with no bullet specified in paragraph (c) at its option, of the rulemaking, and presents them penetration or spall. See proposed to the extent paragraph (c) is applicable. here to advance discussion on potential § 238.421(a)(3)(i). FRA noted that this The final rule does not contain a requirements for interior window bullet is a much more common handgun standard covering interior window glazing in Tier II passenger equipment. round than the 22-caliber bullet glazing, as FRA has decided to defer specified in 49 CFR part 223. In consideration of imposing such a Section 238.423 Fuel Tanks response to the proposal, GE Plastics standard until the second phase of this This section contains the commented that it had seen no data rulemaking. In the NPRM, FRA had requirements for fuel tanks for fossil- indicating that people shoot at trains proposed requiring that interior glazing fueled Tier II passenger equipment. This more frequently with 9 mm bullets, meet the minimum requirements of AS1 section should be read with the although it agreed that a 9 mm bullet is type laminated glass as defined in discussion of locomotive fuel tanks in a more common handgun round than a American National Standard ‘‘Safety the preamble. This section contains .22 caliber bullet. Further, GE Plastics Code for Glazing Materials for Glazing separate requirements for external fuel questioned why a 147 grain bullet was Motor Vehicles Operating on Land tanks, which extend outside the car specified, noted that a bullet’s shape Highways,’’ ASA Standard Z26.1–1966. body structure, and for internal tanks, and composition affect its penetrating See 62 FR 49817. (Bombardier which do not extend outside the car ability, and believed that more detail is commented that it believed the latest body. needed to determine which bullet is revision to this standard occurred in In commenting on the proposed rule, appropriate. Moreover, GE Plastics 1990 rather than 1966.) FRA intended Bombardier recommended that the same expressed concern about the wording of that the proposed requirement would requirements proposed for Tier I fuel the proposed test in that it believed a alleviate the need for interior window tanks apply to Tier II equipment as well. bullet will rarely be travelling exactly at glazing to meet the stringent impact Bombardier stated that early consensus 900 feet per second during testing. GE resistance requirements placed on was reached to do so in the Tier II Plastics recommended specifying a exterior glazing, while ensuring that the working group during development of minimum and a maximum velocity, glazing will shatter in a safe manner like the NPRM. Bombardier maintained that instead, as well as examining the automotive glazing. In response to this this consensus was based on the fact wording of existing ballistic test proposal, GE Plastics commented that that there are no fuel tanks on the standards. requiring the glass to meet the AS1 electric trainsets being built for the NEC; In commenting on the proposal, requirements would exclude recognized the maximum speed for a fossil-fueled Automotive Glass noted its belief that safety glazing materials for reasons version of the trainsets would be 125 the .22 caliber projectile specified in 49 unrelated to the glazing’s ability to mph; and no data exists to support the CFR part 223 represents the threat of break safely, such as light transmission, need for different fuel tank requirements accidental injury from young people light distortion, and abrasion resistance. for Tier I and Tier II equipment. Further, hunting or ‘‘plinking’’ along a railroad GE plastics further commented that Bombardier stated that the requirements right-of-way, while the proposed 9 mm specifying a requirement for laminated for Tier I fuel tanks incorporate the most projectile represents the threat of injury glass would exclude many established current industry practices for diesel intentionally inflicted by vandals or safety glazing materials. GE Plastics electric locomotive fuel tanks. terrorists. Automotive Glass believed recommended that, if safety glazing is In response to Bombardier’s comment, that if FRA were to adopt a policy of desired, FRA incorporate instead the FRA believes that different fuel tank requiring any level of protection against 1984 version of the ANSI Z97.1 safety requirements for Tier I and Tier II intentionally inflicted injury, it would glazing standard for use in buildings, equipment may be appropriate based on seem to constitute a departure from which defines safety glazing as ‘‘Glazing the different maximum speeds at which previous policy. If FRA were to adopt materials so constructed, treated, or the equipment can travel. However, this approach, then Automotive Glass combined with other materials that, if FRA recognizes that the specific recommended that the proposed test broken by human contact, the likelihood differences between the proposed Tier I protocol require each subject glazing of cutting and piercing injuries that and Tier II fuel tank requirements have specimen to withstand three 9 mm might result from such contact is not been tightly justified. Accordingly, bullets within a circle eight inches in minimized.’’ the final rule requires compliance with diameter, as vandals or terrorists are AtoHaas Americas, Inc., (AtoHaas) Tier I requirements for internal fuel more likely to fire short bursts. Further, similarly commented that the AS1 tanks, and includes a requirement for
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FRA review and approval of any Tier II the development of high-speed track which is evidenced by lateral external fuel tank for safety equivalence standards to ensure that the two sets of accelerations in excess of 0.4g root mean with Tier I performance. standards not conflict at the wheel-rail square (mean-removed) for 2 seconds. In As Bombardier pointed out in its interface, where they overlap. FRA did its comments on the rule, Talgo had comments, the NPRM did contain a receive a comment on the passenger recommended that the permissible technical mistake in proposed equipment NPRM that the two sets of limits of hunting oscillations be § 238.223(b)(2), which had as its Tier II standards do in fact conflict, and this specified in the rule text and not in the counterpart proposed § 238.423(b)(3). comment is addressed in particular in definitions section, § 238.5, as proposed Accordingly, these paragraphs have the discussion of Appendix C to this in the NPRM. See definition of hunting been corrected in the final rule to reflect part (Suspension System Safety oscillations in proposed § 238.5, 62 FR that the 25,000-lb yield strength Performance Standards). 49793. FRA has adopted Talgo’s described in the proposals is in fact a To ensure safe, stable performance suggestion for clarity. However, FRA 25,000-lb per-square-inch yield strength. and ride quality, paragraph (a) requires has not adopted Talgo’s alternative suspension systems to be designed to specification. Talgo commented that, Section 238.425 Electrical System. reasonably prevent wheel climb, wheel using the formulation in the NPRM in FRA did not receive any specific unloading, rail rollover, rail shift, and a defining hunting oscillations for Tier II comments on this section, and it is vehicle from overturning. These passenger equipment, lateral adopted as proposed. This section requirements must be met in all oscillations should apply on a peak contains the requirements for the operating environments, and under all basis, rather than on a peak-to-peak electrical system design of Tier II track and loading conditions as basis. Talgo explained that oscillations passenger equipment. These determined by the operating railroad. In would be considered dangerous if the requirements reflect common electrical addition, these requirements must be amplitude of six consecutive peaks safety practice and are widely met under all track speeds and track exceeded 0.8g. Talgo added that this recognized as good electrical design conditions consistent with the Track approach is followed in Europe, citing practice. They include provisions for: Safety Standards (49 CFR part 213), up UIC–515, and believed it more • Circuit protection against surges, to the maximum operating speed and reasonable than the proposed overload and ground faults; maximum cant deficiency of the formulation. FRA has revised the • Electrical conductor sizes and equipment. These broad suspension definition of hunting oscillations to properties to provide a margin of safety system performance requirements make it consistent with the definition of for the intended application; address the operation of equipment at truck hunting in 49 CFR § 213.333, Note • Battery system design to prevent the both high speed over well maintained 4 to the table of Vehicle/Track risk of overcharging or accumulation of track and at low speed over lower Interaction Safety Limits. FRA dangerous gases that can cause an classes of track. Suspension system determined that the approach using the explosion; performance requirements are needed at root mean square (mean-removed) was • Design of resistor grids that both high and low speeds as the preferred indicator of the forces dissipate energy produced by dynamic exemplified by incidents where stiff, associated with truck hunting, and takes braking with sufficient electrical high-speed suspension systems caused into consideration the oscillatory nature isolation and ventilation to minimize passenger equipment to derail while of truck hunting. FRA believes this the risk of fires; and negotiating curves in yards at low definition of truck hunting removes the • Electromagnetic compatibility speeds. uncertainty in counting the number of within the intended operating Compliance with paragraph (a) must sustained oscillations. environment to prevent electromagnetic be demonstrated during pre-revenue FRA has further revised the rule to interference with safety-critical service acceptance testing of the specify that the accelerometer equipment systems and to prevent equipment and by complying with the measurements shall be processed interference of the rolling stock with safety performance standards for through a filter having a band pass of other systems along the right-of-way. suspension systems contained in 0.5 to 10 Hz. Talgo also commented the Appendix C to this part. Because better rule should state that in measuring the Section 238.427 Suspension System ways to demonstrate suspension system amplitude of lateral oscillations, the In response to comments on the 1997 safety performance may be developed in signal should be filtered with a band NPRM and for purposes of clarification, the future, the rule allows the use of pass of 4 to 8 Hz so that irrelevant FRA has revised the requirements of alternative standards to those contained signals are excluded. FRA has adopted this section. Changes from the NPRM in Appendix C if they provide at least Talgo’s recommendation in general, yet are noted below in the general equivalent safety and are approved by has specified a pass band consistent discussion of this section. the FRA Associate Administrator for with the track safety standards. See 49 As explained in the NPRM, safety Safety under the provisions of § 238.21. CFR § 213.333, Note 3 to table of requirements concerning the wheel-rail Paragraph (b) requires the steady-state Vehicle/Track Interaction Safety Limits. interface have traditionally been lateral acceleration of passenger cars to Paragraph (d) provides ride vibration addressed as part of the track safety be less than 0.1g, as measured parallel (quality) limits for vertical accelerations, standards. In parallel with the Tier II to the car floor inside the passenger lateral accelerations, and the Equipment Subgroup’s effort to develop compartment, under all operating combination of lateral and vertical high-speed equipment safety standards, conditions. accelerations. These limits must be met the RSAC Track Working Group Paragraph (c) requires each truck to be while the equipment is traveling at the developed a final rule on track safety equipped with a permanently installed maximum operating speed over its standards which includes high-speed lateral accelerometer mounted on the intended route. In commenting on the track standards. See 63 FR 33992, June truck frame. If hunting oscillations are NPRM, Bombardier noted that the 22, 1998. In October 1996, FRA detected, the train must be slowed. FRA values proposed in this paragraph were sponsored a joint meeting of the Tier II has revised this section to specify that not fully consistent with the values Equipment Subgroup and members of hunting oscillations are considered a found in the then-proposed track safety the Track Working Group focusing on sustained cyclic oscillation of the truck standards, and requested that they be
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00099 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 25638 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations made consistent. FRA has revised the for application to this new and identical to the requirements proposed requirements of this paragraph somewhat unconventional equipment. in the 1997 NPRM. Except for one accordingly. For clarity, as used in They represent the consensus commenter’s recommendation that paragraph (d)(1)(iii), the formula recommendation of the Tier II leeway be provided on the number of 2 2 (aL +aV ) can be restated as the sum of Equipment Subgroup. locations in a vehicle that must be the square of both accelerations. This final rule has retained all of the equipped with a means to effectuate an FRA has combined paragraph (e) of requirements proposed in the 1997 emergency brake application on shorter proposed § 238.427 into paragraph (d) of NPRM. The only modification to the equipment, no substantive adverse the final rule as paragraph (d)(2). This safety appliance requirements is in comments were received on the provision requires that compliance with response to one commenter’s provisions contained in this section the requirements of this paragraph be recommendation that the requirements and, thus, they have been retained demonstrated during the equipment’s related to sill steps be made more without change. pre-revenue service qualification tests consistent with existing regulations. As As noted in the 1997 NPRM, the main required under § 238.111 and § 213.345 a result, the requirement contained in issue of concern among Subgroup of the federal track safety standards. paragraph (e)(7), regarding the members involved the capability of One of the most important objectives of maximum height of the lowest sill step sensor technology used to monitor the pre-revenue service qualification testing tread, has been changed to be consistent application and release of brakes. Labor is to demonstrate that suspension with existing regulations and practice. representatives maintained that a system performance requirements have This same commenter also technology that actually measures the been met. FRA makes clear that the recommended that a specific grade of force of brake shoes and pads against requirements of paragraph (d)(2) need steel be designated in the requirements wheels and brake discs is required for only be shown during pre-revenue for the steel or other materials used for a reliable indication of brake application service qualification testing of the handrails, handholds, and sill steps, and and release. Railroad operators equipment. that the grade of SAE (Society of contended that this technology is not FRA has added paragraph (d)(3) to Automotive Engineers) bolt to be used commercially available and that make clear that, for purposes of as mechanical fasteners be specified as monitoring pressure in brake cylinders paragraph (d), acceleration well. FRA believes that steel or other does provide a reliable indication of measurements shall be processed materials used for handrails, handholds, brake application and release, through a filter having a band pass of and sill steps should at least be particularly when those cylinders are 0.5 to 10 Hz. In its comments on the equivalent to specification ASTM A– directly adjacent to the point where NPRM, Talgo observed that the signal 576, Grade 1015–1020 steel. However, brake friction surfaces are forced filter to use in performing the limit to the extent this need be specified as together. FRA agrees that the technology calculations had not been specified in a requirement, FRA believes it would be suggested by certain labor commenters this paragraph, and suggested using a more appropriate to consider doing so is not currently available and that brake band pass filter of 0.4 to 10 Hz. FRA has for safety appliances on all passenger system piston travel or piston cylinder effectively adopted Talgo’s comment. equipment—not just Tier II passenger pressure indicators have been used with Paragraph (e) requires wheelset equipment. FRA had not made such a satisfactory results for many years. journal bearing overheat sensors to be proposal in the NPRM; and this issue Although FRA agrees that these provided either on board the equipment may be reexamined in Phase II of the indicators do not provide 100 percent or at reasonable intervals along the rulemaking. As for the strength of certainty that the brakes are effective, railroad’s right-of-way. FRA prefers mechanical fasteners, the final rule they have proven effective enough to be sensors to be on board the equipment to states that mechanical fasteners must preferable to requiring an inspector to eliminate the risk of a hotbox that have a mechanical strength at least assume a dangerous position while develops between wayside locations. equivalent to that of a 1⁄2 inch diameter inspecting a train’s brake system. However, FRA does recognize that SAE grade steel bolt, as FRA had Aside from this issue, the rest of the onboard sensors have a history of falsely proposed in the NPRM. FRA believes brake system design and performance detecting overheat conditions, causing that any SAE grade of steel bolt will requirements contained in this section significant operating difficulties for satisfy this requirement, and, as a result, received widespread support. In fact, some passenger railroads. FRA has not modified the final rule in several of the requirements were FRA has clarified paragraph (e) based this regard. contained in written positions provided on a comment from Bombardier that this Paragraph (b) deserves special by both rail labor and management provision should apply to each wheelset mention; it requires that Tier II members of the Subgroup, and virtually journal bearing, and not to each passenger trains be provided with a all of the requirements were discussed equipment bearing as stated in parking or hand brake that can be set in the high-speed passenger equipment § 238.427(f), see 62 FR 49818. This is in and released manually and can hold the section of the 1994 NPRM on power accord with FRA’s original intent. equipment on a 3-percent grade. A hand brakes. See 59 FR 47693–94, 47699– brake is an important safety feature that 47700, and 47730. Many of the Section 238.429 Safety Appliances prevents the rolling or runaway of requirements in this section are similar This section contains the parked equipment. to the requirements for Tier I passenger requirements for safety appliances for equipment contained in § 238.231, thus Section 238.431 Brake System Tier II passenger equipment. FRA has the discussion related to that section attempted to simplify and clarify how This section contains the brake should be read in conjunction with the the Safety Appliance Standards system design and performance following discussion. contained in 49 CFR part 231 and 49 requirements for Tier II passenger Paragraph (a) of this section is U.S.C. 20302(a) will be applied to Tier equipment, and, except for one virtually identical to the requirement II passenger equipment. The provision, represents the consensus related to the braking systems of Tier I requirements contained in this section recommendation of the Tier II passenger equipment in § 238.231(a). are basically a restatement of existing Equipment Subgroup. The provisions Paragraph (b) contains a requirement requirements but tailored specifically contained in this section are virtually similar to that in § 238.231(b) and is
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00100 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25639 intended to protect railroad employees. speed equipment may use different train assist in the rescue of disabled Tier II FRA believes that inspectors of handling procedures when the electric passenger equipment. In addition, equipment must be able to ascertain if portion of blended brake is not couplers must include an automatic brakes are applied or released without available. Therefore, a dangerous coupling feature as well as an placing themselves in a vulnerable situation could arise when an operator uncoupling device that complies with position. This final rule allows railroads of these high-speed trainsets expects the 49 U.S.C. chapter 203, 49 CFR part 231, the flexibility of using a reliable electric portion of the blended brake to and 49 CFR § 232.2. FRA believes that indicator in place of requiring direct be available and it is not. FRA believes automatic uncoupling devices are observation of the brake application or that when operations exceed 125 mph necessary in order to comply with the piston travel because the designs of either the train must not be used if the intent of the statute so that employees many of the brake systems used on electric portion of the blended brake is will not have to place themselves passenger equipment make direct not available, or the train operator must between equipment in order to perform observation of the brakes extremely know that the electric portion of the coupling or uncoupling operations. difficult. Brake system piston travel or blended brake is not available so he or Section 238.435 Interior Fittings and piston cylinder pressure indicators have she can be prepared to use Surfaces been used with satisfactory results for compensating train handling many years. Although indicators do not procedures. Further, FRA believes that This section contains the provide 100 percent certainty that the if the additional heat input to wheels or requirements for interior fittings and brakes are effective, they have proven discs caused by lack of the electric surfaces. Once survivable space is effective enough to be preferable to portion of the blended brake causes ensured by basic vehicle structural requiring an inspector to assume a thermal damage to these braking strength and crash energy management dangerous position. surfaces, then the electric portion of the requirements, the design of interior Paragraph (c) is virtually identical to blended brake should be considered a features becomes an important factor in the requirement contained in required safety feature and, unless it is preventing or mitigating injuries § 238.231(c), and is a fundamental brake available, the equipment should not be resulting from collisions or derailments. system performance requirement that an used. Loose seats, equipment, and luggage are emergency brake application feature be Paragraph (f) requires the brake a significant cause of injuries in available at any time and produce an system to allow a disabled train’s passenger train collisions and irretrievable stop. This paragraph pneumatic brakes to be controlled by a derailments. contains an additional requirement that conventional locomotive during rescue Paragraphs (a) through (c) contain a means to actuate the emergency brake operations. requirements for the design of passenger be provided at two locations in each Paragraph (g) requires that Tier II car seats and the strength of their unit of the train. This additional passenger trains be equipped with an attachment to the car body. These requirement ensures the availability of independent brake failure detection requirements are based on sled tests of the emergency brake feature and is in system that compares brake commands passenger coach seats, seat tests accordance with the current available to brake system outputs to determine if conducted for other modes of design of high-speed passenger a failure has occurred. This paragraph transportation, and computer modeling equipment. FRA received comments also requires that the brake failure to predict the results of passenger train from Renfe Talgo recommending that detection system report failures to the collisions. These provisions include a FRA change this requirement to permit automated monitoring system, which is requirement for shock absorbent shorter equipment to provide only one contained in § 238.445, thus alerting the material on the backs of seats to cushion location in each unit of a train with a train operator to potential brake system the impacts of passengers with the seats means to actuate the emergency brake. degradation so that the operator can take ahead of them. This commenter recommends such corrective action such as slowing the FRA has modified paragraph (a) based leeway due to the fewer number of train. on comments received in response to passengers in these units and due to the Paragraph (h) requires that all Tier II the NPRM. In the NPRM, FRA proposed distance any one passenger would be to passenger equipment be provided with requiring a seat back in a passenger car the actuation device when compared to an adhesion control system designed to to be designed to withstand, with the distance in standard length automatically adjust the braking force deflection but without total failure, the passenger train units. FRA has modified on each wheel to prevent sliding during load of a seat occupant who is a 95th- this paragraph to provide that braking. This paragraph also requires percentile male accelerated at 8g who equipment that is 45 feet or less in that the train operator be alerted in the impacts the seat back. See 62 FR 49819. length (approximately one-half the event of a failure of this system with a Simula, in commenting on the NPRM, length of standard passenger equipment) wheel slide alarm that is visual or suggested that the seat back in a need provide a means to actuate the audible, or both. This feature ties the passenger car should be designed to emergency brake at only one location in adhesion control system to the withstand, with deflection but without each such unit of the train. automated monitoring system and total failure, the impact of unrestrained Paragraph (d) requires the brake prevents dangerous wheel slide flat occupant(s) seated behind the test system to be designed to prevent conditions that can be caused when article (seat back) and subjected to the thermal damage to wheels and brake wheels lock during braking. same crash pulse. Further, in its discs. comments on the NPRM, Bombardier Paragraph (e) contains requirements Section 238.433 Draft System noted that the design of the seats in related to blended braking systems. FRA is requiring that leading and Amtrak’s HTS is based on a 185-pound These requirements are similar to those trailing automatic couplers of Tier II occupant according to Amtrak’s contained in § 238.231(j). The only trains be compatible with standard AAR specification, while paragraph (a) additional requirement is that the couplers with no special adapters used. specified the occupant size as a 95th- operational status of the electric portion FRA believes that compatibility with percentile male. of the blended brake be displayed in the standard couplers is necessary in order In the final rule, paragraph (a) operator’s cab. Operators of this high- that a conventional locomotive could requires that the design of the seat back
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Simula’s recommendation remarked that proposed paragraph (d) percentile adult male initially seated appears to be based on the assumption specified a 95th-percentile male for use behind the seat, when the floor to which that higher speed train collisions will in determining the required strength of the seat is attached decelerates with a result in greater decelerations of longer certain interior fittings. See 62 FR triangular crash pulse having a peak of duration in a trailer car. Yet, FRA 49819–20. Bombardier explained that 8g and a duration of 250 milliseconds. believes that the resulting decelerations the design of tables for Amtrak’s HTS (As used in this section, a 95th- will have only a longer duration. As the does not follow this approach, and that, percentile adult male has been defined duration for which an occupant impacts based on research conducted within the in § 238.5.) This modification clarifies an interior surface has a negligible rail industry, it relates to impact the intent of the proposal, and specifies influence on potential injury, the 8g velocities of a 185-pound occupant. a crash pulse. As noted by Simula, force and 250 msec crash pulse Bombardier was unsure how the specifying a crash pulse recognizes the specified in this paragraph is proposed rule compared to the way importance of testing seats dynamically appropriate for Tier II passenger tables were being designed and to represent actual conditions in a train equipment. constructed for Amtrak’s HTS, and collision. Paragraph (a) has also been The lateral and vertical loading requested that the practicality of the modified to incorporate paragraph (c)(1) requirements in paragraph (c) remain proposed approach be first considered. of the proposed rule by stating that the unchanged from the NPRM other than As FRA responded above to seat attachment must also resist the being renumbered. Bombardier’s similar comment, FRA specified load as well, and this is FRA has not incorporated two other believes that specifying a larger discussed below. comments from Simula on this section occupant size will not in itself increase In response to Bombardier’s comment for the reasons noted below. First, the strength that the fitting is required on the size of the occupant seated Simula suggested adding a requirement to withstand since the Amtrak behind the seat being tested for that two rows of seats should be specification provides that the 185- purposes of determining the required included in the seat testing and pound occupant must resist a more strength of the seat, FRA notes that the positioned to represent the row-to-row severe crash pulse than that provided in specification for Amtrak’s HTS does pitch for installation. FRA has not the rule. FRA believes the requirement provide for use of a smaller occupant modified the rule in this regard, because in paragraph (d) is not greater than that than is specified in the rule. However, FRA believes it evident that in testing required under the Amtrak specification the Amtrak specification also provides seats to show compliance with the for HTS. that the occupant be subjected to a more requirements of this section the Paragraph (e) contains a special severe crash pulse than that specified in positioning of the seats must represent requirement for the ultimate strength of the rule. As a result, FRA believes that the actual positioning of the seats in the seats and other fittings in the cab of a under paragraph (a) the energy required passenger car subject to the power car. Due to the extra strength of to be absorbed by the seat being tested requirements of this section. In the cab, its structure is capable of is not greater than that provided for in addition, Simula recommended that resisting forces caused by accelerations the Amtrak specification, and FRA has instrumented Hybrid III dummies be that exceed 10g. As a result, benefit can not modified the rule on this point. seated in the row behind the test article be gained from a greater longitudinal As noted above, FRA has modified to determine occupant injury potential strength requirement for seat and other paragraph (c) in the final rule by during a dynamic test, and that the data interior fitting attachments. FRA is incorporating proposed paragraph (c)(1) measured by the dummies meet therefore requiring that seats and into paragraph (a) of the final rule and specified injury criteria available in a equipment in the cab be attached to the retaining, as renumbered in paragraph pending APTA standard. Simula further car body with sufficient strength to (c) of the final rule, proposed recommended that the number and size resist longitudinal forces caused by an paragraphs (c)(2) and (c)(3) in the of unrestrained occupants (crash test acceleration of 12g. The lateral and NPRM. See 62 FR 49819. FRA has dummies) to be used in testing be vertical requirements remain 4g. These incorporated proposed paragraph (c)(1) defined in the APTA standard. Simula requirements do not apply to equipment into paragraph (a) of the final rule based noted that the results of ongoing located outside the cab. in part on a comment from Simula that research will be used to complete the In its comments on the NPRM, Simula the ultimate strength of a seat standard, and that to meet injury also recommended that the 12g attachment to a passenger car body shall performance criteria the railroad may longitudinal requirement be be sufficient to withstand a crash pulse have to use some form of occupant supplemented by a 250-millisecond representing a typical train accident restraint system. As evidenced by dynamic crash pulse. However, FRA (275 msec triangular pulse, peak Simula’s comments, specifying believes that this will result in a more acceleration 10 G) and the impact of an occupant injury criteria is an ongoing expensive test without a corresponding unrestrained occupant(s) behind the test issue and, as such, is best deferred to increase in safety. Simula further article. Incorporating the longitudinal the second phase of this rulemaking. suggested that the 4g lateral and vertical strength requirement proposed for the FRA does recognize that pursuing the loading requirements apply to the seat attachment in paragraph (c)(1) of specification of occupant injury criteria combined mass of the seat and the seat the NPRM into paragraph (a) of the final is both sound and technically occupant. FRA notes that such a rule rationalizes the rule and recognizes appropriate, and encourages research in requirement is provided in that the seat attachment requirement this regard for use in the second phase § 238.447(f)(2). and the seat back requirement both take of the rulemaking, in addition to Paragraphs (f) and (g) contain into account the force of a train examining the use of NHTSA occupant requirements representing good safety occupant impacting the seat from injury criteria. design practice for any type of vehicle. behind. However, FRA has not adopted Paragraph (d) contains the FRA believes the luggage restraint Simula’s recommendation to increase requirements for strength of attachment requirement in paragraph (h) will
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00102 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25641 prevent many of the injuries caused by back-up power for a minimum period of ability of a freight train crew to notify flying luggage that are typical of 90 minutes. a railroad control center of an passenger train collisions and In commenting on the rule, the NTSB emergency involving its train may derailments. noted that FRA had not proposed prevent a collision with an oncoming FRA has included paragraph (i) in the emergency communication passenger train. The railroad final rule, consistent with its parallel requirements for Tier I operations. The communications rulemaking was requirement in § 238.233(g) for Tier I NTSB believed that emergency supported by a working group, passenger equipment. communication requirements are established through RSAC, which necessary for Tier I operations because Section 238.437 Emergency specifically addressed communication the majority of passenger train accidents Communication facilities and procedures, with a strong have occurred in those operations. The emphasis on passenger train emergency This section requires an emergency NTSB also stated that emergency requirements. In general, section communication system with back-up communication requirements should 220.209 of the Railroad power within a Tier II train. This safety not be limited to intra-train operations, Communications final rule provides feature will allow the train crew to but include as well the ability to that, for each railroad having no fewer provide evacuation and other communicate from the train to outside than 400,000 employee work hours, instructions to passengers, and help sources. In a similar comment on the each occupied controlling locomotive in prevent panic that can occur during NPRM, the UTU stated that passenger a train shall have a working radio that emergency situations. trains should not be dispatched without can communicate with the control FRA’s principal revision to this working head end radios and a reliable center of the railroad, and each train section allows passenger cars 45 feet or backup system. The UTU also shall also have communications less in length to have only one commented that all conductors and redundancy, i.e., a working radio on emergency communication transmission crewmembers should be issued portable another locomotive in the consist or location. FRA had proposed that radios capable of communicating with other means of working wireless transmission locations be placed at both each other, the head end, and the communication. See 49 CFR § 220.9; 63 ends of each passenger car. In response dispatcher or control center. FR 47195–6. Moreover, in addition to to the proposal, Talgo commented that FRA is not applying the Tier II the requirements of the Railroad in considering the placement of requirements for intra-train emergency Communications rule, FRA notes that transmission locations, the operative communication to Tier I operations at intercity passenger and commuter factor should be the distance from any this time. FRA agrees with the NTSB’s railroads already make extensive point on the train to the nearest comment that emergency provision for ensuring communication transmission unit—rather than communication requirements should capabilities during emergencies. FRA specifying that they be placed at the not be a function of speed, but rather a believes that other communications ends of each passenger car. Talgo function of the design and configuration issues have been resolved either in the believed this necessary to accommodate of the train and the terrain in which the railroad communications rulemaking, cars which are half the length in size of train operates. Yet, FRA’s decision here the passenger train emergency conventional cars. is not based on speed. FRA initially preparedness rulemaking, or this final As the length of a conventional proposed to limit this proposal to Tier rule. However, any final issues can be railroad passenger car is typically II passenger trains because such trains addressed in the second phase of this between 85 and 90 feet, FRA believes it are intended to operate as a fixed unit, rulemaking. appropriate to require a car not more unlike most Tier I passenger trains. than half that length to have only one Whereas an emergency system to Section 238.439 Doors emergency communication transmission communicate throughout the train may This section contains the unit. However, FRA is not prepared to be more easily provided for in a train requirements for doors on Tier II specify a requirement to place such which remains as a fixed unit, the passenger cars. This section should be transmission units solely on the interchangeability of passenger cars and read with the discussion of passenger distance from any point on the train to locomotives raises practical car doors earlier in the preamble. As the nearest transmission unit. By taking considerations about the compatibility stated, FRA has modified the into account the location of of communications equipment in a Tier requirement for the number of exterior transmission units on a train level, the I passenger train. FRA believes it best to side doors per passenger car (contained nearest transmission unit to a passenger address these considerations and further in paragraph (a)) by specifying that each seated in one car may in fact be a examine requirements concerning car shall have a minimum of two such transmission unit located in an emergency communication within a doors. adjoining car. However, having to pass Tier I train in the second phase of the The requirements in paragraph (b) are into an adjoining car to access the rulemaking, following consideration of similar to those contained in transmission unit, although nearer these issues by the APTA PRESS Task § 238.235(b) for Tier I passenger linearly, may at a minimum be Force. equipment. However, the requirements impracticable in certain situations. FRA As to requirements for emergency of paragraph (c) have no counterpart in believes that each Tier II passenger car, communication from a train to an § 238.235. This paragraph requires the no matter its size, must have its own outside source, FRA has addressed such status of powered, exterior side doors to emergency communication transmission requirements in the Railroad be displayed to the crew in the unit. Communications final rule, designated operating cab and, if door interlocks are This section also requires that as Docket No. RSOR–12. See 63 FR used, the sensors to detect train motion emergency communication transmission 47182; Sept. 4, 1998. FRA recognizes must nominally be set to operate at not locations be marked with luminescent that the ability to communicate in an more than 3 mph. Such equipment is material, that clear instructions be emergency is important for all trains— well within current technology. provided for the use of the emergency freight and passenger. In particular, Paragraph (d) requires that powered, communication system, and that the because passenger trains operate exterior side doors be connected to an emergency communication system have commingled with freight trains, the emergency back-up power system.
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Paragraph (e) is identical to that currently provided in the rule on which injuries may occur, rendering provided for Tier I passenger equipment passenger train emergency preparedness occupants incapable of exiting the train in § 238.235(c). at 49 CFR § 239.107. See 63 FR 24630, under their own power. Paragraph (f) requires passenger 24680. In phase II of the rulemaking, Paragraph (b) is reserved for marking compartment end doors to be equipped FRA will consider integrating the door and instruction requirements to be with a kick-out panel, pop-out window, marking and operating instruction specified as necessary in the second or other means of egress in the event the requirements found in part 239 with phase of this rulemaking. doors will not open, or be so designed this part. Additionally, FRA will as to pose a negligible probability of consider revising those requirements as Section 238.443 Headlights becoming inoperable in the event of necessary. FRA received no comments on this carbody distortion following a collision Section 238.441 Emergency Roof provision, and it is adopted as or derailment. This paragraph does not Entrance Location proposed. Because of the high speeds at apply to such doors providing access to which Tier II passenger equipment the exterior of a trainset, however, as in This section requires that Tier II operates, FRA is requiring that a the case of an end door in the last car passenger equipment either have a roof headlight be directed farther in front of of a train. In the NPRM, FRA discussed hatch or a clearly marked structural the train to illuminate a person than is that the requirements in this paragraph weak point in the roof to provide quick currently required for existing originally arose out of the NTSB’s access for properly equipped emergency equipment under 49 CFR § 229.125(a). A emergency safety recommendations personnel. Such features will aid in Tier II passenger train will travel following its investigation of the removing passengers and crewmembers distances more quickly than a Tier I February 16, 1996, collision between a from a vehicle that is either on its side passenger train, and the train operator MARC commuter train and an Amtrak or upright. will have less time to react, thereby In the NPRM, FRA proposed that each passenger train in Silver Spring, necessitating earlier awareness of Tier II passenger car be equipped with Maryland. See 62 FR 49734–5. objects on the track. Specifically, as stated in its final a minimum of two such emergency roof entrance locations. See 62 FR 49820. FRA notes that, as further specified in railroad accident report, the NTSB 49 CFR § 229.125(d)–(h), locomotives recommended that FRA: Talgo, in its comments on this proposal, remarked that a passenger car half the operated at speeds greater than 20 miles Require all passenger cars to have either length of a conventional passenger car per hour over one or more public removable windows, kick panels, or other should require only one roof hatch or highway-rail crossings are required to be suitable means for emergency exiting through equipped with operative auxiliary the interior and exterior passageway doors structural weak point. Further, Bombardier commented that the high- lights. The requirements contained in where the door could impede passengers § 229.125(d)–(h) do apply, according to exiting in an emergency and take appropriate speed trainsets it is constructing for emergency measures to ensure corrective Amtrak will have only one structural their terms, to Tier II passenger action until these measures are incorporated weak point located in the center of the equipment. Any proposal to the into minimum passenger car safety passenger cars due to the location of contrary in the NPRM was made in standards. (NTSB/RAR–97/02) (R–97–15) roof-mounted air conditioning units at error. As explained in the NPRM, FRA each end of the cars. Section 238.445 Automated proposed that the first practical In the final rule, each Tier II Monitoring application of the NTSB’s passenger car and each cab of a power recommendation be made with respect car is required to have at least one This section contains the to Tier II passenger car end doors. See emergency roof entrance location to requirements related to the automated 62 FR 49735. FRA has been assisting permit the evacuation of the vehicle’s monitoring of the status or performance APTA through its PRESS task force occupants through the roof. Beyond the of various safety-related systems on Tier examine the full range of options for issue of the sufficiency of the number of II passenger trains. A number of implementing the NTSB emergency roof entrance locations for passenger train accidents have been recommendation in Tier I passenger Tier II passenger equipment is the larger either fully or partly caused by human equipment, in addition to the Volpe issue of applying requirements for error. The faster operating speeds of Tier Center’s work on emergency egress on a emergency roof entrance locations to II passenger equipment will afford the systems level. These complementary Tier I passenger equipment. The final train operator less time to evaluate and efforts will be brought together in the rule does not contain such requirements react to potentially dangerous second phase of the rulemaking. for Tier I passenger equipment, and situations, thereby increasing the FRA notes that it has modified there was no consensus within the potential for accidents. Automated paragraph (f) from the proposal in the Working Group to do so. See 62 FR monitoring systems can decrease the NPRM, see 62 FR 49820 (proposed 49750–1. However, FRA believes that risk of accidents by alerting the train § 238.441(d)), to permit Tier II passenger work within the APTA PRESS Task operator to abnormal conditions and car doors to be designed without a kick- Force will lead to reconciliation of Tier advising the operator as to necessary out panel, pop-out window, or like I and Tier II requirements on this issue. corrective action. Such systems can feature, provided that the doors pose a FRA intends to reexamine the even be designed to take corrective negligible probability of becoming requirements of this section in the action automatically in certain inoperable in the event of carbody second phase of the rulemaking with a situations. distortion following a collision or view to applying emergency roof FRA received no comments on this derailment. FRA believes this entrance locations requirements to Tier section as proposed, and paragraphs (a) modification is consistent with the I passenger equipment. In the meantime, and (c) have been adopted without NTSB’s safety recommendation the public is entitled to the protection substantive change. However, FRA has (R–97–15). afforded by the Tier II standard. High- modified paragraph (b) to make clear Paragraph (g) is reserved for door speed derailments may be more severe when immediate corrective action must marking and operating instruction because of the total energy involved and be taken in the event a system or requirements. These requirements are a potentially longer ‘‘ride down’’ during component required to be monitored is
VerDate 06-MAY-99 18:38 May 11, 1999 Jkt 183247 PO 00000 Frm 00104 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm03 PsN: 12MYR2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25643 operating outside of its predetermined (b) in the NPRM, see 62 FR 49820–1, an impending accident or act of safety limits. into paragraph (a) of this section in the vandalism. In such instances, the Paragraph (a) requires a Tier II final rule for economies of space. primary defense of the engineer is to passenger train to be equipped to Subsequent paragraphs have been move quickly from harms way, monitor the performance of a minimum renumbered accordingly. according to the BLE, and operating at set of safety-related systems and In its comments on the NPRM, speeds of 150 mph will decrease the components. The monitoring system can Bombardier explained that an additional time a locomotive engineer has to react also be used to provide information for seat—commonly a flip-up or a shelf- to such incidents. The BLE noted that it trouble-shooting and maintenance and type seat—is in many cases provided in would change its position on this issue to accumulate reliability data to form the cab for a train crewmember who is if there is overwhelming evidence that the basis for setting required periodic not normally in the cab. Bombardier the force of deceleration on Tier II maintenance intervals. believed these seats should not be equipment would be so severe as to Paragraph (b) requires the train subjected to the same requirements as cause injury to engineers or interfere operator to be alerted when any of the for the train operators’ seats, as that was with their operation. systems or components required to be not the intent of discussions within the In its comments on the rule, Simula monitored is operating outside of Working Group. Accordingly, remarked that formal research is needed predetermined safety parameters. When Bombardier recommended making clear to determine both the feasibility of any such system or component is that the requirements in paragraph (f) incorporating active restraints in a cab operating outside of its predetermined apply only to each seat provided for the and the potential for the crew to safety parameters, immediate corrective train operators. actually use them. Simula also noted the action must be taken if the system or FRA agrees with Bombardier’s option of exploring passive restraints component defect impairs the train comment that the requirements such as air bags or operator’s ability to safely operate the proposed in § 238.447(g) of the compartmentalization, as opposed to train. Accordingly, a report of a system NPRMBnow § 238.447(f) of the final active restraints such as lap belts and or component defect may not require rule—need not apply to each seat shoulder harnesses. Simula explained immediate corrective action. The need provided for a crewmember in a power that cost effectiveness considerations for to take such action would be car cab. FRA recognizes that flip-down implementing both determined by the railroad based on and other auxiliary seats are provided in compartmentalization and active and whether the defective system or locomotive cabs for the temporary use of passive restraints are markedly different component impairs the train operator’s employees not regularly assigned to the for the crew in the cab compared to ability to safely operate the train. cab. These employees may include a passengers. Simula asserted that the Further, in the event immediate supervisor of locomotive engineers relatively high cost of passive restraints corrective action must be taken, the rule conducting an operational monitoring may be justified for one or two does not require that intervention be test of the engineer(s). Such seats are crewmembers in a extremely severe automatic. Of course, the railroad typically attached to an interior wall environment. should have a valid basis for either and placed behind those seats used by In light of the comments received, leaving response in the hands of the the train operators. FRA believes it FRA has decided to defer until Phase II train operator or making the corrective appropriate to clarify the application of of the rulemaking the issue of requiring action automatic. paragraph (f) in the final rule so that its seats in a power car cab to be equipped Paragraph (c) requires the monitoring requirements apply only to each seat with seat belts and shoulder harnesses. system to be designed with an automatic provided for an employee regularly FRA will continue to explore strategies self-test feature that notifies the train assigned to occupy the power car cab, for train occupant protection—both for operator that the monitoring capability and to any floor-mounted seat in the passengers and employees—and FRA is functioning correctly and alerts the cab. Accordingly, paragraph (f) does not will be able to focus on these strategies operator that a system failure has apply to a wall-mounted, flip-down seat with the members of the Working Group occurred. Because train operators can occupied by an employee such as a in Phase II. become dependent on automated supervisor of locomotive engineers who In other statements on the NPRM, monitoring systems, they need to know occasionally rides in the cab. commenters recommended applying the when their vigilance must be FRA has also modified paragraph (f) requirements in this section to Tier I heightened to compensate for a by not requiring that seats subject to that passenger equipment. The NTSB stated malfunction in such an automated provision be equipped with a single- that the minimum elements proposed in safety tool. acting, quick-release lap belt and this section for operator’s controls and shoulder harness as defined in 49 CFR cab layout design are sufficient and Section 238.447 Train Operator’s § 571.209. FRA had proposed such a should also be included in Tier I Controls and Power Car Cab Layout requirement in the NPRM because the operations for ergonomic design and to This section contains a set of crew may experience high decelerations minimize the chance of human error in requirements for interior features in Tier in a collision from the cab’s high both types of operations. The NTSB II power car cabs. FRA has clarified and strength and forward location near the cited safety recommendations arising revised this section, based on comments expected point of impact in many out of an accident in Kelso, California, received in response to the proposal, in different collision scenarios. See concerning the dangers posed by two principal ways: The seat § 238.447(g)(1), 62 FR 49821. In its improperly located safety-significant requirements in paragraph (f) apply to comments on the NPRM, the BLE stated controls and switches in locomotives any floor-mounted seat and each seat that its experience did not support the and the need to relocate and/or protect provided for an employee regularly need to require a lap belt and shoulder such controls and switches so they assigned to occupy the power car cab, harness, and that its member engineers cannot be inadvertently activated or instead of to each crewmember in the were overwhelmingly against such a deactivated. FRA has not fully explored cab; and such seats will not require requirement. The BLE explained that extension of these concepts with the seatbelts. FRA has also combined engineers need to rapidly exit from the working group and will take the issue proposed paragraphs § 238.447(a) and seat to a place of safety in the event of under advisement for incorporation into
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Tier I standards during Phase II of the 5th-percentile adult female to a 95th- railroad is thereby granted some latitude rulemaking. percentile adult male. Instead, these to develop the operational details of the The BLE commented that the characteristics may be drawn from any program, using the system safety proposed requirements for seating in recognized survey after 1958 of weight, process to justify the safety decisions this section also be applied to Tier I height, and other body dimensions of that are made. However, FRA intends to equipment. The BLE stated that existing U.S. adults, corrected for clothing as exercise final approval of the seating on some Tier I equipment is appropriate. Data from such a survey is inspection, testing, and maintenance woefully inadequate. In particular, the presented in Public Health Service program proposed by the operating BLE noted that some cab car seats are Publication No. 1000, Series 11, No. 8, railroad; rail labor organizations will be not adjustable; have no suspension; are ‘‘Weight, Height, and Selected Body given an opportunity to discuss their severely limited in their cushioning; Dimensions of Adults,’’ June 1965. (A concerns with FRA during the approval have no lumbar support; and are copy of this document has been placed process set forth in § 238.505. Tier II injuring their occupants. The BLE also in the public docket for this equipment may not be used prior to recommended that both Tier I and Tier rulemaking.) The definition of 95th- FRA approval of an inspection, testing, II equipment be provided with a cab percentile adult male used elsewhere in and maintenance program. Further, this temperature control system which the rule is too narrow to apply in this final rule makes clear that FRA intends maintains a minimum temperature of 65 context. to enforce the safety-critical inspection, degrees and a maximum of 85 degrees testing, and maintenance procedures, F. Subpart F—Inspection, Testing, and criteria, and maintenance intervals that FRA in not requiring that the detailed Maintenance Requirements for Tier II result from the approval process. provisions in this section be imposed in Passenger Equipment Labor commenters recommended that full on Tier I passenger equipment. FRA Section 238.501 Scope if FRA is to permit the railroads to believes these provisions are more develop inspection and testing criteria necessary for Tier II passenger This subpart contains the inspection, and procedures for Tier II passenger equipment because the higher operating testing, and maintenance requirements equipment, then rail labor must be speeds will press human reaction time, for passenger equipment that operates at involved in the process as a full partner. and such requirements will contribute speeds exceeding 125 mph but not These commenters also believed that to the ability of the crew to operate the exceeding 150 mph. As discussed in the any procedures developed must provide train as safely as possible. In addition, 1997 NPRM, there is currently no an equivalent level of safety to the several members of the Working Group operating history with regard to Tier II inspection and testing procedures opposed applying such requirements to equipment, and thus there are no provided for conventional passenger Tier I passenger equipment, asserting regulations or industry standards equipment. Furthermore, these that a number of the requirements establishing detailed testing, inspection, commenters believed that any testing involved ergonomic issues which do not or maintenance procedures, criteria, and and inspection procedures developed directly affect safety. FRA notes that intervals for the equipment. The must be fully enforceable to the same certain requirements concerning railroads and the rail labor organizations extent as federal regulations. locomotive cab interior safety are differ on the approach that should be Although FRA recognizes and provided in § 238.233 of the final rule. taken in establishing inspection, testing, appreciates labor’s desire to be a full Through RSAC’s working group on and maintenance requirements. partner in the development of any Locomotive Cab Working Conditions, Railroads have long appealed to FRA to inspection and testing procedures, and FRA and members of the regulated move away from detailed ‘‘command FRA fully endorses and recommends community have been evaluating issues and control’’ regulations and instead to collaboration with appropriate labor concerning locomotive cab working provide broad safety performance forces, FRA does not believe it conditions. As a number of issues requirements that afford railroads wide appropriate to mandate labor’s concern both passenger and freight latitude to develop the operational participation in the initial stages of the operations, FRA believes that such details. Rail labor organizations, on the development of such procedures. As the issues may best be addressed in this other hand, believe that specific equipment for which the inspection and RSAC working group. Of course, FRA inspection, testing, and maintenance testing programs are being developed does recognize that the concern criteria that cannot be unilaterally will be new, with little operating involving crew seats in cab cars is more changed by railroads are the only way history, FRA believes that the operating unique to passenger operations, and that safe railroad operation can be railroad and the system developer have FRA is therefore pleased by APTA’s assured. the best information, expertise, and voluntary effort to improve crew seats FRA believes that the introduction of resources necessary to develop the on cab cars. a new type of passenger equipment details of an effective inspection, FRA notes that, for purposes of offers the opportunity for a fresh start, testing, and maintenance program. paragraph (f)(1) in this section, it has where perhaps both of these seemingly Moreover, FRA believes this final rule specified the crewmember occupying conflicting concerns can be resolved. provides the industry’s labor forces with the seat as a 95th-percentile adult male, This final rule retains the approach an adequate avenue for raising any consistent with the use of a 95th- taken in the 1997 NPRM and contains issues and providing input on any percentile adult male elsewhere in this general guidelines on the process to be criteria or procedure developed by a rule. In the NPRM, the characteristics of used by the operating railroad, together railroad. Section 238.505 ensures that the crewmember occupying the seat had with the system developer, to develop designated representatives of a not been specified, per se. See proposed an inspection, testing, and maintenance railroad’s employees are provided a § 238.447(g)(2); 62 FR 49821. program. The operating railroad and the copy of any inspection, testing, and FRA further notes that, for purposes system developer together have the best maintenance criteria or procedures of paragraph (f)(2), it has not specified information, expertise, and resources submitted by the railroad for FRA particular measurements or a particular necessary to develop the details of an approval and provides an opportunity survey on which to base the necessary effective inspection, testing, and for these parties to present their views characteristics of persons ranging from a maintenance program. The operating on the submitted plans and procedures
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Thus, FRA will permit the a railroad regarding the inspection, that endanger the safety of the crew, continued use of such equipment to the testing, and maintenance of Tier II passengers, or equipment. FRA has location where the required inspection passenger equipment incorporate these identified the various conditions was scheduled to be performed. major requirements. Finally, paragraph enumerated in paragraph (c) that would Paragraph (e) restates § 238.15 and (b) of this section, as discussed in detail need to be addressed in the railroad’s provides a cross-reference to that below, makes clear that the provisions program. Consequently, FRA has section. The paragraph provides that of any program approved by FRA defined what the inspection, testing, trains developing en route defective, related to the inspection and testing of and maintenance program must inoperative, or insecure primary brake power brakes or other inspection, test, accomplish, but not how to accomplish equipment be moved in accordance or maintenance procedure, criteria, and it. with the requirements of that section. interval that is deemed to be safety- Paragraph (d) contains the more Paragraph (f) restates § 238.17 and critical will be enforceable to the same specific requirements that any adds a narrow exception to that section. extent as any other requirement inspection, testing, and maintenance The paragraph requires that Tier II program must incorporate. In paragraph contained in this part. equipment that develops a defective (d)(1), FRA requires that Tier II condition not related to the primary Section 238.503 Inspection, Testing, equipment receive the equivalent of a brake be moved and handled in and Maintenance Requirements Class I brake test, as described in accordance with the requirements This section requires the § 238.313, before its departure from an contained in § 238.17, with one establishment by the railroad of an FRA- originating terminal and every 1,500 exception. The exception to these approved inspection, testing, and miles after that or once each calendar requirements applies to a failure of the maintenance program based on a daily day the equipment remains in service. secondary portion of the brake that complete brake system test and The test must be performed by a occurs en route. In those circumstances, mechanical safety inspection of the qualified maintenance person. For equipment performed by qualified example, a Tier II train must receive the the train may proceed to the next maintenance persons, coupled with a equivalent of a Class I brake test at its scheduled equivalent Class I brake test periodic maintenance program based on originating terminal and must receive a at a speed no greater than the maximum a system safety analysis. Although second Class I equivalent brake test after safe operating speed demonstrated paragraph (a) contains some basic traveling 1,500 miles from the time of through analysis and testing for braking requirements to be included in a the original Class I brake test, whether with the friction brake alone. At that program, FRA does not intend to or not it is the same calendar day. location the brake system shall be prescribe every detail of what a program Furthermore, a Tier II train must receive restored to 100 percent operation before must contain. FRA requires the the equivalent of a Class I brake test the train continues in service. This final operating railroad to develop and justify each calendar day it is used in service rule allows extensive flexibility for the the details of any program it adopts even if it has not traveled 1,500 miles movement of equipment with defective based on the specific safety needs and since the last Class I equivalent brake brakes, but also contains a hard operating environment of the high- test. Due to the speeds at which this requirement that all brake components speed rail system being developed. equipment is permitted to operate, FRA be repaired and the brake system, Paragraph (b) intends to make believes that a comprehensive brake test including secondary brakes, be restored enforceable, subject to civil penalties must be performed prior to the at the location of the train’s next major and other enforcement action, the equipment being placed in service. brake test. FRA believes that this inspection and testing of power brakes Paragraph (d)(2) requires that a approach recognizes the secondary role and the other safety-critical inspection, complete exterior and interior played by the electric portion of testing, and maintenance requirements mechanical inspection be conducted by blended brakes. If the railroad has that are identified in the railroad’s a qualified maintenance person at least demonstrated that the friction brake program and approved by FRA. ‘‘Safety- once each calendar day that the alone can stop the train within signal critical’’ requirements are those that, if equipment is used. In order to perform spacing without thermal damage to not fulfilled, increase ‘‘the risk of a quality mechanical inspection, braking surfaces, then the train may be damage to equipment or personal injury railroads must be provided some used at normal maximum speed in the to a passenger, crewmember, or other flexibility in determining the locations event of an electric brake failure. This person.’’ See § 238.5. Under paragraph where these inspections can best be final rule essentially limits the use of (l), the railroad must identify which performed. FRA believes that permitting trains without available secondary items in its inspection, testing, and railroads to conduct these mechanical braking systems to no more than 48 maintenance program are safety-critical. inspections at any time during the hours. FRA believes that § 238.17 strikes The railroad must submit the program to calendar day provides adequate the correct balance between the need of FRA under the procedures contained in flexibility to move equipment to railroads to transport passengers to their § 238.505. Once these programs are appropriate locations. Trains that miss a destination and the need to have approved by FRA, this section makes scheduled Class I brake test or equipment with defects that could lead clear those items identified as safety- mechanical inspection due to a delay en to more serious safety problems quickly critical are enforceable by FRA. FRA route may proceed to the location where repaired. This requirement places a agrees with labor representatives to the the Class I brake test or mechanical heavy responsibility on qualified Working Group that safety standards are inspection was scheduled to be maintenance persons to exercise their stronger when they contain specific performed. FRA recognizes that, due to judgment on when and how equipment provisions that can be enforced. the specialized nature of this is safe to move.
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Paragraph (g) requires that scheduled while conducting the inspections, tests, Subpart G—Specific Safety Planning maintenance intervals be based on the and maintenance covered by the Requirements for Tier II Passenger analysis conducted pursuant to the programs. FRA is always concerned Equipment railroad’s safety plan, and be approved with the safety of employees while Section 238.601 Scope by FRA under the procedures of conducting their duties, but employee This subpart contains specific § 238.505. The rule allows the safety in maintenance and servicing requirements for Tier II passenger maintenance intervals for safety-critical areas generally falls within the equipment safety planning. These safety components to be changed only when jurisdiction of OSHA. It is not FRA’s justified by accumulated acceptable planning requirements include intent to oust OSHA’s jurisdiction with requirements for the operation of Tier II operating data. Changes in maintenance regard to the safety of employees while cycles of safety-critical components passenger equipment, procurement of performing the inspections, tests and Tier II passenger equipment, and the must be based on verifiable data made maintenance required by this part, available to all interested parties and introduction or major upgrade of new except where FRA has already technology in existing Tier II passenger shall be reviewed by FRA. This addressed workplace safety issues, such paragraph is another attempt to balance equipment that affects a safety system as blue signal protection. Therefore, in the needs of the operating railroad to on such equipment. order to prevent any uncertainty as to run efficiently and the concern of rail The discussion of this subpart should FRAs intent, FRA has modified this labor organizations that railroads not be read in conjunction with the general have the ability to unilaterally make paragraph by eliminating any language discussion of safety planning earlier in safety decisions. For a new system, with or provision which could have been the preamble. FRA is retaining more no operating history, a formal system potentially perceived as displacing the extensive safety planning requirements safety analysis is the only justifiable jurisdiction of OSHA and has added a for Tier II railroad operations, as these way to set initial maintenance intervals. specific clarification that FRA does not will be operations with new The paragraph recognizes that as time intend for the program required by this characteristics that require special passes and an operating history is section to address employee safety attention and have heightened safety developed, a basis for changing while conducting the inspections and risks due to the speed of the equipment. tests described. Consequently, the maintenance intervals can be Section 238.603 Safety Planning specific elements that FRA proposed to established. However, the decision to Requirements make these changes must have the be included in the inspection, testing, participation of all the affected parties. and maintenance plan have been Paragraph (a) requires that, prior to Paragraph (h) requires that the eliminated for the reasons noted above commencing revenue service operation operating railroad establish a training, and because they were merely of Tier II passenger equipment, each qualification, and designation program duplicative of the general requirements railroad shall prepare and execute a as defined in the training program plan contained in paragraph (a) of this written plan for the safe operation of under § 238.109 to qualify individuals section and are unnecessary. such equipment. The plan may be to perform safety inspections, tests, and combined with a pre-revenue service Paragraph (k) requires that the maintenance on the equipment. If the acceptance testing plan required under operating railroad establish an railroad deems it safety-critical, then § 238.111, and any other plan required inspection, testing, and maintenance only qualified individuals may perform under this part provided that the the safety inspection, test, or quality control program enforced by individual planning elements required maintenance of the equipment. This railroad or contractor supervisors. In under this part are addressed. The plan paragraph does not prescribe a detailed essence, this creates the need for the shall be updated at least every 365 days. training program or qualification and operating railroad to perform spot Paragraph (b) requires that for each designation process. Those details are checks of the work performed by its procurement of Tier II passenger left to the operating railroad, but FRA employee and contract equipment equipment, and for each major upgrade must approve the program proposed by maintainers to ensure that the work is or introduction of new technology in the operating railroad under procedures performed in accordance with existing Tier II passenger equipment contained in § 238.505. established procedures and Federal that affects a safety system on such Paragraph (i) requires the operating requirements. FRA believes this is an equipment, each railroad shall prepare railroad to establish standard important management function that and execute a written safety plan. The procedures for performing all safety- has a history of being neglected in the plan may also be combined with a pre- critical inspections, tests, maintenance, railroad industry. revenue service acceptance testing plan or repair. This paragraph also makes Paragraph (l) requires the operating required under § 238.111, and any other clear that the inspection, testing, and railroad to identify each inspection and plan required under this part provided maintenance program required by this testing procedure and criterion and each that the individual planning elements section should not include procedures maintenance interval that the railroad required under this part are addressed. As noted earlier in the preamble, to address employee working conditions considers safety-critical. that arise in the course of conducting Bombardier, in its comments on the the inspections, tests, and maintenance Section 238.505 Program Approval NPRM, believed that the proposed rule set forth in the program. FRA intends Procedure confused the requirements for a for the program required by this section railroad’s system safety plan with those to detail only those tasks required to be This section contains the procedures required for equipment acquisition. performed in order to conduct the a railroad shall follow in securing FRA Bombardier recommended that they be inspections, tests, and maintenance approval of its inspection, testing, and separately addressed. This section in the necessary to ensure that the equipment maintenance program for Tier II final rule reflects these comments in is in safe and proper condition for use. passenger equipment. As no substantive that paragraph (a) addresses In proposing the creation of these plans, adverse comments were received on this requirements for an overall safety plan FRA did not intend to enter into the section, FRA has retained this section as for Tier II passenger equipment, while area of addressing employee safety proposed in the 1997 NPRM. paragraph (b) addresses planning
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00108 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25647 requirements for equipment acquisition and smoke generation test for small Committee was reviewed.9,10 Sixth, the and upgrade. miscellaneous, discontinuous parts; and results of the ongoing FRA-sponsored Paragraph (c) requires that each addition of a category for wire and cable NIST fire safety research project were railroad maintain sufficient insulation requirements. Three reviewed; as well as the results of tests documentation to demonstrate how the definitions which relate to heat release jointly funded by Amtrak and FRA operation and design of its Tier II rate were added to those previously using alternative seat assemblies passenger equipment complies with listed in Appendix B of the NPRM. A considered for use in Amtrak’s high- safety requirements or, as appropriate, new category of structural components speed trainsets. Seventh, the results of addresses safety requirements under other than structural flooring which the NTSB-sponsored fire tests paragraphs (a)(4) and (b)(7) of this may be exposed to fire hazards and conducted for MARC commuter rail cars section. Each railroad shall also associated notes was also added. The were reviewed.11 All of these inputs and maintain sufficient documentation to complete list of notes has also been further analysis were used as the basis track how safety issues are raised and renumbered from that contained in the to simplify the table in Appendix B of resolved. NPRM to reflect these revisions. the NPRM and reduce confusion and Paragraph (d) requires that each The revisions were selected based on duplication in revising the list of tests railroad make available to FRA for the results of analysis of input from and performance criteria and related inspection and copying upon request several resources. (A detailed rationale notes. each safety plan required by this section for all revisions is also contained in a Most of the items listed under and any documentation required supporting document prepared under ‘‘Function of Material’’ in the table in pursuant to such plan. This section does contract to the Volpe Center and placed Appendix B of the NPRM have identical not in itself require FRA approval of a in the public docket for this (or nearly identical) flammability pass/ plan. However, FRA approval would be rulemaking.6) First, the comments of the fail performance criteria. For example, required for those sections of a plan parties who responded to the NPRM although they were listed separately in intended to comply with the were reviewed. As raised in particular the NPRM under function of material in requirements of § 238.111, for example. by Fire Cause Analysis in its comments the table, ‘‘Seat and/or Mattress Frame’’; Appendix A—Schedule of Civil on the NPRM, the current classification ‘‘Seat and Toilet Shroud’’; ‘‘Wall’’; Penalties of items listed in the categories and ‘‘Ceiling’’; ‘‘Windscreen’’; ‘‘Partition, functions in the table contained in Tables and Shelves’’; ‘‘HVAC Ducting’’; This appendix contains a schedule of Appendix B in the NPRM (based on ‘‘Window’’; ‘‘Light Diffuser’’; ‘‘End Cap civil penalties to be used in connection FRA’s 1989 guidelines) has caused [and] Roof Housings’’; and ‘‘Interior with this part. Because such penalty confusion and conflict as to what [and] Exterior Boxes’’ all were subject to schedules are statements of policy, materials should be tested according to the same ASTM E 162 test procedure notice and comment are not required what test methods. Second, a document and performance criteria for flame prior to their issuance. See 5 U.S.C. containing the rationale for the spread. Accordingly, in the final rule, 553(b)(3)(A). Commenters were invited development of the original all of these items have been combined to submit suggestions to FRA describing flammability and smoke emission tests under the single category of ‘‘Vehicle the types of actions or omissions under and performance criteria was reviewed.7 Components’’ in the table in Appendix each regulatory section that would Third, the previous Federal Register B. Overall, the items listed under subject a person to the assessment of a notices pertaining to tests and ‘‘Category’’ and ‘‘Function of Material’’ civil penalty. Commenters were also performance criteria published as the have been decreased from seven to six invited to recommend what penalties 1989 FRA guidelines (54 FR 1837; Jan and from twenty-eight to ten, may be appropriate, based upon the 17, 1989) and published as respectively, from the same table in the relative seriousness of each type of recommended practices by FTA (then- NPRM. The majority of entries have also violation. FRA received no specific UMTA) for rail transit vehicles (47 FR been re-titled. The new ‘‘Category’’ and comments in response. 53559, Nov. 26, 1982; 49 FR 32482, Aug. ‘‘Function of Material’’ titles streamline Appendix B—Test Methods and 14, 1984) and for transit buses and vans the table presentation while retaining all Performance Criteria for the (55 FR 27402, July 2, 1990; 57 FR 1360, the actual material functions used in an Flammability and Smoke Emission Jan 13, 1992; 58 FR 54250, Oct. 20, intercity or commuter rail passenger car Characteristics of Materials Used in 1993) were reviewed. Fourth, the input Passenger Cars and Locomotive Cabs from railroad operators, carbuilders, and 9 ‘‘Proposed Revision of NFPA 130, Table 4–2.4, consultants who participated in a Recommendations for Testing the Flammability and The table of test methods and Smoke Emission Characteristics of Rail Transit Workshop held at the NIST Building performance criteria contained in Vehicle Materials; Review Paper—Status Update.’’ and Fire Research Laboratory in July Appendix B has been revised to address NFPA 130 Press Working Group Meeting of 8/15/ 1997 was considered.8 Fifth, 97. Prepared by J. Zicherman. A copy of this concerns related to their adoption as a documentation prepared by the NFPA document has been placed in the public docket for regulation. These revisions include this rulemaking. Railroad Task Force for the NFPA 130 reorganization of categories and 10 ‘‘Proposed Revision of NFPA 130 Table 4–2.4, function of materials listed in the table Recommendations for Testing the Flammability and 6 ‘‘Recommendations for Revising the Fire Safety Smoke Emission Characteristics of Rail Transit in Appendix B; inclusion of a note to Performance Requirements in Federal Railroad Vehicle Materials; Review Paper—Status Update.’’ permit the substitution of seat and Administration Notice of Proposed Rulemaking NFPA 130 Press Working Group Meeting of 10/15/ mattress assembly tests for individual (NPRM) For Passenger Equipment, September 23, 97. Prepared by J. Zicherman. A copy of this material tests; inclusion of a note to 1997,’’ Prepared by J. Zicherman and S. Markos. document has been placed in the public docket for Draft Project Memorandum. December, 1998. this rulemaking. require dynamic tests to be performed 7 ‘‘Rationale for Recommended Fire Safety 11 ‘‘Interpretive Report: Flammability and Smoke for seat cushions prior to fire tests; Practices for Rail Transit Materials Section.’’ Compliance and Fire Analysis (MARC/Amtrak revision of performance criteria for Transportation Systems Center. Report nos: MA– Collision, February 16, 1996).’’ Prepared for certain materials; inclusion of a note to 06–0098–82–1, and DOT–TSC–UMTA 81–74, National Transportation Safety Board. Prepared by January, 1983. A copy of this document has been J. G. Quintiere, University of Maryland. Final permit a testing exception for small placed in the public docket for this rulemaking. Report. December 19, 1996. A copy of this parts; inclusion of a note to permit the 8 ‘‘Follow-UP Notes: NIST/CFR FRA Project, document has been placed in the public for this use of an alternative heat release rate Meeting/Workshop of 7/23/97,’’above. rulemaking.
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00109 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 25648 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations or locomotive cab. Some revisions have can significantly prevent fire ignition, (as used to meet FAA fire seat also been made to acknowledge that and limit flame spread, fire growth, and regulations), as well as to cutting and certain existing performance criteria are smoke generation. puncture, may be required. If used, so close as to be indistinguishable based Note 3 permits the testing of seat and these blocking layers must be applied in on the precision of the test methods mattress assemblies incorporating heat a manner which seals the seams (e.g., used (e.g., flame spread values of 25 vs. release rate methods developed by using bonding or ceramic thread with 35 using test procedure ASTM E 162). consensus. Testing the performance of a binding tape) and ensures that the foam Of course, some material categories or seat or mattress assembly as an does not leak or drip out and become subcategories could not be combined integrated unit, which is more exposed to ignition. The U.S. Coast since they require different test representative of an actual condition, Guard has issued a Navigation and methods, e.g., fabrics versus cushions. will be an alternative to individually Vessel Inspection Circular (NAVIC) for In addition, other considerations (such testing the components that comprise structural fire protection which permits as ballistic test requirements for plastic the seat or mattress assembly. Seat the use of fire blockers if tested window glazing) have precluded the assemblies and mattresses to be tested according to Cal TB 133; the NAVIC combination of (and thus identical in this alternative manner shall use states that these materials have proven performance criteria for) some ASTM E 1537, ‘‘Standard Test Method effective in protecting combustible categories and material functions. for Fire Testing of Upholstered Seating foams from being involved in a fire. 13 Specific revisions to the table in Furniture,’’ and shall use pass/fail FRA notes that the ASTM E 1537 test Appendix B of the NPRM are criteria specified in California Technical procedure was not expressly referenced summarized in the following text. In Bulletin (CAL TB) 133, ‘‘Flammability in the NPRM to allow testing of seat and addition, the notes to the table have Test Procedure for Seating Furniture for mattress assemblies in this alternative been revised and renumbered to reflect Use in Public Occupancies.’’ CAL TB manner. However, FRA did intend to the table’s reorganization, and the text 133 has a successful history of use at permit use of alternative test procedures for several new notes has been added. state and municipal levels for high- to demonstrate flammability and smoke The notes to the table will be discussed hazard occupied places, such as nursing emission characteristics of materials where appropriate in the discussion of homes. Results of the March, 1997 tests (upon special approval by FRA). See 62 the table below, and a discussion of the using the ASTM E 1537 test procedure FR 49803. FRA has, in effect, granted complete list of notes is also provided. on seat assemblies being considered for approval to any party to use the ASTM ‘‘Cushions, Mattresses’’ is a new Amtrak’s high-speed trainsets showed E 1537 test procedure to demonstrate category in the table which was that certain assemblies met the Cal TB the flammability and smoke emission formerly listed under the function of 133 test criteria and exhibited a total characteristics of seat and mattress material column and included under the lack of flame spread as well as low heat assemblies in accordance with the previously used category ‘‘Passenger and smoke release. Id. In addition, data requirements of Note 3, in lieu of seats, Sleeping and dining car from Amtrak-funded tests showed that utilizing the testing methods otherwise components.’’ See 62 FR 49823. Note 1 seat assemblies selected for use on required by the table in Appendix B. to the table which concerns flaming Amtrak’s high-speed trainsets passed Note 4 applies to seat cushion testing dripping or running is virtually both the ASTM D 3675 and FAA ‘‘oil without upholstery and is identical to identical to Note 1 as proposed in the burner’’ tests. Note 9 as proposed in the NPRM. The NPRM. Note 2 is virtually identical to Acceptance of results using the note renumbering provides consecutive Note 5 as proposed in the NPRM, and alternative test approach in Note 3 for numbering logic within the revised pertains to ASTM E 662 smoke emission seat and mattress assemblies requires an categories and function of materials. limits. The note renumbering provides accompanying fire hazard analysis for Note 5 requires the dynamic testing of consecutive numbering logic within the the specific application. This analysis seat cushions to address the retention of revised categories and function of may take the form of a specific system fire retardant characteristics of foams materials. safety or fire protection analysis. The after the materials have been in service As explained, FRA has been analysis must provide for necessary for a period of time. The precedent for investigating the testing of assemblies of quality control of components used in the addition of Note 5 requiring the materials for performance in a fire, these assemblies in actual day-to-day performance of an endurance test rather than individually testing the use. Quality control must be part of the (ASTM D 3574, Test I2 (Dynamic materials which comprise such daily operating plans for a system to Fatigue Test by the Roller Shear at assemblies, to more accurately reflect ensure that individual substandard Constant Force) or Test I3 (Dynamic the interaction of materials in a fire. As materials or components are not Fatigue Test by Constant Force part of the FRA-sponsored fire safety substituted within a given component Pounding) both using Procedure B) for research program managed by the Volpe assembly for parts having an identical seat cushions is noted in the FTA Center, six full-scale alternative seat function which are of acceptable notices relating to transit bus and van assemblies being considered for the quality. In conducting the fire hazard materials (58 FR 54250, 57 FR 1360). Amtrak high-speed train sets were analysis, the operating environment The concern that fire and smoke tested in March, 1997, using a furniture within which seat and mattress emission characteristics of materials calorimeter (ASTM E 1537). 12 The tests, assemblies qualified by assembly tests may change over time will be more fully jointly funded by FRA and Amtrak, will be used must also be considered in examined in the second phase of this used current Amtrak upholstery and relation to the risk of vandalism, rulemaking. different cushion foams; fire blocking puncture, cutting, or other acts or A new category title ‘‘Fabrics’’ layers were used in some trials. The test external forces which may expose the includes seat upholstery, mattress results showed that fire blocking layers individual components of the ticking and covers, and curtains, as assemblies. Seats and mattresses using formerly included under the category 12 ‘‘Passenger Rail Car Seat Fire Tests; ASTME E certain types of foams must resist 1357/CAL TB 133.’’ J. Zicherman and S. Markos. vandalism, puncture, cutting, and other Draft Project Memorandum. December 1998. A copy 13 ‘‘Navigation and Inspection Circular No. 9–97. of the report has been placed in the public docket acts and external forces. Robust Guide to Structural Fire Protection.’’ US Coast for this rulemaking. blocking layer(s), resistant to both fire Guard. COMDTPUB P16700.4, October 31, 1997.
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‘‘Passenger seats, Sleeping and dining specifies, as a minimum, which importance for certain small parts used car components’’ in the table in combustible component materials must in rail passenger cars. In addition, such Appendix B of the NPRM. The term be tested, and is based on the parts, because of their small size and ‘‘All’’ under function of material components listed in the table in end uses, may be important from an eliminates confusion as to what must be Appendix B of the NPRM. ignition perspective, but not from a tested; if composed of fabric, window Note 10 provides that testing of flame spread perspective. The pass/fail shades, draperies and wall coverings are vehicle component miscellaneous, criterion: // required to be tested. The test procedure discontinuous small parts may not be tig/ q˙ max ≤ 1.5 for purposes of the burn test is an FAA necessary if such parts do not contribute test found at 14 CFR part 25, Appendix materially to fire growth and the surface is defined by the ratio of a given F, Part I (vertical test). FRA has area of any individual small part is not sample’s sustained time in seconds (s) referenced this test procedure directly greater than or equal to 16 square inches to ignition (tig) to its peak (maximum) 2 in the table and, thereby, removed the (100 cm ) in end use configuration. A // heat release rate (q˙ max), as measured in intermediate reference to 14 CFR fire hazard analysis is required that the Cone Calorimeter under the § 25.853(a), as stated in the NPRM. considers both the quantity of the parts stipulated exposure conditions. This Formerly, smoke emission requirements (e.g., limited) and the location of the quantity has been demonstrated to be a were limited to ≤250 for ‘‘coated’’ and parts (e.g., at discontinuous, or isolated ≤ direct measure of a material’s sensitivity 100 for ‘‘uncoated’’ fabrics at four locations, or both), as well as the to ignition, which is important since the minutes. The latter is typically PVC vulnerability of the parts to ignition and class of parts referred to here will not, vinyl-based upholstery fabric. It was contribution to flame spread. As an due to their small size, contribute determined that a uniform criteria of example, grommets used on seats or ≤ markedly to fire growth and heat 200 at four minutes for the smoke window shades present an insignificant release. However, these parts may, if emission rate would be appropriate for fire threat and could logically and safely capable of showing sustained ignition, both classes of fabrics, based in part on be exempted from testing. Such small cause secondary ignition of surrounding the known performance of the range of parts have been selectively exempted materials subsequent to their own fabrics available, and the definition of through the use of similar language in ignition. The required heat flux coated and uncoated used by the ASTM, rail car specification documents for exposure of 50 kW/m2 is sufficiently rather than the terms used in the above- many years. On the other hand, other high to ignite materials which have a cited report, ‘‘Rationale for materials, such as those used to produce reasonable degree of intrinsic ignition Recommended Fire Safety Practices for wire ties (of which hundreds or resistance. The pass/fail criterion is Rail Transit Materials Selection,’’ thousands may be included in a single based on relatively current research, prepared by the Volpe Center in the car to mount power and low voltage including that conducted by NIST for early 1980s. Moreover, allowing a cable bundles) shall not be exempted passenger railroad materials cited higher smoke emission performance from testing, as specified in Note 11. earlier. FRA notes that the ASTM E criteria for coated fabrics—more than Note 11 relates to Note 10. If the 1354 test method was not expressly twice that allowed for uncoated surface area of any individual small part referenced in the NPRM. However, as fabrics—provides an inconsistent level is less than 16 square inches (100 cm2) of safety. In addition, the NFPA 130 identified by the Volpe Center during its in end use configuration, such small fire safety research, this test procedure Committee has accepted a part must be tested using the ASTM E recommendation for the identical is an appropriate way to address the 1354–97 test procedure, ‘‘Standard Test flammability and smoke emission change in its revised table requirements. Method for Heat and Visible Smoke Notes 6 and 7, which pertain to characteristics of small parts and its use Release Rates for Materials and Products in this final rule complements the washing and dry cleaning of materials, Using an Oxygen Consumption are almost identical to Notes 2 and 3 as exemption from testing otherwise Calorimeter’’ (e.g., Cone Calorimeter), provided for small parts as specified in proposed in the NPRM. These notes unless such small part has been shown were renumbered to reflect consecutive Note 10. Note 12 relates to Note 11. If, not to contribute materially to fire in accordance with Note 11, small numbering logic within the revised growth following an appropriate fire categories and function of materials. In miscellaneous, discontinuous parts are hazard analysis as specified in Note 10. tested using ASTM E 1354 and an addition, some upholstery materials ASTM E 1354 measures heat release rate must be dry cleaned. Accordingly, Note appropriate fire hazard analysis (HRR) at a prescribed heat flux using accompanies the test results, such small 7 applies to upholstery materials. oxygen depletion techniques and Note 8 was formerly the second parts do not have to be tested for smoke produces information including data for generation using the ASTM E 662 test sentence in Note 3 as proposed in the time of ignition and peak HRR. The NPRM. However, since that sentence procedure. quotient of these two parameters has Flexible cellular foam products not also included the words ‘‘washed,’’ as been evaluated as part of the current well as ‘‘dry cleaned,’’ this text was used for seat and mattress applications FRA-funded NIST research program, as are now included in the separate separated into a new Note 8 to ensure well as in other research, and has been that the labeling requirement would be ‘‘Vehicle Components’’ category to shown to reliably predict ignitability clearly understood to apply whatever address the unique fire-related (see Hirschler, 1992, 1995 14 15). cleaning method is used. properties represented when used for The new category ‘‘Vehicle Ignitability is also a parameter of arm rests, seatback ‘‘crash’’ padding, Components’’ includes the majority of and thermal and acoustical insulation. 14 ‘‘Tools Available to Predict Full Scale Fire those materials formerly listed in the Performance of Furniture,’’ Fire and Polymers II. The different armrest test requirements NPRM under the categories of ‘‘Panels,’’ Hirschler, M.M. Ed. G. L. Nelson, ACS Symp. Series in Note 8 in the NPRM have been ‘‘Flooring’’ (except structural), thermal 599. Ch. 36, pp. 593–608. deleted. The differentiation is no longer and acoustical ‘‘Insulation’’ (see 15 ‘‘Effect of a Single Furnishing Product on Fire necessary since the new Function of Hazard in Actual Occupancies Based on Heat discussion below), ‘‘Elastomers,’’ Release Rate.’’ Hirschler, M.M. Proceedings, NFPRF Material ‘‘Flexible Cellular Foams’’ ‘‘Exterior Plastic Components,’’ and Symposium and FIre Risk & Hazard, San Francisco, requires that armrest foam material be ‘‘Component Box Covers.’’ Note 9 June 25–27, 1997. tested according to ASTM D 3675. If
VerDate 06-MAY-99 18:15 May 11, 1999 Jkt 183247 PO 00000 Frm 00111 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm03 PsN: 12MYR2 25650 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations hard plastic, the armrest test with smaller surface areas need not be continued short term operation of power requirement is ASTM E 162. Tests tested using ASTM C 1166. when exposed to ignition. conducted by NIST in 1983 of Amtrak Accordingly, diaphragms, window FRA notes that, in its comments on interior materials showed that foam gaskets, door nosing, and roof mats the NPRM, the IEEE (like the NFPA) armrests assist flame spread from seat would continue to be tested; in referred to the National Technology cushions to wall liners. addition, due to their size, flexible flat Transfer and Advancement Act of 1995, Thermal and acoustical insulation seat ‘‘springs’’ or suspension above, and the provision which materials were previously included as a membranes are also required to be requires, in general, that Federal separate table category in the NPRM, tested using ASTM C 1166. Testing agencies ‘‘use technical standards that with values identical to cushions and requirements for miscellaneous small are developed or adopted by voluntary mattresses for flame spread (less than or parts comprised of elastomeric consensus standards bodies.’’ The IEEE equal to 25) and smoke emission (less composition having a surface area less cited its own development of voluntary than or equal to 100 for 1.5 minutes). than 16 square inches are discussed in consensus standards and their potential (Thermal and acoustical insulation did Notes 10, 11, and 12. for integration in this rulemaking. In the not expressly contain a smoke emission The test requirement differentiation in second phase of the rulemaking, FRA criterion for 4 minutes in the NPRM, Notes 10, 11,12, and 16 according to will consider with the Working Group though intended to be less than or equal part size is based on several factors. the appropriate use of other IEEE to 200.) Flexible cellular foam is Many small miscellaneous parts used in standards in this and other subject sometimes used as thermal and car construction may be composed of areas, in addition to the IEEE standard acoustical insulation; if so used, the elastomeric materials. These parts contained in this rule for fire safety. requirements remain unchanged (25, include cleats, blocks, abrasion and The new category ‘‘Structural Components’’ addresses the structural 100, and 200, respectively). Otherwise, vibration damping pads. As such, these integrity of floor assemblies and other the performance criteria for insulation parts are frequently molded and are not structural elements. In Appendix B of materials are now 35, 100, and 200, readily available for testing in sizes the NPRM, only the performance of respectively, to be consistent with other required for either the ASTM E 162 or structural flooring was expressly vehicle components. ASTM C 1166 test methods without Note 13 relates to the use of carpet on addressed in the table itself and in the undergoing special fabrication. walls and ceilings and is virtually text of former Note 6. The first sentence Moreover, as noted in the discussion identical to Note 10 as proposed in the of text relating to penetrations as concerning Note 11, ASTM E 1354 is NPRM. Note 14 concerns floor coverings proposed in Note 6 in the NPRM has sensitive to ignition properties rather and is virtually identical to Note 7 as been separated and inserted as Note 19 than flame spread. The later parameter proposed in the NPRM. in the final rule. Note 19 requires that Two items having identical test would be a critical variable if such parts penetrations be tested as part of floor performance criteria relating to use of were used in applications with larger assemblies and other structural plastics in light transmitting assemblies exposed surface areas. elements. The text in the second under the function of material column The subject of ‘‘Wire and Cable’’ has sentence of Note 6 as proposed in the in the table in Appendix B in the NPRM been addressed by the addition of a new NPRM specifically pertained to have been combined into a new ‘‘Light category in the table which requires structural flooring assemblies, and it has transmitting plastics’’ function of smoke and flammability emission been separated and inserted into Note material column in the final rule. This screening for wire and cable insulation. 20 in the final rule. terminology is consistent with use of the This is especially important due to the Note 21 addresses the structural term for identical plastics in the greater quantities of wire and cable used integrity of less well defined and design construction industry and building in electrically-powered intercity and dependent rail car structural elements, codes. The test performance criteria commuter rail passenger cars. Fire- other than floors. These structural remain unchanged from the NPRM. In related tests and performance criteria for elements may carry significant weight addition, this category also provides for wire and cable insulation were not loads or have important fire barrier uniform acceptance criteria for expressly included in the table functions in protecting train occupants, transparent plastics used in proposed in Appendix B of the NPRM. or both. Examples include extensive windscreens, which formerly were not The test methods of the IEEE, Insulated HVAC or power-conditioning clearly addressed. Note 15 pertains to Cable Engineers Association (ICEA), equipment installed on roofs or window glazing and is virtually National Electrical Manufacturers electrical equipment lockers, which may identical to that in Note 4 as proposed Association (NEMA), and Underwriters become involved in fires. Such fires in the NPRM. Renumbering of the note Laboratories Inc. (UL) specified in the may result from mechanical failures, reflects consecutive numbering logic. final rule have long and successful electrical insulation breakdown, or from The separate category of ‘‘Elastomers’’ histories of use, and have also been other hazards. Accordingly, Note 21 in the table in the NPRM has been specified in the existing NFPA 130 requires that portions of the vehicle included under the function of material requirements. In Note 17, one set of test body (other than floors but including column in the ‘‘Vehicle Components’’ methods is comprised of NEMA WC 3/ the roof) which separate major ignition category in the table in the final rule. As ICEA S–19–1981, paragraph 6.19.6, and sources, or sources of fuel load from the indicated in Note 16, the flammability the second set is comprised of UL 44 vehicle interior, demonstrate fire test method for elastomers has been and UL 83. The ICEA and NEMA jointly endurance by a fire hazard analysis revised to reference ASTM C 1166, issued NEMA WC 3/ICEA S–19–1981, acceptable to the railroad. which has superseded ASTM C 542 as and it includes testing for both The following summary lists the proposed in the NPRM. As specified in thermosetting wire insulation and for changes to the content of the notes and Note 16, only elastomeric parts with thermoplastic wire insulation. In Note their numbering from the NPRM, surface areas equal to or more than 16 18, in addition to passing ANSI/IEEE reflecting both the table reorganization square inches (100 cm2) in end use Standard 383, section 2.5, the power in the final rule as well as additional configuration are required to be tested cable must also demonstrate continued requirements: Note 1 is virtually using ASTM C 1166; elastomeric parts circuit integrity for 5 minutes to allow identical to that in the NPRM. Note 2 is
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00112 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25651 virtually identical to Note 5 in the First, Bombardier commented that as FRA has not adopted Talgo’s NPRM. Note 3 permits the testing of seat proposed by FRA some differences recommendation with respect to points and mattress assemblies according to existed between Appendix C and the 4 and 5, to the extent that an exemption ASTM E 1537 using Cal TB 133 requirements of the then-proposed for rail cars with single-axle trucks was performance criteria. Note 4 is identical Track Safety Standards, § 213.333. sought. However, FRA provides the to Note 9 in the NPRM. Note 5 requires Consequently, Bombardier following clarification of points 4 and 5. dynamic testing of seat cushions. Notes recommended that FRA change Point 4 provides that the sum of the 6 and 7 are virtually identical to Notes Appendix C to resolve the vertical wheel loads on one side of any 2 and 3 in the NPRM. The text of Note discrepancies; or eliminate Appendix C truck shall not be less than or equal to 8 is virtually identical to the second and reference the track safety standards’ 20 percent of the static vertical axle sentence of Note 3 in the NPRM. Note table of vehicle/track interaction load, and that this shall include the 9 lists vehicle component materials performance limits in § 213.333 and effect of a crosswind allowance as which must be tested, at a minimum. incorporate Bombardier’s proposed specified by the railroad for the Note 10 allows a testing exception for changes submitted as part of its intended service of the equipment. materials used to fabricate small, September 15, 1997 hearing testimony Whether the rolling assembly is a single- discontinuous parts that will not on the track safety standards. axle or a double-axle truck, or whether contribute materially to fire growth in At the Working Group meeting in solid or stub axles are used to configure end use configuration, provided an January 1998, a Volpe Center the truck, the risk of wheel unloading is appropriate fire hazard analysis is representative explained that the still present. If the vehicle is subjected conducted. Note 11 requires that if the discrepancy between proposed to forces that reduce the static vertical surface area of any individual small part Appendix C and the proposed track load per truck side to 20% or less of the is less than 16 square inches (100 cm2) safety standards may be justifiable static axle load, an unsafe condition in end use configuration, such small because Appendix C would apply only may exist. Point 4, therefore, requires part must be tested using the ASTM E to new passenger equipment; whereas that the sum of vertical wheel loads on 1354 test procedure, unless such small the then-proposed standards in the track any side of any truck (or any other part has been shown not to contribute safety rule would apply to both new and suspension configuration per car end or materially to fire growth following an existing equipment. Appendix C’s between two car ends) be always greater appropriate fire hazard analysis as standards could therefore be necessarily than 20% of the static vertical axle load. specified in Note 10. Note 12 relates to stricter. In this regard, FRA has retained For stub (non-solid) axles, an equivalent Note 11. If, in accordance with Note 11, Appendix C and not simply referenced static vertical axle load may be small parts are tested using ASTM E the track safety standards’ table of computed by adding the static vertical 1354 and an appropriate fire hazard vehicle/track interaction performance wheel loads on opposite sides. If the analysis accompanies the test results, limits in 49 CFR § 213.333. Points 4 and rolling assembly has only one axle per such small parts do not have to be tested 6 in Appendix C are not found in the suspension unit, as in the case of Talgo for smoke generation using the ASTM E track safety standards’ table of vehicle/ equipment, then any single wheel load 662 test procedure. Note 13 is virtually track interaction safety limits, and thus is required to be always greater than identical to Note 10 in the NPRM. Note need to be retained in this passenger 20% of its static value. As a result, point 14 is virtually identical to Note 7 in the equipment rule to ensure the safety of 4 of this appendix will constitute a more new passenger equipment. However, NPRM. Note 15 is virtually identical to stringent requirement than provided in FRA has otherwise reconciled Appendix Note 4 in the NPRM. Note 16 provides point 3. Point 5 of the appendix requires C with the track safety standards’ table test requirements for elastomeric that the maximum truck side L/V ratio in § 213.333. not exceed 0.6. If the rolling assembly materials greater than 16 square inches Talgo, in its comments on proposed (100 cm2) in end use configuration and has only one axle per suspension unit, Appendix C, suggested that FRA reword as in the case of Talgo equipment, then requires that, at a minimum, window the second paragraph in the Appendix gaskets, door nosings, diaphragms, and the corresponding L/V ratio computed to clarify that the performance standards for each consecutive pair of axles shall roof mats be tested. Notes 17 and 18 are meant to apply to the average values be similarly limited to 0.6. apply to wire and cable insulation. Note for the parameters recorded during the 19 is based on the last sentence of text time the train travels six feet. FRA has Appendix D to Part 238—Requirements formerly in Note 6 in the NPRM. Note not adopted Talgo’s suggestion, for External Fuel Tanks on Tier I 20 contains the first part of text of Note however. FRA intended that the Locomotives 6 in the NPRM. Note 21 addresses new performance standards apply to the This appendix contains the test requirements for other structural maximum values for the parameters performance requirements for external components, such as car roofs and recorded to ensure that the passenger fuel tanks on Tier I locomotives, as electrical cabinets, in addition to the equipment operates within outer safety adapted from AAR Recommended floor assembly. limits. Use of average values would Practice (RP) 506, ‘‘Performance The list of standards contained in mask real safety concerns. Requirements for Diesel Electric Appendix B, paragraph (c), in the NPRM Talgo also recommended that FRA Locomotive Fuel Tanks,’’ effective July has been revised and updated. define the method for signal filtering. 1, 1995. In incorporating this industry Appendix C—Suspension System Safety FRA has adopted Talgo’s practice into Federal regulation, FRA Performance Standards recommendation and specified that, for has rephrased the text of RP–506 in part. purposes of this appendix, wheel/rail Yet, no substantive change is intended, The purpose of Appendix C is to force measurements shall be processed except as noted below. RP–506, a copy prevent the occurrence of a variety of through a low pass filter having a cut- of which is available in the public derailments due to forces on wheels. off frequency of 25 Hz. docket of this rulemaking, is comprised FRA has revised and clarified the Finally, Talgo recommended that of sections entitled ‘‘Scope,’’ requirements of this appendix based on points 4 and 5 in the appendix be ‘‘Background,’’ ‘‘Limitations,’’ and comments received in response to the revised to acknowledge that they should ‘‘Structural Strength Requirements.’’ NPRM. not be applied to single-axle trucks. Appendix D represents the section
VerDate 06-MAY-99 18:15 May 11, 1999 Jkt 183247 PO 00000 Frm 00113 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm03 PsN: 12MYR2 25652 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations entitled ‘‘Structural Strength normal business hours by visiting the best of FRA’s ability, FRA has Requirements,’’ or Section 4 in RP–506. FRA Docket Clerk at the Office of Chief apportioned the total costs and savings FRA has not included Section 4.4 of Counsel, FRA, Seventh Floor, 1120 in the following tables between Amtrak, RP–506 in Appendix D. Section 4.4 Vermont Avenue, in Washington, D.C. commuter railroads, and the State of (‘‘Fueling’’) states, ‘‘Internal structures Photocopies may also be obtained by Washington to more precisely show the of [the] tank must not impede the flow submitting a written request by mail to effects of this final rule on these of fuel through the tank while fueling at the FRA Docket Clerk at the Office of different entities. In commenting on the a rate of 300 gpm [gallons per minute].’’ Chief Counsel, FRA, 1120 Vermont Ave, NPRM, APTA had recommended that The rate at which a fuel tank may be Mail Stop 10, Washington, D.C. 20590. FRA segregate the costs and benefits to fueled is only a safety concern in the Certain requirements in the rule commuter railroads from those broad sense that the fuel not spill from reflect current industry practices or involving Amtrak—and not represent the tank while fueling. Of course, FRA restate existing regulations, or both. As both Amtrak and commuter railroads recognizes that railroad fuel dispensers a result, in calculating the costs of this together. FRA has separately identified utilize automatic shut-off devices that rule, FRA has neither included the cost the State of Washington in the tables will stop the flow of fuel before the fuel of those actions that would have been below because of the unique concerns spills out of the tank if the fuel is performed voluntarily in the absence of involving its operation of Talgo dispensed too readily for the tank to this rule, nor the costs of those actions passenger equipment, discussed above process. The ability of the tank to accept that would have been required by the in the preamble. existing regulations that have been fuel at a certain rate per minute Ideally, FRA would separately show therefore appears to be more of an restated in this rule. Further, in calculating the benefits arising from this the costs and savings for commuter operational concern than a safety railroads from those involving Amtrak concern for a railroad in that the process rule, FRA has not included as a benefit any good resulting from such actions. for each requirement in the rule. of fueling locomotives not be However, FRA cannot separate some of unnecessarily delayed.. As a result, FRA FRA expects that overall this rule will save the passenger rail industry the twenty-year costs and savings of this will not make Section 4.4. of RP–506 a rule with any degree of accuracy safety requirement of this rule, even approximately $20 million Net Present Value (NPV) over the next twenty years. between Amtrak and commuter though a railroad is free to make it its railroads, especially for passenger own requirement in acquiring Rail passengers are expected to benefit from reduced delays totaling equipment that is not yet in service. For locomotives. approximately $11 million (twenty-year instance, FRA does not know how often X. Regulatory Impact NPV). FRA expects the NPV of the total Amtrak will order new equipment or twenty-year costs incurred associated what specific type of equipment that A. Executive Order 12866 and DOT with the rule to be $68.5 million. The may be. To a certain extent, railroads Regulatory Policies and Procedures NPV of the total twenty-year savings will be able to control their level of This rule has been evaluated in expected to accrue to the industry from expenditures in response to this rule by accordance with existing policies and the rule is approximately $87 million. choosing to overhaul or rebuild procedures and is considered to be For some passenger rail operators, the equipment they own or by purchasing significant under both Executive Order total costs incurred will exceed the total existing equipment from other railroads 12866 and DOT policies and procedures cost savings. For others, the cost savings instead of ordering new equipment. Of (44 FR 11034; Feb. 26, 1979). FRA has will outweigh the costs. Expected safety course, FRA can more precisely prepared and placed in the docket a full benefits coupled with reduced apportion the costs and savings between regulatory evaluation of the rule (only a passenger train delays outweigh the Amtrak and commuter railroads for the summary is provided below). This estimated costs of compliance with this inspection, testing, and maintenance evaluation estimates the costs and rule. requirements in this rule; those consequences of the rule as well as its The following tables present the requirements will most significantly anticipated economic and safety estimated twenty-year costs and savings impact the existing fleet of passenger benefits. The evaluation may be (NPV) associated with the specific equipment, which is readily inspected and photocopied during requirements in this final rule. To the identifiable.
NPV 20-YEAR COSTS INCURRED
Washington Requirement category Amtrak Commuter rail State Total
Fire SafetyÐMaterials ...... $0 $0 $0 $0 Certification ...... (*) ...... 84,752 New Equipment ...... 253,625 Existing Equipment ...... 675,004 Inspect/Test/Maint...... 142,056 Train Hardware & Software ...... 0 0 0 0 Inspect/Test/Maint. Program: Existing Equipment ...... 277,816 New Equipment ...... 167,958 Training Program: Course Development ...... 1,720,629 Exterior Mech. Inspect...... 5,081,250 Interior Mech. Inspect...... 3,408,940 Pre-Revenue Service Testing: Equip w/Prev. Op. Exp...... 16,950 Equip w/Out Prev. Op. Exp...... 233,373 Rim-Stamped Straight-Plate Wheels ...... 0 0 0 0
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NPV 20-YEAR COSTS INCURREDÐContinued
Washington Requirement category Amtrak Commuter rail State Total
Emergency Lighting ...... 0 0 0 0 TalgoÐRisk Assessment ...... 0 0 280,634 280,634 Anticlimber & Link to Car Body ...... 0 129,296 0 129,296 Forward End Structures ...... 0 8,190,145 0 8,190,145 Corner Posts ...... 0 1,532,517 0 1,532,517 Rollover Strength ...... 29,305 Side Structure ...... 0 0 0 0 Truck to Car Body Attachment ...... 0 0 0 0 Glazing ...... 1,303,894 Fuel Tanks ...... 0 0 0 0 Electrical System ...... 0 0 0 0 Suspension System ...... 0 0 0 0 Brake SystemÐEase of Inspection ...... 32,179 Interior fittings and Surfaces ...... 2,608,856 Emergency Window Exits ...... 0 0 0 0 DoorsÐManual Door Release ...... 0 3,968,598 0 3,968,598 Automated Monitoring ...... 30,503 Mvmt Defective EquipÐNon Brakes ...... 25,934 Mvmt Defective EquipÐBrakes ...... 735,249 Reporting and Tracking System ...... 0 5,371,054 0 5,371,054 Daily Exterior Mech. Inspections ...... 3,009,223 16,712,854 0 19,722,077 Qualified Maintenance Person ...... 0 1,447,370 ...... 1,447,370 Daily Interior Mech. Inspections ...... 10,861,361 Periodic Mechanical Inspection ...... 201,639 Single Car Test ...... 0 0 0 0
Total Costs ...... 68,532,966
NPV 20-YEAR SAVINGS
Washington Requirement category Amtrak Commuter rail State Total
COT&S Interval Extensions: Coaches ...... $0 $9,227,510 $0 $9,227,510 MU locomotives ...... 0 33,368,421 0 33,368,421 Cab cars ...... 0 7,191,358 0 7,191,358 1,500-mile brake inspection ...... 31,852,373 0 0 31,852,373 Class IA brake tests ...... 0 4,360,701 0 4,360,701 Mvmt Defect BrakesÐRR ...... 632,592 Mvmt Defect BrakesÐPassengers ...... 11,368,651
Total Savings ...... 98,019,605 Total Twenty-Year Net Impact: $29,486,639 (Savings). (* In the above tables, a ``Ð'' indicates that total costs or savings, as appropriate, could not be apportioned between Amtrak, commuter rail- roads, and the State of Washington.)
FRA notes that as a result of the final suppression systems are incurred for history of passenger train accidents rule’s requirement to conduct fire safety new equipment, total twenty-year costs shows that the potential for injury and analyses of existing passenger (NPV) could increase by up to $3.9 loss of life is significant. Between equipment, the analyses may indicate million. These costs are not included in January 1, 1990, and December 31, 1997, that modifications to existing equipment the calculations presented above there were a total of 93 passenger are necessary to reduce the level of risk because FRA cannot predict with any fatalities on intercity passenger and of fire or smoke to an acceptable level. degree of precision the results of the fire commuter railroads, representing a total Although costs associated with safety analyses. Should equipment economic loss of $251 million. Sixty- performing the analyses are included in modifications, and fire and smoke eight passenger fatalities occurred when the calculations above, costs associated detection and suppression systems be the trains carrying the passengers were with performing any equipment required, the total net impact of the rule involved in derailments or collisions. modifications are not. If costs associated could be reduced from a savings of FRA believes that it is reasonable to with equipment modifications are $29.5 million to a savings of $11.6 expect that the measures called for in million (NPV). Rail operators would incurred, they will be incurred over the this rule will prevent or mitigate the experience a minimal savings. first four years of the rule and could severity of casualties greater in value total between $8.75 million and $14 Intercity passenger and commuter than the costs to rail carriers of million for existing equipment. If costs railroads generally offer the travelling implementing the requirements of this associated with installation of public one of the safest forms of rule. additional fire and smoke detection and transportation available. However, the
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The unique circumstances the general system of transportation, maintenance requirements; and a surrounding each future passenger train and certain private car owners. FRA prohibition concerning rim-stamped accident will determine the ultimate notes that the standards contained in straight-plate wheels on tread-braked effectiveness of this rule and FRA’s this rule were developed in consultation passenger equipment. other strategies to improve passenger with a Working Group that included FRA recognizes that private cars rail safety. Similar accidents have Amtrak, individual commuter railroads, affected by this final rule are principally unique characteristics which ultimately APTA, and the AAPRCO. APTA hauled by Amtrak, which imposes its determine an accident’s severity in represents the interests of commuter own safety requirements on the terms of casualties. As a result, we railroads and rapid transit systems in operation of private cars. As a result, the cannot at this time forecast future regulatory matters. The AAPRCO daily exterior mechanical inspection accident scenarios with a level of represents the interests of private car requirements in this final rule, though precision that would allow us to predict owners in regulatory matters. new Federal requirements, are only the actual need for the particular Except for private car owners, the minimally more stringent than the measures in this rule. However, this rule entities impacted by the final rule are mechanical inspections currently protects railroad employees and governmental jurisdictions, known as performed by Amtrak on its own. The passengers against known hazards that transit authorities, none of which are final rule does offer the flexibility to can be mitigated in a cost-effective small for purposes of the prevailing law. move equipment with power brake manner. For each cost associated with a The statutory definition of ‘‘small defects, as well as the flexibility to requirement in this rule, FRA has governmental jurisdictions’’ is a perform daily brake tests and examined the potential safety benefits governmental entity that serves a mechanical inspections at locations best accruing from the requirement. Certain population center of 50,000 or less. See suited for performing such tests and elements of the rule, such as the 5 U.S.C. 601(5). The transit authorities inspections. To the extent that all structural requirements, will directly subject to the requirements of this rule passenger equipment is subject to daily improve safety by decreasing threats to do not fall within the class established exterior mechanical inspections, private life and property. Other elements of the by statute. Nevertheless, FRA cars will not be affected rule will provide savings to the rail considered the impacts of this final rule disproportionately. industry while maintaining or on the smaller entities subject to the Generally, the final rule requires that improving the industry’s excellent rule. Commuter railroads and rapid rim-stamped straight-plate wheels not safety record overall. transit systems are part of larger transit be used as replacement wheels on tread- In its comments on the proposed rule, organizations that receive Federal funds. braked private cars. Amtrak has the NCDOT stated that the summary The level of costs incurred by each established a private car policy which economic analysis contained in the organization should generally vary in does not allow the use of rim-stamped NPRM did not include an analysis of the proportion to either the size of the straight-plate wheels as replacement impact on individual States. The organization or the extent to which the wheels on private cars. Further, Amtrak NCDOT believed the cost summary to be organization purchases newly will decline to move any tread-braked understated and not include an operator manufactured passenger equipment. For private car with a rim-stamped straight- by operator analysis. The above instance, railroads with fewer plate wheel after June 30, 2000. Because summary does specify this rule’s impact employees and passenger equipment Amtrak holds private cars to standards on Washington State. Further, as noted, will have lower costs associated with as high or higher than those contained a copy of the full regulatory evaluation employee training and the inspection, in this rule, there will be no additional of this rule is available through the FRA testing, and maintenance of passenger economic impact imposed on private Docket Clerk. That evaluation does equipment. FRA notes that this rule cars operated in Amtrak trains from this include, where appropriate, discussions offers railroads the opportunity to rule’s rim-stamped straight-plate wheel of the rule’s impact on particular experience savings in the areas of provision. Private cars are also subject railroads or groups of railroads. The inspection, testing, and maintenance of to provisions in this final rule evaluation also takes into consideration passenger equipment. The extent of concerning protection against personal that individual States will contract with these savings will generally vary injury, suspension system safety, safety Amtrak for the provision of rail service proportionally with the size of the fleet appliances, and brake system safety. on their behalf. In this regard, for of each railroad. These requirements represent either example, a State may utilize Amtrak’s FRA is making only certain current industry practice or current inspection forces trained under the rule, requirements in this rule applicable to Federal safety requirements (which are and thus not have to train inspection private cars that are operated in being restated in this final rule). forces on its own. passenger trains subject to this rule. Smaller passenger rail operations FRA considered the potential burdens such as tourist, scenic, excursion, and B. Regulatory Flexibility Act associated with applying the various historic railroads are exempt from this The Regulatory Flexibility Act of 1980 requirements in this rule to private car final rule. A joint FRA/industry (5 U.S.C. 601 et seq.) requires an owners and operators. FRA is limiting Working Group will be developing assessment of the impacts of proposed the application of this rule only to those recommendations regarding the rules on small entities. FRA has requirements necessary to ensure the applicability of FRA regulations, conducted a regulatory flexibility safe operation of the passenger train in including this one, to tourist, scenic, assessment of this final rule’s impact on which the private cars operate, as well historic, and excursion railroads. Based small entities, and the assessment has as the safety of railroad personnel on that Working Group’s been placed in the public docket for this handling or inspecting the cars. The recommendations, portions of the final rulemaking. FRA certifies that the final economic impacts to private cars rule may apply to some or all of these rule will not have a significant impact owners are expected to be minimal, railroads. on a substantial number of small however. Among the provisions entities. This final rule affects intercity applicable to private cars are daily C. Paperwork Reduction Act passenger and commuter railroads, mechanical inspection requirements; This rule contains information rapid transit operations that operate on brake inspection, testing, and collection requirements. FRA has
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Total annual Average time per Total annual burden Total annual CFR section Respondent universe responses response hours burden cost
216.14ÐSpecial notice for re- 19 railroads ...... 12 forms ...... 5 minutes ...... 1 hour ...... $39 pairsÐpassenger equipment. 238.1ÐEarlier applicationÐ 19 railroads ...... 15 notifications ...... 45 minutes ...... 11 hours ...... 429 rule requirementsÐsections 238.15, 238.17, 238.19, 238.107, 238.109. 238.7ÐWaivers ...... 19 railroads ...... 12 waivers ...... 2 hrs/25 hrs ...... 70 hours ...... 2,730 238.11ÐPenalties ...... 19 railroads ...... 1 falsified rept ...... 15 minutes ...... 25 hr...... 9 238.15ÐMovement of pas- 19 railroads ...... 1,000 cards/tags ...... 3 minutes ...... 50 hours ...... 2,500 senger equipment with power brake defects, and ÐMovement of passenger 19 railroads ...... 288 cards/tags ...... 3 minutes ...... 14 hours ...... 700 equipment with power brake defects develop en route. ÐConditional requirement 19 railroads ...... 144 notifications ...... 3 minutes ...... 7 hours ...... 350 238.17ÐMovement of pas- 19 railroads ...... 200 tags/cards ...... 3 minutes ...... 10 hours ...... 340 senger equipment with other than power brake defects. ÐMovement of passenger 19 railroads ...... 76 tags ...... 3 minutes ...... 4 hours ...... 136 equipment with safety appliance defects. 19 railroads ...... 38 notifications ...... 30 seconds ...... 19 min...... 11 238.19ÐReporting and track- 19 railroads ...... N/A ...... Usual and customary N/A ...... N/A ing defective passenger procedure. equipment. ÐList of power brake re- 1 railroad ...... 1 list ...... 2 hours ...... 2 hours ...... 78 pair points. ÐAmendments to list ...... 1 railroad ...... 1 update ...... 1 hour ...... 1 hour ...... 39 238.21/238.103/238.223(a)/ 238.309(2)/238.311(a)/ 238.405(a)/238.427(a): ÐPetitions for special ap- 19 railroads ...... 1 petition ...... 16 hours ...... 16 hours ...... 624 proval of alternative standard. ÐPetitions for special ap- 19 railroads ...... 1 petition ...... 120 hours ...... 120 hours ...... 4,680 proval of alternative compliance. ÐPetitions for special ap- 19 railroads ...... 1 petition ...... 24 hours ...... 24 hours ...... 936 proval of pre-revenue service acceptance test- ing plan. ÐComments on the peti- Unknown ...... 2 comments ...... 1 hour ...... 2 hours ...... 140 tions. 238.103ÐFire Safety: ÐPlan ...... 6 equipment manu- 2.4 eq. design (5 yr. 200 hours ...... 480 hours ...... 33,360 facturers. average). ÐSubsequent equipment 6 equipment manu- 2.4 eq. design (5 yr. 60 years ...... 144 hours ...... 14,400 orders. facturers. average). ÐPreliminary fire safety 19 railroads ...... 19 documents ...... 119 hours ...... 2,264 hours ...... 501,241 analysis. ÐFinal fire safety analysis 18 railroads ...... 6 documents (3 yr. 135 hours ...... 811 hours ...... 81,067 average). ÐFire safety analysis on 19 railroads ...... 1 document ...... 8 hours ...... 8 hours ...... 800 equipment transfer. ÐWritten proceduresÐfire 19 railroads ...... 19 written procedures 80 hours ...... 1,520 hours ...... 106,400 safety system and fire safety equipment. 238.105ÐTrain hardware and 197 railroads ...... N/A ...... Usual and customary N/A ...... N/A software safety. procedure. 238.107ÐInspection, testing, and maintenance plan: ÐPlan ...... 19 railroads ...... N/A ...... Usual and Customary N/A ...... N/A procedure. ÐAnnual plan review by 19 railroads ...... 19 reviews ...... 60 hours ...... 1,140 hours ...... 44,460 railroads. 238.109 Training, qualification, and designation program:
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Total annual Average time per Total annual burden Total annual CFR section Respondent universe responses response hours burden cost
ÐTraining employees to 17 railroads ...... N/A ...... Usual and customary N/A ...... N/A perform brake-related procedure. inspections, tests, or maintenance. ÐTraining employees to 19 railroads ...... 6,020 trained employ- 2 hours ...... 12,522 hours ...... 421,410 perform daily mechan- ees/241 instructors. ical inspections. ÐDevelopment of training 19 railroads ...... 19 programs ...... 520 hours ...... 9,880 hours ...... 360,620 program. ÐRecordkeeping ...... 19 railroads ...... 6,020 records ...... 3 minutes ...... 301 hours ...... 11,739 238.111ÐPre-revenue service 6 equipment manu- 2.4 plans (5 yr. aver- 16 hours ...... 38 hours ...... 2,641 acceptance testing planÐ facturers. age). equip. prev. in revenue serv- ice. ÐPass equip. that has not 6 equipment manu- 2.4 plans (5 yr. aver- 200 hours ...... 480 hours ...... 42,144 been in revenue service facturers. age). in U.S. ÐSubsequent equipment 6 equipment manu- 2.4 plans (5 yr. aver- 60 hours ...... 144 hours ...... 11,472 orders. facturers. age). ÐMajor upgrades/intro. 1 equipment manuf ... None likely ...... N/A ...... N/A ...... N/A new tech.ÐTier II. 238.201ÐAlternative compli- 19 railroads ...... Incl. in 238.21 ...... Inc. 238.21 ...... Incl. 238.21 ...... Incl. 238.21 ance. 238.203ÐStatic end strength: ÐGrandfathering non- 19 railroads ...... 1 petition ...... 300 hours ...... 300 hours ...... 21,000 compliant equip. ÐComment ...... Unkown ...... 6 comments ...... 20 hours ...... 120 hours ...... 8,400 238.211ÐCollision posts ...... 19 railroads ...... Incl. in 238.21 ...... Incl. 238.21 ...... Incl. 238.21 ...... Inc. 238.21 238.223ÐLocomotive fuel 19 railroads ...... Incl. in 238.21 ...... Incl. 238.21 ...... Incl. 238.21 ...... Inc 238.21 tanksÐalt. std. 238.231ÐBrake systemÐiden- 2 brake manu- N/A ...... N/A ...... Usual and cust...... N/A tified & marked. facturers. 238.237ÐAutomated moni- toring: ÐAlerter/Deadman con- 19 railroads ...... 19 documents ...... 2 hours ...... 38 hours ...... 1,482 trolÐdocumentation. ÐDefective alerter/ 19 railroads ...... 100 tags ...... 3 minutes ...... 5 hours ...... 250 Deadman control. 238.301ÐScopeÐrequire- 19 railroads ...... Incl. in 238.1 ...... Incl. in 238.1 ...... Incl. in 238.1 ...... Incl. 238.1 mentsÐearlier application. 238.303ÐExterior calendar N/A ...... N/A ...... Usual and customary N/A ...... N/A day mechanical inspection procedure. of passenger equipmentÐ door and cover plates guarding high voltage equip. ÐMU locomotives w/ in- 19 railroads ...... 50 tags/cards ...... 3 minutes ...... 3 hours ...... 150 operative dyn. brakes. ÐConventional locos. w/ 19 railroads ...... 50 tags/cards ...... 3 minutes ...... 3 hours ...... 150 inoper. dyn. brakes. ÐWritten noticeÐinoper- 19 railroads ...... 25 written not ...... 3 minutes ...... 1 hour ...... 34 ative dyn. brakes. ÐRecordsÐext. calendar 19 railroads ...... 2,022,436 recd ...... 1 minute ...... 33,707 hours ...... 1,146,038 day mech. insp. 238.305ÐInterior calendar day mechanical inspection of passenger cars: ÐStenciling or marking N/A ...... N/A ...... Usual and customary N/A ...... N/A emergency brake valve. procedure. ÐStenciling or marking N/A ...... N/A ...... Usual and customary N/A ...... N/A high voltage equipment. procedure. ÐTagging of defective 10 railroads ...... 600 tags ...... 1 minute ...... 10 hours ...... 340 doors. ÐSafety related signage .. N/A ...... N/A ...... Usual and customery N/A ...... N/A customery proce- dure. ÐRecords ...... 19 railroads ...... 1,866,904 recds ...... 1 minute ...... 31,115 hours ...... 1,057,910 238.307ÐPeriodic mechanical inspection of passenger cars: ÐWritten notificationÐalt. 5 railroads ...... 5 notifications ...... 5 hours ...... 25 hours ...... 975 periodic insp. int. ÐSwitchesÐmarkings ..... N/A ...... N/A ...... Usual and customary N/A ...... N/A procedure.
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Total annual Average time per Total annual burden Total annual CFR section Respondent universe responses response hours burden cost
ÐRecords ...... 6 railroads ...... 15 records ...... 3 minutes ...... 75 hours ...... 29 ÐDetailed documenta- 5 railroads ...... 5 documents ...... 100 hours ...... 500 hours ...... 19,500 tionÐalt. insp. interval. 238.309ÐAlternative mainte- 19 railroads ...... Incl. in 238.21 ...... Incl. in 238.21 ...... Incl. in 238.21 ...... Inc. 238.21 nance proc. ÐRecords of periodic N/A ...... N/A ...... Usual and customary N/A ...... N/A maintenance. procedure. 238.311ÐSingle car testÐalt. 19 railroads ...... Incl. in 238.21 ...... Incl. in 238.21 ...... Incl. in 238.21 ...... Inc.Ð238.21 procedure. ÐTagging to indicate 19 railroads ...... 25 tags ...... 3 minutes ...... 1 hour ...... 34 needÐsingle car test. 238.313ÐClass I brake test .... N/A ...... N/A ...... Usual and customary N/A ...... N/A procedure. ÐDocumentationÐtest al- ...... ready performed. ÐQualif. maint. Person.Ð ...... statement in cab. 238.315ÐClass IA brake test: ÐBrake pipe pressureÐ 19 railroads ...... 365,000 comm ...... 3 seconds ...... 304 hours ...... 10,336 communications. ÐCommunicating signal 19 tests ...... 365,000 tests ...... 15 seconds ...... 1,521 hours ...... 51,714 systemÐtests. 238.317ÐClass II Brake Test: ÐBrake pipe pressureÐ 19 railroads ...... 365,000 comm ...... 3 seconds ...... 304 hours ...... 10,336 communications. ÐCommunicating signal 19 railroads ...... 365,000 tests ...... 15 seconds ...... 1,521 hours ...... 51,714 systemÐtests. 238.403ÐCrash energy man- 1 railroad ...... 1 design ...... 120 hours ...... 120 hours ...... 12,000 agement requirements. 238.405ÐLongitudinal static 1 railroad ...... Incl. in 238.21 ...... Incl.Ð238.21 ...... Incl.Ð238.21 ...... Inc.Ð238.21 compressive. 238.421ÐGazing: ÐMarking of glazing ma- N/A ...... N/A ...... Usual and customary N/A ...... N/A terial. procedure. ÐStenciling requirement .. N/A ...... N/A ...... Usual and customary N/A ...... N/A procedure. 238.423ÐFuel tanksÐequiv. N/A ...... Incl. in 238.21 ...... Incl. in 238.21 ...... Incl. in 238.21 ...... Inc.Ð238.21 level of safety. 238.427ÐSuspension sys- N/A ...... Incl. in 238.21 ...... Incl. in 238.21 ...... Incl. in 238.21 ...... Incl.Ð temÐalt. stds. 238.445 ÐHunting oscillationsÐ 1 railroad ...... Incl. in 238.445 ...... Inc.Ð238.445 ...... Inc.Ð238.445 ...... In.Ð238.445 alarms to train oper. 238.431ÐBrake system ...... 1 railroad ...... 1 analysis ...... 40 hours ...... 40 hours ...... 1,560 ÐBrake system failures ... 1 railroad ...... Incl. 238.445 ...... Incl. 238.445 ...... Incl. 238.445 ...... In 238.445 ÐWheel slide alarms ...... 1 railroad ...... Incl. 238.445 ...... Incl. 238.445 ...... Incl. 238.445 ...... In 238.445 238.437ÐEmergency commu- 3 car manufacturers .. 3 instructions ...... 1 hour ...... 3 hours ...... 102 nication. 238.441ÐEmergency roof en- 3 car manufacturers .. 16 cars marked ...... 15 minutes ...... 4 hours ...... 136 trance location. ÐMarkings ...... 238.445ÐAutomated moni- 1 railroad ...... 200 alerts ...... 1 second ...... 3 minutes ...... 2 toring. ÐSelf test featureÐnotifi- 1 railroad ...... 6,300 notifications ..... 1 second ...... 2 hours ...... 68 cations to train operator. 238.447ÐTrain operator's con- N/A ...... N/A ...... Usual and customary N/A ...... N/A trols and power car cab lay- procedure. out. 238.503ÐInspection, testing, and maintenance require- ments: 238.505ÐProgram approval procedures: ÐSubmission of program 1 railroad ...... 1 program ...... 80 hours ...... 80 hours ...... 3,120 ÐAmendments to pro- 1 railroad ...... 1 amendment ...... 8 hours ...... 8 hours ...... 312 gram. ÐComments ...... 4 unions/individuals ... 4 comments ...... 1 hour ...... 4 hours ...... 276 ÐApproval ...... N/A ...... N/A ...... No disapprovals ex- N/A ...... N/A pected at this time. 238.603ÐSafety planing re- 1 railroad ...... 1 safety plan ...... 100 hours ...... 100 hours ...... 3,900 quirementsÐProcess to in- troduce new technology. Appendix B to Part 238Ðlabel- 5±6 seat manufactur- N/A ...... Usual customary pro- N/A ...... N/A ing requirement. ers. cedure.
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Total annual Average time per Total annual burden Total annual CFR section Respondent universe responses response hours burden cost
ÐSeat/Mattress assem- 5±6 manuf ...... Incl. 238.103 ...... Incl. 238.103 ...... Incl. 238.103 ...... In 238.103 bliesÐfire haz. analysis. ÐDisc. small partsÐfire 5±6 manuf ...... Incl. in 238.103 ...... Incl. 238.103 ...... Incl. 238.103 ...... In238.103 hazard analysis. ÐSurface any small 5±6 manuf ...... Incl. in 238.103 ...... Incl. 238.103 ...... Incl. 238.103 ...... In238.103 partÐfire haz. analysis. ÐSmall elastomers/misc. 5±6 manuf ...... Incl. in 238.103 ...... Incl. 238.103 ...... Incl. 238.103 ...... In238.103 partsÐfire haz. anal. ÐPortions vehicle bodyÐ 5±6 manuf ...... Incl. in 238.103 ...... Incl. 238.103 ...... Incl. 238.103 ...... In238.103 fire hazard analysis.
All estimates include the time for statute quoted above (49 U.S.C. 20133). as well as recordkeeping and tracking of reviewing instructions; searching Further, FRA has consulted with defective equipment requirements, existing data sources; gathering or commuter railroad authorities in would require use of the same resources maintaining the needed data; and developing this rule. railroads will apply toward resolving reviewing the information. For F. Compliance With the Unfunded Year 2000 computer problems. information or a copy of the paperwork Mandates Reform Act of 1995 However, FRA will not require that such package submitted to OMB contact Mr. implementation occur before July, 2000. Robert Brogan, Office of Safety, Pursuant to the Unfunded Mandates FRA will apply requirements for Planning and Evaluation Division, RRS– Reform Act of 1995 (Pub. L. 104–4) each inspection, testing, and maintenance of 21, Federal Railroad Administration, Federal agency ‘‘shall, unless otherwise equipment, and recordkeeping and 1120 Vermont Ave., N.W., Mail Stop 17, prohibited by law, assess the effects of tracking, at an earlier date only to those Washington, D.C. 20590 (telephone: Federal Regulatory actions on State, railroads that indicate a desire for this (202) 493–6292) or Ms. Dian Deal, Office local, and tribal governments, and the to occur. Because certain of the of Information Technology and private sector (other than to the extent requirements for inspection, testing, and Productivity Improvement, RAD–20, that such regulations incorporate maintenance offer railroads an Federal Railroad Administration, 1120 requirements specifically set forth in opportunity to achieve efficiencies and Vermont Ave., N.W., Mail Stop 35, law).’’ Sec. 201. Section 202 of the Act savings, some railroads may voluntarily Washington, D.C. 20590 (telephone: further requires that ‘‘before choose to have these requirements (202) 493–6133). promulgating any general notice of applied to them earlier. FRA notes that FRA cannot impose a penalty on proposed rulemaking that is likely to its implementation schedule for persons for violating information result in promulgation of any rule that inspection, testing, and maintenance collection requirements which do not includes any Federal mandate that may requirements, as well as recordkeeping display a current OMB control number, result in the expenditure by State, local, and tracking requirements, was also if required. The information collection and tribal governments, in the aggregate, developed taking into consideration the requirements contained in this rule have or by the private sector, of $100,000,000 time generally needed for railroads to been approved under OMB control or more (adjusted annually for inflation) develop maintenance programs and number 2130–0544. in any 1 year, and before promulgating implement training requirements as any final rule for which a general notice required by this rule. D. Environmental Impact of proposed rulemaking was published, FRA has evaluated these regulations the agency shall prepare a written XI. List of Subjects in accordance with its procedures for statement . . .’’ detailing the effect on 49 CFR Part 216 ensuring full consideration of the State, local and tribal governments and environmental impact of FRA actions, the private sector. The final rules issued Penalties, Railroad safety, Reporting as required by the National today will not result in the expenditure, and recordkeeping requirements, Environmental Policy Act (42 U.S.C. in the aggregate, of $100,000,000 or Special notice for repairs. 4321 et seq.), other environmental more in any one year, and thus statutes, Executive Orders, and DOT preparation of a statement was not 49 CFR Part 223 Order 5610.1c. This final rule meets the required. Glass and glass products, Glazing, criteria that establish this as a non-major Penalties, Railroad safety, Reporting and action for environmental purposes. G. Effects on the Year 2000 Computer Problem recordkeeping requirements. E. Federalism Implications This rule does not mandate business 49 CFR Part 229 This rule has been analyzed in process changes nor require accordance with the principles and modifications to computer systems that Locomotives, Penalties, Railroad criteria contained in Executive Order will detract from resources railroads safety, Reporting and recordkeeping 12612, and it has been determined that will apply toward addressing any requirements. the rule does not have sufficient possible Year 2000 computer problems. 49 CFR Part 231 federalism implications to warrant the Although business process changes and preparation of a Federalism Assessment. modifications to computer systems may Penalties, Railroad safety, Safety The fundamental policy decision occur as this rule is implemented, appliances. providing that Federal regulations railroads would only voluntarily make 49 CFR Part 232 should govern aspects of service such changes and modifications before provided by municipal and public the year 2000. Penalties, Power brakes, Railroad benefit corporations (or agencies) of Implementation of certain inspection, safety, Reporting and recordkeeping State governments is embodied in the testing, and maintenance requirements, requirements.
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49 CFR Part 238 6. Section 216.14 is added to read as Subpart BÐ[Amended] follows: Fire prevention, Incorporation by 8. In subpart B of part 216, the reference, Passenger equipment, § 216.14 Special notice for repairsÐ phrases ‘‘the FRA Regional Director for Penalties, Railroad safety, Reporting and passenger equipment. Railroad Safety’’, ‘‘the FRA Regional recordkeeping requirements. Director of Railroad Safety’’, ‘‘a Regional (a) When an FRA Motive Power and Director’’ and ‘‘the Regional Director’’ The Rule Equipment Inspector or a State are removed, and the phrase ‘‘the FRA Equipment Inspector determines that In consideration of the foregoing, Regional Administrator’’ is added in railroad passenger equipment is not in chapter II, subtitle B of title 49, Code of their place. Federal Regulations is amended as conformity with one or more of the follows: requirements of the FRA Passenger PART 223Ð[AMENDED] Equipment Safety Standards set forth in PART 216Ð[AMENDED] part 238 of this chapter and that it is 9. The authority citation for part 223 unsafe for further service, he or she will is revised to read as follows: 1. The authority citation for part 216 issue a written Special Notice to the is revised to read as follows: Authority: 49 U.S.C. 20102–03, 20133, railroad that the equipment is not in 20701–20702, 21301–02, 21304; 49 CFR Authority: 49 U.S.C. 20102–04, 20111, serviceable condition. The Special 1.49(c), (m). 20133, 20137–38, 20141, 20143, 20301–02, Notice describes the defect or defects 10. Section 223.8 is added to subpart 20701–02, 21301–02, 21304; 49 CFR 1.49(c), that cause the equipment to be in (m). B to read as follows: unserviceable condition. After receipt of 2. Section 216.1(a) is revised to read the Special Notice, the railroad shall § 223.8 Additional requirements for as follows: remove the equipment from service passenger equipment. until it is restored to serviceable In addition to the requirements § 216.1 Application. condition. The equipment may not be contained in this part, requirements for (a) This part applies, according to its deemed in serviceable condition until it emergency window exits and window terms, to each railroad that uses or complies with all applicable safety glazing on passenger equipment, operates— requirements of part 238 of this chapter. as defined in § 238.5 of this chapter, are (1) A railroad freight car subject to also found in part 238 of this chapter. part 215 of this chapter; (b) The railroad shall notify in writing (2) A locomotive subject to 49 U.S.C. the FRA Regional Administrator for the PART 229Ð[AMENDED] chapter 207 (49 U.S.C. 20701–03); or FRA region in which the Special Notice (3) Railroad passenger equipment was issued when the equipment is 11. The authority citation for part 229 subject to part 238 of this chapter. returned to service, specifying the is revised to read as follows: repairs completed. * * * * * Authority: 49 U.S.C. 20102–03, 20133, (c) Railroad passenger equipment 20137–38, 20143, 20701–03, 21301–02, § 216.3 [Amended] subject to a Special Notice may be 21304; 49 CFR 1.49(c), (m). 3. Section 216.3(b) is amended by moved from the place where it was 12. Section 229.3 is amended by removing the phrase ‘‘section 206 of the found to be unsafe for further service to revising paragraph (a) and adding new Federal Railroad Safety Act of 1970 (45 the nearest available point where the paragraphs (c), (d), and (e) to read as U.S.C. 435)’’ and adding in its place the equipment can be repaired, if such follows: phrase ‘‘49 U.S.C. 20105’’. movement is necessary to make the repairs. However, the movement is § 229.3 Applicability. § 216.5 [Amended] subject to the further restrictions of (a) Except as provided in paragraphs 4. Section 216.5(c) is amended by §§ 238.15 and 238.17 of this chapter. (b) through (e) of this section, this part adding after ‘‘216.13,’’: ‘‘216.14,’’. applies to all standard gage railroads. § 216.17 [Amended] (b) * * * § 216.13 [Amended] (c) Paragraphs (a) and (b) of § 229.125 5. The first sentence of § 216.13(a) is 7. Section 216.17(a) is amended as do not apply to Tier II passenger removed and a new sentence is added follows: equipment as defined in § 238.5 of this in its place to read as follows: ‘‘When a. By adding, after ‘‘216.13’’, chapter (i.e., passenger equipment an FRA Motive Power and Equipment ‘‘216.14,’’; operating at speeds exceeding 125 mph Inspector or State Equipment Inspector b. By adding, after the word but not exceeding 150 mph). determines a locomotive is not safe to ‘‘locomotive,’’ in the third sentence, the (d) On or after November 8, 1999, operate in the service to which it is put, phrase ‘‘railroad passenger equipment,’’; paragraphs (a)(1) and (b)(1) of § 229.141 whether by reason of nonconformity and do not apply to ‘‘passenger equipment’’ with the FRA Railroad Locomotive as defined in § 238.5 of this chapter, Safety Standards set forth in part 229 of c. By revising the fifth sentence to unless such equipment is excluded from this chapter or the FRA Railroad read as follows: the requirements of §§ 238.203 through Locomotive Inspection Regulations set ‘‘If upon reinspection, the railroad 238.219, and § 238.223 of this chapter forth in part 230 of this chapter or by freight car, locomotive, or passenger by operation of § 238.201(a)(2) of this reason of any other condition rendering equipment is found to be in serviceable chapter. the locomotive unsafe, he or she will condition, or the track is found to (e) Paragraphs (a)(2) through (a)(4), notify the railroad in writing that the comply with the requirements for the and (b)(2) through (b)(4) of § 229.141 do locomotive is not in serviceable class at which it was previously not apply to ‘‘passenger equipment’’ as condition.’’ operated by the railroad, the FRA defined in § 238.5 of this chapter that is 5a. The third sentence of § 216.13(a) Regional Administrator or his or her placed in service for the first time on or is amended by removing the phrase agent will immediately notify the after September 8, 2000, unless such ‘‘part 230’’ and adding in its place the railroad, whereupon the restrictions of equipment is excluded from the phrase ‘‘parts 229 and 230’’. the Special Notice cease to be effective.’’ requirements of §§ 238.203 through
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238.219, and § 238.223 of this chapter 238.5 Definitions. Subpart EÐSpecific Requirements for by operation of § 238.201(a)(2) of this 238.7 Waivers. Tier II Passenger Equipment chapter. 238.9 Responsibility for compliance. 238.11 Civil penalties. 238.401 Scope. PART 231Ð[AMENDED] 238.13 Preemptive effect. 238.403 Crash energy management. 238.15 Movement of passenger equipment 238.405 Longitudinal static compressive 13. The authority citation for part 231 with power brake defects. strength. is revised to read as follows: 238.17 Movement of passenger equipment 238.407 Anti-climbing mechanism. with other than power brake defects. 238.409 Forward end structures of power Authority: 49 U.S.C. 20102–03, 20131, 238.19 Reporting and tracking defective car cabs. 20301–03, 21301–02, 21304; 49 CFR 1.49(c), passenger equipment. 238.411 Rear end structures of power car (m). 238.21 Special approval procedure. cabs. 14. Section 231.0 is amended by 238.23 Information collection. 238.413 End structures of trailer cars. redesignating paragraphs (c) through (e) 238.415 Rollover strength. as paragraphs (d) through (f), Subpart BÐSafety Planning and 238.417 Side loads. General Requirements 238.419 Truck-to-car-body and truck respectively; by revising paragraph (a); component attachment. and by adding a new paragraph (c) to 238.101 Scope. 238.421 Glazing. read as follows: 238.103 Fire safety. 238.423 Fuel tanks. 238.105 Train hardware and software 238.425 Electrical system. § 231.0 Applicability and penalties. safety. 238.427 Suspension system. (a) Except as provided in paragraphs 238.107 Inspection, testing, and 238.429 Safety appliances. (b) and (c) of this section, this part maintenance plan. 238.431 Brake system. applies to all standard gage railroads. 238.109 Training, qualification, and 238.433 Draft system. (b) * * * designation program. 238.435 Interior fittings and surfaces. (c) Except for the provisions 238.111 Pre-revenue service acceptance 238.437 Emergency communication. testing plan. 238.439 Doors. governing uncoupling devices, this part 238.113 Emergency window exits. 238.441 Emergency roof entrance location. does not apply to Tier II passenger 238.115 Emergency lighting. 238.443 Headlights. equipment as defined in § 238.5 of this 238.117 Protection against personal injury. 238.445 Automated monitoring. chapter (i.e., passenger equipment 238.119 Rim-stamped straight-plate wheels. 238.447 Train operator’s controls and operating at speeds exceeding 125 mph power car cab layout. Subpart CÐSpecific Requirements for but not exceeding 150 mph). Subpart FÐInspection, Testing, and * * * * * Tier I Passenger Equipment Maintenance Requirements for Tier II Passenger Equipment PART 232Ð[AMENDED] 238.201 Scope/alternative compliance. 238.203 Static end strength. 238.501 Scope. 15. The authority citation for part 232 238.205 Anti-climbing mechanism. 238.503 Inspection, testing, and is revised to read as follows: 238.207 Link between coupling mechanism maintenance requirements. and car body. 238.505 Program approval procedure. Authority: 49 U.S.C. 20102–03, 20133, 238.209 Forward-facing end structure of Subpart GÐSpecific Safety Planning 20141, 20301–03, 20306, 21301–02, 21304; locomotives. Requirements for Tier II Passenger 49 CFR 1.49 (c), (m). 238.211 Collision posts. Equipment 16. Section 232.0 is amended by 238.213 Corner posts. 238.215 Rollover strength. 238.601 Scope. redesignating paragraphs (c) through (e) 238.217 Side structure. 238.603 Safety planning requirements. as paragraphs (d) through (f), 238.219 Truck-to-car-body attachment. respectively; by revising paragraph (a); Appendix A to Part 238—Schedule of Civil 238.221 Glazing. Penalties and by adding a new paragraph (c) to 238.223 Locomotive fuel tanks. read as follows: 238.225 Electrical system. Appendix B—Test Methods and 238.227 Suspension system. Performance Criteria for the Flammability § 232.0 Applicability and penalties. 238.229 Safety appliances. and Smoke Emission Characteristics of (a) Except as provided in paragraphs 238.231 Brake system. Materials Used in Passenger Cars and (b) and (c) of this section, this part 238.233 Interior fittings and surfaces. Locomotive Cabs 238.235 Doors. applies to all standard gage railroads. Appendix C to Part 238—Suspension System 238.237 Automated monitoring. (b) * * * Safety Performance Standards (c) Except for §§ 232.2 and 232.21 Subpart DÐInspection, Testing, and Appendix D to Part 238—Requirements for through 232.25, this part does not apply Maintenance Requirements for Tier I External Fuel Tanks on Tier I Locomotives to a ‘‘passenger train’’ or ‘‘passenger Passenger Equipment equipment’’ as defined in § 238.5 of this Appendix E to Part 238—General Principles chapter that is subject to the inspection 238.301 Scope. of Reliability-Based Maintenance Programs and testing requirements contained in 238.303 Exterior calendar day mechanical Authority: 49 U.S.C. 20103, 20107, 20133, part 238 of this chapter. inspection of passenger equipment. 20141, 20302–03, 20306, and 20701–02; 49 238.305 Interior calendar day mechanical CFR 1.49. * * * * * inspection of passenger cars. 17. Part 238 is added to read as 238.307 Periodic mechanical inspection of Subpart AÐGeneral follows: passenger cars and unpowered vehicles used in passenger trains. § 238.1 Purpose and scope. PART 238ÐPASSENGER EQUIPMENT 238.309 Periodic brake equipment (a) The purpose of this part is to SAFETY STANDARDS maintenance. 238.311 Single car test. prevent collisions, derailments, and Subpart AÐGeneral 238.313 Class I brake test. other occurrences involving railroad Sec. 238.315 Class IA brake test. passenger equipment that cause injury 238.1 Purpose and scope. 238.317 Class II brake test. or death to railroad employees, railroad 238.3 Applicability. 238.319 Running brake test. passengers, or the general public; and to
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This part does not transportation; Brake, effective means a brake that is restrict a railroad from adopting and (3) Tourist, scenic, historic, or capable of producing its required design enforcing additional or more stringent excursion operations, whether on or off retarding force on the train. A rail car’s requirements not inconsistent with this the general railroad system of air brake is not considered effective if its part. transportation; or piston travel is in excess of the (c) Railroads to which this part (4) Circus trains. maximum prescribed limits. applies shall be responsible for § 238.5 Definitions. Brake indicator means a device, compliance with all of the requirements As used in this part— actuated by brake cylinder pressure, contained in §§ 238.15, 238.17, 238.19, AAR means the Association of which indicates whether brakes are 238.107, 238.109, and subpart D of this American Railroads. applied or released. part effective July 12, 2001. APTA means the American Public Brake, inoperative means a primary (1) A railroad may request earlier Transit Association. brake that, for any reason, no longer application of the requirements Administrator means the applies or releases as intended or is contained in §§ 238.15, 238.17, 238.19, Administrator of the Federal Railroad otherwise ineffective. 238.107, 238.109, and subpart D upon Administration or the Administrator’s Brake, on-tread friction means a written notification to FRA’s Associate delegate. braking system that uses a brake shoe Administrator for Safety. Such a request Alerter means a device or system that acts on the tread of the wheel to shall indicate the railroad’s readiness installed in the locomotive cab to retard the vehicle. and ability to comply with all of the promote continuous, active locomotive Brake, parking or hand brake means a provisions referenced in paragraph (c) engineer attentiveness by monitoring brake that can be applied and released introductory text of this section. select locomotive engineer-induced by hand to prevent movement of a (2) Except for paragraphs (b) and (c) control activities. If fluctuation of a stationary rail car or locomotive. of § 238.309, a railroad may specifically monitored locomotive engineer-induced Brake pipe means the system of request earlier application of the control activity is not detected within a piping (including branch pipes, angle maintenance and testing provisions predetermined time, a sequence of cocks, cutout cocks, dirt collectors, contained in §§ 238.309 and 238.311 audible and visual alarms is activated so hoses, and hose couplings) used for simultaneously. In order to request as to progressively prompt a response by connecting locomotives and all rail cars earlier application of these two sections, the locomotive engineer. Failure by the for the passage of air to control the the railroad shall indicate its readiness locomotive engineer to institute a locomotive and car brakes. and ability to comply with all of the change of state in a monitored control, Brake, power means ‘‘air brake’’ as provisions contained in both of those or acknowledge the alerter alarm that term is defined in this section. sections. activity through a manual reset Brake, primary means those (3) Paragraphs (b) and (c) of § 238.309 provision, results in a penalty brake components of the train brake system shall apply beginning September 9, application that brings the locomotive necessary to stop the train within the 1999. or train to a stop. signal spacing distance without thermal Anti-climbing mechanism means the damage to friction braking surfaces. § 238.3 Applicability. parts at the ends of adjoining vehicles Brake, secondary means those (a) Except as provided in paragraph in a train that are designed to engage components of the train brake system (c) of this section, this part applies to when subjected to large buff loads to which develop supplemental brake all: prevent the override of one vehicle by retarding force that is not needed to stop (1) Railroads that operate intercity or another. the train within signal spacing distances Bind means restrict the intended commuter passenger train service on or to prevent thermal damage to friction movement of one or more brake system standard gage track which is part of the braking surfaces. components by obstruction, increased general railroad system of friction, or reduced clearance. Brake shoes or pads aligned with transportation; and Block of cars means one car or tread or disc means that the surface of (2) Railroads that provide commuter multiple cars in a solid unit coupled the brake shoe or pad, respectively, or other short-haul rail passenger train together for the purpose of being added engages the surface of the wheel tread service in a metropolitan or suburban to, or removed from, a train as a solid or disc, respectively, to prevent area as described by 49 U.S.C. 20102(1), unit. localized thermal stress. including public authorities operating Brake, air or power brake means a Braking system, blended means a passenger train service. combination of devices operated by braking system where the primary brake (b) Railroads that permit to be used or compressed air, arranged in a system, and one or more secondary brakes are hauled on their lines passenger and controlled manually, electrically, or automatically combined to stop the equipment subject to this part, in pneumatically, by means of which the train. If the secondary brakes are violation of a power brake provision of motion of a rail car or locomotive is unavailable, the blended brake uses the this part or a safety appliance provision retarded or arrested. primary brake alone to stop the train. of this part, are subject to the power Brake, disc means a retardation Calendar day means a time period brake and safety appliance provisions of system used on some rail vehicles, running from one midnight to the next this part with respect to such primarily passenger equipment, that midnight on a given date. operations. utilizes flat metal discs as the braking Class I brake test means a complete (c) This part does not apply to: surface instead of the wheel tread. passenger train brake system test and (1) Rapid transit operations in an Brake, dynamic means a train braking inspection (as further specified in urban area that are not connected to the system whereby the kinetic energy of a § 238.313) performed by a qualified
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00123 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 25662 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations maintenance person to ensure that the crewmembers stationed in the frame and supported by the roof rails (or air brake system is 100 percent effective. locomotive cab during a collision. anti-telescoping plate), or to both. Class IA brake test means a test and Crewmember means a railroad Full service application means a brake inspection (as further specified in employee called to perform service application which results in a brake § 238.315) performed by a qualified covered by the Federal hours of service cylinder pressure at the service limiting person of the air brake system on each laws at 49 U.S.C. 21103 and subject to valve setting or equivalent. car in a passenger train to ensure that the railroad’s operating rules and Glazing, end-facing means a glazing the brakes apply and release on each car program of operational tests and panel located where a line in the train in response to train line inspections required in § 217.9 and perpendicular to the exterior surface of commands. § 217.11 of this chapter. the panel makes an angle of 50 degrees Class II brake test means a test and Critical buckling stress means the or less with the longitudinal center line inspection (as further specified in minimum stress necessary to initiate of the rail vehicle in which the panel is § 238.317) performed by a qualified buckling of a structural member. installed. A glazing panel that curves so person of brake pipe integrity and Emergency brake application means as to meet the definition for both side- continuity from the controlling an irretrievable brake application facing and end-facing glazing is locomotive to the rear unit of a resulting in the maximum retarding considered end-facing glazing. passenger train. force available from the train brake Glazing, exterior means a glazing Collision posts means structural system. panel that is an integral part of the members of the end structures of a Emergency window means that exterior skin of a rail vehicle and has a vehicle that extend vertically from the segment of a side-facing glazing panel surface exposed to the outside underframe to which they are securely which has been designed to permit environment. attached and that provide protection to rapid and easy removal in an emergency Glazing, side-facing means a glazing occupied compartments from an object situation. panel located where a line penetrating the vehicle during a End structure means the main support perpendicular to the exterior surface of collision. structure projecting upward from the the panel makes an angle of more than Control valves means that part of the underframe of a locomotive, passenger 50 degrees with the longitudinal center air brake equipment on each rail car or car, or other rail vehicle. The end line of the rail vehicle in which the locomotive that controls the charging, structure is securely attached to the panel is installed. application, and release of the air underframe at each end of a rail vehicle. Handrails means safety appliances brakes, in response to train line 50th -percentile adult male means a installed on either side of a rail vehicle’s commands. person weighing 164 pounds (plus or exterior doors to assist passengers and Corner posts means structural minus 3 pounds) and possessing the crewmembers to safely board and depart members located at the intersection of following dimensions: erect sitting the vehicle. the front or rear surface with the side height: 35.7 inches (plus or minus 0.1 Head end power means power surface of a rail vehicle and which inch); hip breadth (sitting): 14.7 inches generated on board the locomotive of a extend vertically from the underframe to (plus or minus 0.7 inch); hip passenger train used for purposes other the roof. Corner posts may be combined circumference (sitting): 42 inches; waist than propelling the train, such as with collision posts to become part of circumference (sitting): 32 inches (plus cooking, heating, illumination, the end structure. or minus 0.6 inch); chest depth: 9.3 ventilation and air conditioning. Crack means a fracture without inches (plus or minus 0.2 inch); and In passenger service/in revenue complete separation into parts, except chest circumference: 37.4 inches (plus service means a train or passenger that, in a casting, a shrinkage crack or or minus 0.6 inch). equipment that is carrying, or available hot tear that does not significantly Foul means restrict the intended to carry, passengers. Passengers need diminish the strength of the member is movement of one or more brake system not have paid a fare in order for the not a crack. components because the component is equipment to be considered in Crash energy management means an snagged, entangled, or twisted. passenger or in revenue service. approach to the design of rail passenger FRA means the Federal Railroad In service, when used in connection equipment which controls the Administration. with passenger equipment, means: dissipation of energy during a collision Fuel tank, external means a fuel (1) Passenger equipment subject to to protect the occupied volumes from containment volume that extends this part that is in passenger or revenue crushing and to limit the decelerations outside the car body structure of a service; and on passengers and crewmembers in locomotive. (2) All other passenger equipment those volumes. This may be Fuel tank, internal means a fuel subject to this part, unless the passenger accomplished by designing energy- containment volume that does not equipment: absorbing structures of low strength in extend outside the car body structure of (i) Is being handled in accordance the unoccupied volumes of a rail a locomotive. with §§ 238.15, 238.17, 238.305(c)(5), or vehicle or passenger train to collapse in Full-height collision post, corner post, 238.503(f), as applicable; a controlled manner, while providing or side frame post means any vertical (ii) Is in a repair shop or on a repair higher structural strength in the framing member in the rail car body track; occupied volumes. Energy deflection structure that spans the distance (iii) Is on a storage track and is not can also be part of a crash energy between the underframe and the roof at carrying passengers; or management approach. Crash energy the car body section where the post is (iv) Has been delivered in interchange management can be used to help located. For collision posts located at but has not been accepted by the provide anti-climbing resistance and to the approximate third points laterally of receiving railroad. reduce the risk of train buckling during an end frame, the term ‘‘full-height’’ Interior fitting means any component a collision. applies to posts that extend and connect in the passenger compartment which is Crash refuge means a volume with to supporting structural members in the mounted to the floor, ceiling, sidewalls, structural strength designed to roof at the location of the posts, or to a or end walls and projects into the maximize the survivability of beam connected to the top of the end- passenger compartment more than 25
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(iv) A locomotive not intended to rail equipment, other than hi-rail, Mph means miles per hour. provide transportation for a member of specialized maintenance, or other 95th -percentile adult male means, the general public that is used to power similar equipment, which may consist except as used in § 238.447(f)(2), a a passenger train, and of one or more units operated from a person weighing 215 pounds and (v) Any non-self-propelled vehicle single control stand with one or more possessing the following dimensions: used in a passenger train, including an propelling motors designed for moving erect sitting height: 38 inches; hip express car, baggage car, mail car, other passenger equipment; with one or breadth (sitting): 16.5 inches; hip freight car, or a private car. more propelling motors designed to circumference (sitting): 47.2 inches; (2) In the context of articulated transport freight or passenger traffic, or waist circumference (sitting): 42.5 equipment, ‘‘passenger equipment’’ both; or without propelling motors but inches; chest depth: 10.5 inches; and means a segment of rail rolling with one or more control stands. This chest circumference 44.5 inches. equipment located between two trucks term does not include a locomotive Occupied volume means the volume that is used in a train with one or more propelled by steam power unless it is of a rail vehicle or passenger train where passenger cars. This term does not used to haul an intercity or commuter passengers or crewmembers are include a freight locomotive when used passenger train. Nor does this term normally located during service to haul a passenger train due to failure include a freight locomotive when used operation, such as the operating cab and of a passenger locomotive. to haul a passenger train due to failure passenger seating and sleeping areas. Passenger station means a location of a passenger locomotive. The entire width of a vehicle’s end designated in a railroad’s timetable Locomotive cab means the compartment that contains a control where passengers are regularly compartment or space on board a stand is an occupied volume. A scheduled to get on or off any train. locomotive where the control stand is vestibule is typically not considered Permanent deformation means the located and which is normally occupied occupied, except when it contains a undergoing of a permanent change in by the engineer when the locomotive is control stand for use as a control cab. shape of a structural member of a rail operated. Ordered, as applied to acquisition of vehicle. Locomotive, cab car means rail rolling equipment, means that the acquiring Person means an entity of any type equipment intended to provide entity has given a notice to proceed to covered under 1 U.S.C. 1, including but transportation for members of the manufacture the equipment that not limited to the following: a railroad; general public that is without propelling represents a firm financial commitment a manager, supervisor, official, or other motors but equipped with one or more to compensate the manufacturer for the employee or agent of a railroad; any control stands. contract price of the equipment or for owner, manufacturer, lessor, or lessee of Locomotive, controlling means the damages if the order is nullified. railroad equipment, track, or facilities; locomotive from which the locomotive Equipment is not ordered if future any independent contractor providing engineer exercises control over the train. exercise of a contract option is required goods or services to a railroad; and any Locomotive, MU means rail rolling to place the remanufacturing process in employee of such owner, manufacturer, equipment self-propelled by any power motion. lessor, lessee, or independent source and intended to provide Override means to climb over the contractor. transportation for members of the normal coupling or side buffers and Piston travel means the amount of general public; however, this term does linking mechanism and impact the end linear movement of the air brake hollow not include an MU locomotive of the adjoining rail vehicle or unit rod (or equivalent) or piston rod when propelled by steam power unless it is above the underframe. forced outward by movement of the used to haul an intercity or commuter Passenger car means rail rolling piston in the brake cylinder or actuator passenger train. equipment intended to provide and limited by the brake shoes being Longitudinal means in a direction transportation for members of the forced against the wheel or disc. parallel to the normal direction of general public and includes a self- Power car means a rail vehicle that travel. propelled car designed to carry propels a Tier II passenger train or is the Luminescent material means material passengers, baggage, mail, or express. lead vehicle in a Tier II passenger train, that absorbs light energy when ambient This term includes a passenger coach, or both. levels of light are high and emits this cab car, and an MU locomotive. In the Pre-revenue service acceptance testing stored energy when ambient levels of context of articulated equipment, plan means a document, as further light are low, making the material ‘‘passenger car’’ means that segment of specified in § 238.111, prepared by a appear to glow in the dark. the rail rolling equipment located railroad that explains in detail how pre- L/V ratio means the ratio of the lateral between two trucks. This term does not revenue service tests of passenger force that any wheel exerts on an include a private car. equipment demonstrate that the individual rail to the vertical force Passenger coach means rail rolling equipment meets Federal safety exerted by the same wheel on the rail. equipment intended to provide standards and the railroad’s own safety MIL–STD–882C means a military transportation for members of the requirements. standard issued by the United States general public that is without propelling Primary responsibility means the task Department of Defense to provide motors and without a control stand. that a person performs at least 50 uniform requirements for developing Passenger equipment—means percent of the time. The totality of the and implementing a system safety plan (1) All powered and unpowered circumstances will be considered on a and program to identify and then passenger cars, locomotives used to haul case-by-case basis in circumstances
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00125 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 25664 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations where an individual does not spend 50 without regard to whether those systems Coupling and uncoupling of each semi- percent of his or her day engaged in any use new technologies not associated permanently coupled unit in a train can one readily identifiable type of activity. with traditional railroads; but does not be performed safely only while at a Private car means rail rolling include rapid transit operations in an maintenance or shop location where equipment that is used only for urban area that are not connected to the personnel can safely get under a unit or excursion, recreational, or private general railroad system of between units. transportation purposes. A private car is transportation. Shear strength means the ability of a not a passenger car. Refresher training means periodic structural member to resist forces or Public highway-rail grade crossing retraining required by a railroad for components of forces acting means a location where a public employees or contractors to remain perpendicular to compression or tension highway, road or street, including qualified to perform specific equipment forces, or both, in the member. associated sidewalks or pathways, inspection, testing, or maintenance Shock absorbent material means crosses one or more active railroad functions. material designed to prevent or mitigate tracks at grade. Repair point means a location injuries due to impact by yielding and Qualified maintenance person means designated by a railroad where repairs absorbing much of the energy of impact. a qualified person who has received, as of the type necessary occur on a regular Side posts means main vertical a part of the training, qualification, and basis. A repair point has, or should structural elements in the sides of a rail designation program required under have, the facilities, tools, and personnel vehicle. § 238.109, instruction and training that qualified to make the necessary repairs. includes ‘‘hands-on’’ experience (under A repair point need not be staffed Side sill means that portion of the appropriate supervision or continuously. underframe or side at the bottom of the apprenticeship) in one or more of the Respond as intended means to rail vehicle side wall. following functions: troubleshooting, produce the result that a device or Single car test means a inspection, testing, maintenance, or system is designed to produce. comprehensive test (as further specified repair of the specific train brake and Rollover strength means the strength in § 238.311) of the functioning of all other components and systems for provided to protect the structural critical brake system components which the person is assigned integrity of a rail vehicle in the event installed on an individual passenger car responsibility. This person shall also the vehicle leaves the track and impacts or unpowered vehicle, other than a self- possess a current understanding of what the ground on its side or roof. propelled passenger car, used or is required to properly repair and Roof rail means the longitudinal allowed to be used in a passenger train. maintain the safety-critical brake or structural member at the intersection of Single car test device means a device mechanical components for which the the side wall and the roof sheathing. capable of controlling the application person is assigned responsibility. Running brake test means a test (as and release of the brakes on an Further, the qualified maintenance further specified in § 238.319) individual passenger car or an person shall be a person whose primary performed by a qualified person of a unpowered vehicle, other than a self- responsibility includes work generally train system or component while the propelled passenger car, through consistent with the above-referenced train is in motion to verify that the pneumatic or electrical means. functions and is designated to: system or component functions as Skin means the outer covering of a (1) Conduct Class I brake tests under intended. fuel tank and a rail vehicle. The skin this part; Running gear defect means any may be covered with another coating of (2) Conduct exterior calendar day condition not in compliance with this material such as fiberglass. mechanical inspections on MU part which involves a truck component, Spall, glazing means small pieces of locomotives or other passenger cars and a propulsion system component, a draft glazing that fly off the back surface of unpowered vehicles under this part; or system component, a wheel, or a wheel the glazing when an object strikes the (3) Determine whether equipment not component. front surface. Safety appliance means an appliance in compliance with this part may be Switching service means the required under 49 U.S.C. chapter 203, moved as required by § 238.17. classification of freight cars according to Qualified person means a person excluding power brakes. The term commodity or destination; assembling determined by a railroad to have the includes automatic couplers, hand of cars for train movements; changing knowledge and skills necessary to brakes, sill steps, handholds, handrails, the position of cars for purposes of perform one or more functions required or ladder treads made of steel or a loading, unloading, or weighing; placing under this part. The railroad determines material of equal or greater mechanical of locomotives and cars for repair or the qualifications and competencies for strength used by the traveling public or storage; or moving of rail equipment in employees designated to perform railroad employees that provide a means connection with work service that does various functions in the manner set for safely coupling, uncoupling, or not constitute a train movement. forth in this part. ascending or descending passenger Railroad means any form of equipment. Telescope means override an nonhighway ground transportation that Safety-critical means a component, adjoining rail vehicle or unit and runs on rails or electromagnetic system, or task that, if not available, penetrate into the interior of that guideways and any entity providing defective, not functioning, not adjoining vehicle or unit because of such transportation, including— functioning correctly, not performed, or compressive forces. (i) Commuter or other short-haul not performed correctly, increases the Terminal means a starting point or railroad passenger service in a risk of damage to passenger equipment ending point of a single scheduled trip metropolitan or suburban area and or injury to a passenger, crewmember, for a train, where passengers may get on commuter railroad service that was or other person. or off a train. Normally, this location is operated by the Consolidated Rail Semi-permanently coupled means a point where the train would reverse Corporation on January 1, 1979; and coupled by means of a drawbar or other direction or change destinations. (ii) High speed ground transportation coupling mechanism that requires tools Tier I means operating at speeds not systems that connect metropolitan areas, to perform the uncoupling operation. exceeding 125 mph.
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Tier II means operating at speeds Ultimate strength means the load at § 238.9 Responsibility for compliance. exceeding 125 mph but not exceeding which a structural member fractures or (a) A railroad subject to this part shall 150 mph. ceases to resist any load. not— Tourist, scenic, historic, or excursion Uncoupling mechanism means the (1) Use, haul, permit to be used or operations means railroad operations arrangement for operating the coupler hauled on its line, offer in interchange, that carry passengers, often using by any means. or accept in interchange any train or antiquated equipment, with the Underframe means the lower passenger equipment, while in service, conveyance of the passengers to a horizontal support structure of a rail (i) That has one or more conditions particular destination not being the vehicle. not in compliance with a safety principal purpose. Unit means passenger equipment of appliance or power brake provision of Trailer car means a rail vehicle that any type, except a freight locomotive this part; or (ii) That has not been inspected and neither propels a Tier II passenger train when used to haul a passenger train due tested as required by a safety appliance nor is the leading unit in a Tier II to failure of a passenger locomotive. passenger train. A trailer car is normally or power brake provision of this part; or Unoccupied volume means the (2) Use, haul, offer in interchange, or without a control stand and is normally volume of a rail vehicle or passenger accept in interchange any train or occupied by passengers. train which does not contain seating passenger equipment, while in service, Train means a locomotive unit or and is not normally occupied by (i) That has one or more conditions locomotive units coupled, with or passengers or crewmembers. not in compliance with a provision of without cars. For the purposes of the Vehicle, rail means passenger this part, other than the safety appliance provisions of this part related to power equipment of any type and includes a and power brake provisions of this part, brakes, the term ‘‘train’’ does not car, trailer car, locomotive, power car, if the railroad has actual knowledge of include such equipment when being tender, or similar vehicle. This term the facts giving rise to the violation, or used in switching service. does not include a freight locomotive a reasonable person acting in the Train brake communication line when used to haul a passenger train due circumstances and exercising reasonable means the communication link between to failure of a passenger locomotive. care would have that knowledge; or the locomotive and passenger Vestibule means an area of a (ii) That has not been inspected and equipment in a train by which the brake passenger car that normally does not tested as required by a provision of this commands are transmitted. This may be contain seating and is used in passing part, other than the safety appliance and a pneumatic pipe, electrical line, or from the seating area to the side exit power brake provisions of this part, if radio signal. doors. the railroad has actual knowledge of the Train, commuter means a passenger Witness plate means a thin foil placed facts giving rise to the violation, or a train providing commuter service behind a piece of glazing undergoing an reasonable person acting in the within an urban, suburban, or impact test. Any material spalled or circumstances and exercising reasonable metropolitan area. The term includes a broken from the back side of the glazing care would have that knowledge; or passenger train provided by an will dent or mark the witness plate. (3) Violate any other provision of this instrumentality of a State or a political Yard means a system of tracks within part. subdivision of a State. defined limits provided for the making (b) For purposes of this part, Train, long-distance intercity up of trains, storing of cars, or other passenger equipment will be considered passenger means a passenger train that purposes. in use prior to departure but after it has received, or should have received, the provides service between large cities Yard air test means a train brake inspection required under this part for more than 125 miles apart and is not system test conducted using a source of movement and is deemed ready for operated exclusively in the National compressed air other than a locomotive. passenger service. Railroad Passenger Corporation’s Yield strength means the ability of a Northeast Corridor. (c) Although the duties imposed by structural member to resist a change in this part are generally stated in terms of Train, passenger means a train that length caused by a heavy load. transports or is available to transport the duty of a railroad, any person as Exceeding the yield strength may cause defined in § 238.5, including a members of the general public. If a train permanent deformation of the member. is composed of a mixture of passenger contractor for a railroad, who performs and freight equipment, that train is a § 238.7 Waivers. any function covered by this part must perform that function in accordance passenger train for purposes of this part. (a) A person subject to a requirement with this part. Train, short-distance intercity of this part may petition the passenger means a passenger train that Administrator for a waiver of § 238.11 Penalties. provides service exclusively on the compliance with such requirement. The (a) Any person, as defined in § 238.5, National Railroad Passenger filing of such a petition does not affect who violates any requirement of this Corporation’s Northeast Corridor or the person’s responsibility for part or causes the violation of any such between cities that are not more than compliance with that requirement while requirement is subject to a civil penalty 125 miles apart. the petition is being considered. of at least $500 and not more than Train, Tier II passenger means a short- (b) Each petition for waiver under this $11,000 per violation, except that: distance or long-distance intercity section shall be filed in the manner and Penalties may be assessed against passenger train providing service at contain the information required by part individuals only for willful violations, speeds that include those exceeding 125 211 of this chapter. and, where a grossly negligent violation mph but not exceeding 150 mph. (c) If the Administrator finds that a or a pattern of repeated violations has Trainset, passenger means a waiver of compliance is in the public created an imminent hazard of death or passenger train. interest and is consistent with railroad injury to persons, or has caused death Transverse means in a direction safety, the Administrator may grant the or injury, a penalty not to exceed perpendicular to the normal direction of waiver subject to any conditions the $22,000 per violation may be assessed. travel. Administrator deems necessary. Each day a violation continues shall
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00127 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 25666 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations constitute a separate offense. See (1) If all of the following conditions in paragraph (c)(2) of this section may Appendix A to this part for a statement are met: be reviewed and monitored by FRA at of agency civil penalty policy. (i) The train is moved for purposes of any time to ensure the integrity of the (b) Any person who knowingly and repair, without passengers; system. FRA’s Associate Administrator willfully falsifies a record or report (ii) The applicable operating for Safety may prohibit or revoke a required by this part may be subject to restrictions in paragraphs (d) and (e) of railroad’s ability to utilize an automated criminal penalties under 49 U.S.C. this section are observed; and tracking system in lieu of tagging if FRA 21311. (iii) The passenger equipment is finds that the automated tracking system tagged, or information is recorded, as is not properly secure, is inaccessible to § 238.13 Preemptive effect. prescribed in paragraph (c)(2) of this FRA or a railroad’s employees, or fails Under 49 U.S.C. 20106, issuance of section; or to adequately track or monitor the the regulations in this part preempts any (2) If the train is moved for purposes movement of defective equipment. Such State law, regulation, or order covering of scrapping or sale of the passenger a determination will be made in writing the same subject matter, except an equipment that has the power brake and will state the basis for such action. additional or more stringent law, defect and all of the following (4) Conditional requirement. In regulation, or order that is necessary to conditions are met: addition, if an en route failure causes eliminate or reduce an essentially local (i) The train is moved without power brakes to be cut out or renders safety hazard; that is not incompatible passengers; the brake inoperative on passenger with a law, regulation, or order of the (ii) The movement is at a speed of 15 equipment, the railroad shall: United States Government; and that mph or less; and (i) Determine the percentage of does not unreasonably burden interstate (iii) The movement conforms with the operative power brakes in the train commerce. railroad’s air brake or power brake based on the number of brakes known instructions. to be cut out or otherwise inoperative, § 238.15 Movement of passenger (c) Limitations on movement of equipment with power brake defects. using the formula specified in paragraph passenger equipment in passenger (d)(1) of this section; Beginning July 12, 2001 the following service that becomes defective en route (ii) Notify the person responsible for provisions of this section apply to after a Class I or IA brake test. Passenger the movement of trains of the percent of railroads operating Tier I passenger equipment hauled or used in service in operative brakes and movement equipment covered by this part. A a commuter or passenger train that restrictions on the train imposed by railroad may request earlier application develops a power brake defect while en paragraph (d) of this section; of these requirements upon written route to another location after receiving (iii) Notify the mechanical department notification to FRA’s Associate a Class I or IA brake test (or, for Tier II of the failure; and Administrator for Safety as provided in trains, the equivalent) may be hauled or (iv) Confirm the percentage of § 238.1(c) of this part. used by a railroad for repair, without operative brakes by a walking (a) General. This section contains the civil penalty liability under this part, if inspection at the next location where requirements for moving passenger the applicable operating restrictions set the railroad reasonably judges that it is equipment with a power brake defect forth in paragraphs (d) and (e) of this safe to do so. without liability for a civil penalty section are complied with and all of the (d) Operating restrictions based on under this part. Railroads remain liable following requisites are satisfied: for the movement of passenger (1) En route defect. At the time of the percent operative power brakes in train. equipment under 49 U.S.C. 20303(c). train’s Class I or IA brake test, the (1) Computation of percent operative For purposes of this section, § 238.17, passenger equipment in the train was power brakes. and § 238.503, a ‘‘power brake defect’’ is properly equipped with power brakes (i) Except as specified in paragraphs a condition of a power brake that comply with this part. The power (d)(1)(ii) and (iii) of this section, the component, or other primary brake brakes on the passenger equipment percentage of operative power brakes in component, that does not conform with become defective while it is en route to a train shall be determined by dividing this part. (Passenger cars and other another location. the number of axles in the train with passenger equipment classified as (2) Record. At the place where the operative power brakes by the total locomotives under part 229 of this railroad first discovers the defect, a tag number of axles in the train. chapter are also covered by the or card is placed on both sides of the (ii) For equipment with tread brake movement restrictions contained in defective passenger equipment, or an units (TBUs), the percentage of § 229.9 of this chapter for those automated tracking system is provided, operative power brakes shall be defective conditions covered by part 229 with the following information about determined by dividing the number of of this chapter.) the defective passenger equipment: operative TBUs by the total number of (b) Limitations on movement of (i) The reporting mark and car or TBUs. passenger equipment containing a locomotive number; (iii) Each cut-out axle on a locomotive power brake defect found during a Class (ii) The name of the inspecting that weighs more than 200,000 pounds I or IA brake test. Except as provided in railroad; shall be counted as two cut-out axles for paragraph (c) of this section (which (iii) The name of the inspector; the purposes of calculating the addresses brakes that become defective (iv) The inspection location and date; percentage of operative brakes. Unless en route after a Class I or IA brake test (v) The nature of each defect; otherwise specified by the railroad, the was performed), a commuter or (vi) The destination of the equipment friction braking effort over all other passenger train that has in its consist where it will be repaired; and axles shall be considered uniform. passenger equipment containing a (vii) The signature, if possible, and job (iv) The following brake conditions power brake defect found during a Class title of the person reporting the not in compliance with this part are not I or IA brake test (or, for Tier II trains, defective condition. considered inoperative power brakes for the equivalent) may only be moved, (3) Automated tracking system. purposes of this section: without civil penalty liability under this Automated tracking systems used to (A) Failure or cutting out of secondary part— meet the tagging requirements contained brake systems;
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(B) Inoperative or otherwise defective repairs can be made; however, if the location in service only to the next handbrakes or parking brakes; next forward location where the forward passenger station in order to (C) Excessive piston travel that does necessary repairs can be made does not facilitate the unloading of passengers; not render the power brakes ineffective; have the facilities to handle the safe and and unloading of passengers, the train may (B) After all passengers are (D) Power brakes overdue for be moved past the repair location in discharged, the defective equipment inspection, testing, maintenance, or service only to the next forward shall be moved to the nearest location stenciling under this part. passenger station in order to facilitate where the necessary repairs can be (2) All passenger trains developing the unloading of passengers; and made. 50–74 percent operative power brakes. (B) After all passengers are (e) Operating restrictions on A passenger train that develops discharged, the defective equipment passenger trains with inoperative power inoperative power brake equipment shall be moved to the nearest location brakes on the front or rear unit. If the resulting in at least 50 percent but less where the necessary repairs can be power brakes on the front or rear unit than 75 percent operative power brakes made. in any passenger train are completely may be used only as follows: (4) Long-distance intercity and long- inoperative the following shall apply: (i) The train may be moved in distance Tier II passenger trains (1) If the handbrake is located inside passenger service only to the next developing 75–99 operative power the interior of the car: forward passenger station; brakes. (i) A qualified person shall be (ii) The speed of the train shall be (i) 75–84 percent operative brakes. stationed at the handbrake on the unit; restricted to 20 mph or less; and Long-distance intercity and long- (ii) The car shall be locked-out and (iii) After all passengers are distance Tier II passenger trains which empty except for the railroad employee discharged, the defective equipment develop inoperative power brake manning the handbrake; and shall be moved to the nearest location equipment resulting in at least 75 (iii) Appropriate speed restrictions where the necessary repairs can be percent but less than 85 percent shall be placed on the train by a made. operative brakes may be used only if all qualified person; (3) Commuter, short-distance of the following restrictions are (2) If the handbrake is located outside intercity, and short-distance Tier II observed: the interior of the car or is inaccessible passenger trains developing 75–99 (A) The train may be moved in to a qualified person: percent operative power brakes. passenger service only to the next (i) The car shall be locked-out and (i) 75–84 percent operative brakes. forward repair location identified for empty; Commuter, short-distance intercity, and repair of that equipment by the railroad (ii) The train shall be operated at short-distance Tier II passenger trains operating the equipment in the list restricted speed not to exceed 20 mph; which develop inoperative power brake required by § 238.19(d); however, if the and equipment resulting in at least 75 next forward repair location does not (iii) The car shall be removed from the percent but less than 85 percent have the facilities to handle the safe train or repositioned in the train at the operative brakes may be used only as unloading of passengers, the train may first location where it is possible to do follows: be moved past the designated repair so. (A) The train may be moved in location in service only to the next (f) Special Notice for Repair. Nothing passenger service only to the next forward passenger station in order to in this section authorizes the movement forward location where the necessary facilitate the unloading of passengers; of passenger equipment subject to a repairs can be made; however, if the and Special Notice for Repair under part 216 next forward location where the (B) The speed of the train shall be of this chapter unless the movement is necessary repairs can be made does not restricted to 50 percent of the train’s made in accordance with the have the facilities to handle the safe maximum allowable speed or 40 mph, restrictions contained in the Special unloading of passengers, the train may whichever is less; and Notice. be moved past the repair location in (C) After all passengers are service only to the next forward discharged, the defective equipment § 238.17 Movement of passenger passenger station in order to facilitate shall be moved to the nearest location equipment with other than power brake the unloading of passengers; and where the necessary repairs can be defects. (B) The speed of the train shall be made. Beginning July 12, 2001 the following restricted to 50 percent of the train’s (ii) 85–99 percent operative brakes. provisions of this section apply to maximum allowable speed or 40 mph, Long-distance intercity and long- railroads operating Tier I passenger whichever is less; and distance Tier II passenger trains which equipment covered by this part. A (C) After all passengers are develop inoperative power brake railroad may request earlier application discharged, the defective equipment equipment resulting in at least 85 of these requirements upon written shall be moved to the nearest location percent but less than 100 percent notification to FRA’s Associate where the necessary repairs can be operative brakes may be used only if all Administrator for Safety as provided in made. of the following restrictions are § 238.1(c) of this part. (ii) 85–99 percent operative brakes. observed: (a) General. This section contains the Commuter, short-distance intercity, and (A) The train may be moved in requirements for moving passenger short-distance Tier II passenger trains passenger service only to the next equipment with other than a power which develop inoperative power brake forward repair location identified for brake defect. (Passenger cars and other equipment resulting in at least 85 repair of that equipment by the railroad passenger equipment classified as percent but less than 100 percent operating the equipment in the list locomotives under part 229 of this operative brakes may only be used as required by § 238.19(d); however, if the chapter are also covered by the follows: next forward repair location does not movement restrictions contained in (A) The train may be moved in have the facilities to handle the safe § 229.9 of this chapter for those passenger service only to the next unloading of passengers, the train may defective conditions covered by part 229 forward location where the necessary be moved past the designated repair of this chapter.)
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(b) Limitations on movement of defect provided by the on-site (6) After a qualified maintenance passenger equipment containing defects personnel. person or a qualified person verifies that found at time of calendar day (2) Prior to movement of equipment the defective equipment is safe to inspection. Except as provided in with a non-running gear defect, a remain in service as required in §§ 238.303(e)(15) and 238.305(c)(5), qualified person or a qualified paragraphs (c)(1) and (c)(2) of this passenger equipment containing a maintenance person shall determine if it section, the defective equipment that condition not in conformity with this is safe to move the equipment in develops a condition not in compliance part at the time of its calendar day passenger service and, if so, the with this part while en route may mechanical inspection may be moved maximum speed and other restrictions continue in passenger service not later from that location for repair if all of the necessary for safely conducting the than the next calendar day mechanical following conditions are satisfied: movement. If appropriate, these inspection, if the requirements of this (1) If the condition involves a running determinations may be made based paragraph are otherwise fully met. gear defect, the defective equipment is upon a description of the defective (d) Inspection of roller bearings on not used in passenger service and is condition provided by the on-site equipment involved in a derailment. moved in a non-revenue train; personnel. (1) A railroad shall not continue (2) If the condition involves a non- (3) Prior to movement of any defective passenger equipment in service that has running gear defect, the defective equipment, the qualified person or a roller bearing whose truck was equipment may be used in passenger qualified maintenance person shall involved in a derailment unless the service in a revenue train provided that notify the crewmember in charge of the bearing has been inspected and tested a qualified maintenance person movement of the defective equipment, by: determines that it is safe to do so, and who in turn shall inform all other (i) Visual examination to determine if so, the car is locked out and empty, crewmembers of the presence of the whether it shows any sign of damage; and all movement restrictions are defective condition(s) and the maximum and observed except that the car may be speed and other restrictions determined (ii) Spinning freely its wheel set or occupied by a member of the train crew under paragraph (c)(1) or (c)(2) of this manually rotating the bearing to or a railroad employee to the extent section. The movement shall be made in determine whether the bearing makes necessary to safely operate the train; conformance with such restrictions. any unusual noise. (3) The requirements of paragraphs (4) The railroad shall maintain a (2) The roller bearing shall be (c)(3) and (c)(4) of this section are met; record of all defects reported and their disassembled from the axle and and subsequent repair in the defect tracking inspected internally if: (4) The special requirements of system required in § 238.19. In addition, (i) It shows any external sign of paragraph (e) of this section, if prior to movement of the defective damage; applicable, are met. equipment, a tag or card placed on both (ii) It makes any unusual noise when (c) Usual limitations on movement of sides of the defective equipment, or an its wheel set is spun freely or the passenger equipment that develops automated tracking system, shall record bearing is manually rotated; defects en route. Except as provided in the following information about the (iii) Its truck was involved in a §§ 238.303(e)(15) and 238.503(f), defective equipment: derailment at a speed of more than 10 (i) The reporting mark and car or passenger equipment that develops en miles per hour; or locomotive number; (iv) Its truck was dragged on the route to its destination, after its calendar (ii) The name of the inspecting ground for more than 200 feet. day inspection was performed and railroad; before its next calendar day mechanical (iii) The name of the inspector, (e) Special requisites for movement of inspection is performed, any defect not inspection location, and date; passenger equipment with safety in compliance with this part, other than (iv) The nature of each defect; appliance defects. Consistent with 49 a power brake defect, may be moved (v) Movement restrictions and safety U.S.C. 20303, passenger equipment with only if the railroad complies with all of restrictions, if any; a safety appliance not in compliance the following requirements and, if (vi) The destination of the equipment with this part or with part 231 of this applicable, the special requirements in where it will be repaired; and chapter, if applicable, may be moved— paragraph (e) of this section: (vii) The signature, if possible, as well (1) If necessary to effect repair of the (1) Prior to movement of equipment as the job title and location of the safety appliance; with a potential running gear defect, a person making the determinations (2) From the point where the safety qualified maintenance person shall required by this section. appliance defect was first discovered by determine if it is safe to move the (5) Automated tracking system. the railroad to the nearest available equipment in passenger service and, if Automated tracking systems used to location on the railroad where the so, the maximum speed and other meet the tagging requirements contained necessary repairs required to bring the restrictions necessary for safely in paragraph (c)(4) of this section may passenger equipment into compliance conducting the movement. If be reviewed and monitored by FRA at can be made or, at the option of the appropriate, these determinations may any time to ensure the integrity of the receiving railroad, the equipment may be made based upon a description of the system. FRA’s Associate Administrator be received and hauled for repair to a defective condition provided by a for Safety may prohibit or revoke a point on the receiving railroad’s line crewmember. If the determinations railroad’s ability to utilize an automated that is no farther than the point on the required by this paragraph are made by tracking system in lieu of tagging if FRA delivering railroad’s line where the an off-site qualified maintenance person finds that the automated tracking system repair of the defect could have been based on a description of the defective is not properly secure, is inaccessible to made; condition by on-site personnel, then a FRA or a railroad’s employees, or fails (3) If a tag placed on both sides of the qualified maintenance person shall to adequately track or monitor the passenger equipment or an automated perform a physical inspection of the movement of defective equipment. Such tracking system contains the defective equipment, at the first location a determination will be made in writing information required under paragraph possible, to verify the description of the and will state the basis for such action. (c)(4) of this section; and
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(4) After notification of the Administrator for Safety and make it (i) The name, title, address, and crewmember in charge of the movement available to FRA for inspection and telephone number of the primary person of the defective equipment, who in turn copying upon request. Railroads to be contacted with regard to review of shall inform all other crewmembers of operating these trains shall designate a the petition; and the presence of the defective sufficient number of repair locations to (ii) The elements prescribed in condition(s). ensure the safe and timely repair of § 238.111. (f) Special Notice for Repair. Nothing passenger equipment. These (2) Three copies of each petition for in this section authorizes the movement designations shall not be changed special approval of the pre-revenue of equipment subject to a Special Notice without at least 30 days’ advance service acceptance testing plan shall be for Repair under part 216 of this chapter written notice to FRA’s Associate submitted to the Associate unless the movement is made in Administrator for Safety. Administrator for Safety, Federal accordance with the restrictions Railroad Administration, 1120 Vermont § 238.21 Special approval procedure. contained in the Special Notice. Ave., N.W., Mail Stop 25, Washington, (a) General. The following procedures D.C. 20590. § 238.19 Reporting and tracking defective govern consideration and action upon passenger equipment. (e) Federal Register notice. FRA will requests for special approval of publish a notice in the Federal Register (a) General. Beginning July 12, 2001 alternative standards under §§ 238.103, concerning each petition under each railroad shall have in place a 238.223, 238.309, 238.311, 238.405, or paragraphs (b) and (c) of this section. reporting and tracking system for 238.427; for approval of alternative (f) Comment. Not later than 30 days passenger equipment with a defect not compliance under § 238.201; and for from the date of publication of the in conformance with this part. A special approval of pre-revenue service notice in the Federal Register railroad may request earlier application acceptance testing plans as required by concerning a petition under paragraphs of these requirements upon written § 238.111. (Requests for approval of (b) or (c) of this section, any person may notification to FRA’s Associate programs for the inspection, testing, and comment on the petition. Administrator for Safety as provided in maintenance of Tier II passenger (1) Each comment shall set forth § 238.1(c) of this part. The reporting and equipment are governed by § 238.505.) specifically the basis upon which it is tracking system shall record the (b) Petitions for special approval of made, and contain a concise statement following information: alternative standard. Each petition for of the interest of the commenter in the (1) The identification number of the special approval of an alternative proceeding. defective equipment; standard shall contain— (2) Three copies of each comment (2) The date the defect occurred; (1) The name, title, address, and shall be submitted to the Associate (3) The nature of the defect; telephone number of the primary person Administrator for Safety, Federal (4) The determination made by a to be contacted with regard to review of Railroad Administration, 1120 Vermont qualified person or qualified the petition; Ave., Mail Stop 25, Washington, D. C. maintenance person on whether the (2) The alternative proposed, in detail, 20590. equipment is safe to run; to be substituted for the particular (3) The commenter shall certify that a (5) The name of the qualified person requirements of this part; or qualified maintenance person making (3) Appropriate data or analysis, or copy of the comment was served on such a determination; both, establishing that the alternative each petitioner. (6) Any operating restrictions placed will provide at least an equivalent level (g) Disposition of petitions. on the equipment; and of safety; and (1) FRA will conduct a hearing on a (7) Repairs made and the date that (4) A statement affirming that the petition in accordance with the they were made. railroad has served a copy of the procedures provided in § 211.25 of this (b) Retention of records. At a petition on designated representatives of chapter. minimum, each railroad shall keep the its employees, together with a list of the (2) If FRA finds that the petition records described in paragraph (a) of names and addresses of the persons complies with the requirements of this this section for one periodic served. section or that the proposed plan is maintenance interval for each specific (c) Petitions for special approval of acceptable or changes are justified, or type of equipment as described in the alternative compliance. Each petition both, the petition will be granted, railroad’s inspection, testing, and for special approval of alternative normally within 90 days of its receipt. maintenance plan required by § 238.107. compliance shall contain— If the petition is neither granted nor FRA strongly encourages railroads to (1) The name, title, address, and denied within 90 days, the petition keep these records for longer periods of telephone number of the primary person remains pending for decision. FRA may time because they form the basis for to be contacted with regard to the attach special conditions to the approval future reliability-based decisions petition; of the petition. Following the approval concerning test and maintenance (2) The elements prescribed in of a petition, FRA may reopen intervals that may be developed § 238.201(b); and consideration of the petition for cause pursuant to § 238.307(b). (3) A statement affirming that the stated. (c) Availability of records. Railroads railroad has served a copy of the (3) If FRA finds that the petition does shall make defect reporting and tracking petition on designated representatives of not comply with the requirements of records available to FRA upon request. its employees, together with a list of the this section, or that the proposed plan (d) List of power brake repair points. names and addresses of the persons is not acceptable or that the proposed Railroads operating long-distance served. changes are not justified, or both, the intercity and long-distance Tier II (d) Petitions for special approval of petition will be denied, normally within passenger equipment shall designate pre-revenue service acceptance testing 90 days of its receipt. locations, in writing, where repairs to plan. (4) When FRA grants or denies a passenger equipment with a power (1) Each petition for special approval petition, or reopens consideration of the brake defect will be made and shall of a pre-revenue service acceptance petition, written notice is sent to the provide the list to FRA’s Associate testing plan shall contain— petitioner and other interested parties.
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§ 238.23 Information collection. requirements of paragraph (a) of this (7) On a case-by-case basis, the (a) The information collection section at the time it was tested. railroad shall analyze the benefit requirements of this part were reviewed (c) Fire safety analysis for procuring provided by including a fixed, by the Office of Management and new passenger equipment. In procuring automatic fire-suppression system in Budget pursuant to the Paperwork new passenger equipment, each railroad any unoccupied train compartment that Reduction Act of 1995 (44 U.S.C. 3501 shall ensure that fire safety contains equipment or material that et. seq.) and are assigned OMB control considerations and features in the poses a fire hazard, and determine the number 2130–0544. design of the equipment reduce the risk proper type and size of the automatic (b) The information collection of personal injury and equipment fire-suppression system for each requirements are found in the following damage caused by fire to an acceptable location. A fixed, automatic fire sections: §§ 238.1, 238.7, 238.11, 238.15, level using MIL–STD–882C as a guide or suppression system shall be installed in 238.17, 238.19, 238.21, 238.103, an alternative, formal safety any unoccupied compartment when the 238.105, 238.107, 238.109, 238.111, methodology. To this end, each railroad analysis determines that such 238.201, 238.203, 238.211, 238.223, shall complete a written fire safety equipment is practical and necessary to 238.231, 238.237, 238.301, 238.303, analysis for the passenger equipment ensure sufficient time for the safe 238.305, 238.307, 238.309, 238.311, being procured. In conducting the evacuation of passengers and 238.313, 238.315, 238.317, 238.403, analysis, the railroad shall— crewmembers from the train. 238.405, 238.421, 238.423, 238.427, (1) Take effective steps to design the (8) Describe the analysis and testing 238.431, 238.437, 238.441, 238.445, equipment to be sufficiently fire necessary to— (i) Demonstrate that the fire protection 238.447, 238.503, 238.505, and 238.603. resistant so that fire detection devices permit evacuation of all passengers and approach taken in the design of the Subpart BÐSafety Planning and crewmembers before fire, smoke, or equipment will meet the fire protection General Requirements toxic fumes cause injury to any requirements of this part, and passenger or crewmember. (ii) Select materials which help § 238.101 Scope. (2) Identify, analyze, and prioritize provide sufficient fire resistance to This subpart contains safety planning the fire hazards inherent in the design reasonably ensure adequate time to and general safety requirements for all of the equipment. detect a fire and safely evacuate the railroad passenger equipment subject to (3) Reasonably ensure that a passengers and crewmembers. (9) Explain how safety issues are this part. ventilation system in the equipment resolved in relation to cost and does not contribute to the lethality of a § 238.103 Fire safety. performance issues in the design of the fire. equipment to reduce the risk of each fire (a) Materials. (1) Materials used in (4) Identify in writing any train constructing a passenger car or a cab of hazard. component that is a risk of initiating fire (d) Fire safety analysis for existing a locomotive ordered on or after and which requires overheat protection. September 8, 2000, or placed in service passenger equipment. (1) Not later than An overheat detector shall be installed July 10, 2000, each passenger railroad for the first time on or after September in any component when the analysis 9, 2002, shall meet the test performance shall complete a preliminary fire safety determines that an overheat detector is analysis for each category of existing rail criteria for flammability and smoke necessary. emission characteristics as specified in equipment and current rail service. (5) Identify in writing any unoccupied (2) Not later than July 10, 2001, each Appendix B to this part, or alternative train compartment that contains standards issued or recognized by an such railroad shall— equipment or material that poses a fire (i) Complete a final fire safety analysis expert consensus organization after hazard, and analyze the benefit for any category of existing passenger special approval of FRA under § 238.21. provided by including a fire or smoke equipment and service evaluated during (2) On or after November 8, 1999, detection system in each compartment the preliminary fire safety analysis as materials introduced in a passenger car so identified. A fire or smoke detector likely presenting an unacceptable risk of or a locomotive cab, as part of any kind shall be installed in any unoccupied personal injury. In conducting the of rebuild, refurbishment, or overhaul of compartment when the analysis analysis, the railroad shall consider the the car or cab, shall meet the test determines that such equipment is extent to which materials comply with performance criteria for flammability necessary to ensure sufficient time for the test performance criteria for and smoke emission characteristics as the safe evacuation of passengers and flammability and smoke emission specified in Appendix B to this part, or crewmembers from the train. For characteristics as specified in Appendix alternative standards issued or purposes of this section, an unoccupied B to this part or alternative standards recognized by an expert consensus train compartment means any part of approved by FRA under this part. organization after special approval of the equipment structure that is not (ii) Take remedial action to reduce the FRA under § 238.21. normally occupied during operation of risk of personal injuries to an acceptable (b) Certification. A railroad shall the train, including a closet, baggage level in any such category, if the require certification that a compartment, food pantry, etc. railroad finds the risk to be representative sample of combustible (6) Determine whether any occupied unacceptable. In considering remedial materials to be— or unoccupied space requires a portable action, a railroad is not required to (1) Used in constructing a passenger fire extinguisher and, if so, the proper replace material found not to comply car or a locomotive cab, or type and size of the fire extinguisher for with the test performance criteria for (2) Introduced in a passenger car or a each location. As required by § 239.101 flammability and smoke emission locomotive cab, as part of any kind of of this chapter, each passenger car is characteristics required by this part, if: rebuild, refurbishment, or overhaul of required to have a minimum of one (A) The risk of personal injuries from the car or cab, has been tested by a portable fire extinguisher. If the analysis the material is negligible based on the recognized independent testing performed indicates that one or more railroad’s operating environment and laboratory and that the results show the additional portable fire extinguishers the material’s size, or location, or both; representative sample complies with the are needed, such shall be installed. or
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(B) The railroad takes alternative § 238.105 Train hardware and software passenger equipment covered by this action which reduces the risk of safety. part. A railroad may request earlier personal injuries to an acceptable level. These requirements of this section application of these requirements upon (3) Not later than July 10, 2003, each apply to hardware and software used to written notification to FRA’s Associate such railroad shall— control or monitor safety functions in Administrator for Safety as provided in (i) Complete a fire safety analysis for passenger equipment ordered on or after § 238.1(c). all categories of equipment and service. September 8, 2000, and such (b) Each railroad shall develop, and In completing this analysis, the railroad components implemented or materially provide to FRA upon request, a detailed shall, as far as practicable, determine modified in new or existing passenger inspection, testing, and maintenance the extent to which remaining materials equipment on or after September 9, plan consistent with the requirements of comply with the test performance 2002. this part. This plan shall include a criteria for flammability and smoke (a) The railroad shall develop and detailed description of the following: emission characteristics as specified in maintain a written hardware and (1) Inspection procedures, intervals, Appendix B to this part or alternative software safety program to guide the and criteria; standards approved by FRA under this design, development, testing, (2) Test procedures and intervals; part. integration, and verification of computer (3) Scheduled preventive (ii) Take remedial action to reduce the software and hardware that controls or maintenance intervals; risk of personal injuries to an acceptable monitors equipment safety functions. (4) Maintenance procedures; and (5) Special testing equipment or level in any such category, if the (b) The hardware and software safety measuring devices required to perform railroad finds the risk to be program shall be based on a formal unacceptable. In considering remedial inspections and tests. safety methodology that includes a (c) The inspection, testing, and action, a railroad is not required to Failure Modes, Effects, Criticality replace material found not to comply maintenance plan required by this Analysis (FMECA); verification and section is not intended to address and with the test performance criteria for validation testing for all hardware and flammability and smoke emission should not include procedures to software components and their address employee working conditions characteristics required by this part, if: interfaces; and comprehensive hardware (A) The risk of personal injuries from that arise in the course of conducting and software integration testing to the inspections, tests, and maintenance the material is negligible based on the ensure that the software functions as railroad’s operating environment and set forth in the plan. When requesting intended. a copy of the railroad’s plan, FRA does the material’s size, or location, or both; (c) Under the hardware and software or not intend to review any portion of the safety program, software that controls or plan that relates to employee working (B) The railroad takes alternative monitors safety functions shall be action which reduces the risk of conditions. considered safety-critical unless a (d) The inspection, testing, and personal injuries to an acceptable level. completely redundant, failsafe, non- (4) Where possible prior to maintenance plan required by this software means ensuring the same transferring existing equipment to a new section shall be reviewed by the railroad function is provided. The hardware and category of service, but in no case more annually. software safety program shall include a than 90 days following such a transfer, description of how the following will be § 238.109 Training, qualification, and the passenger railroad shall complete a accomplished, achieved, carried out, or designation program. new fire safety analysis taking into implemented to ensure software safety (a) Beginning July 12, 2001 each consideration the change in railroad and reliability: railroad shall have adopted a training, operations and shall effect prompt (1) The software design process; qualification, and designation program action to reduce any identified risk to an (2) The software design for employees and contractors that acceptable level. documentation; perform safety-related inspections, tests, (5) As used in this paragraph, (3) The software hazard analysis; or maintenance of passenger equipment, ‘‘category of rail equipment and current (4) Software safety reviews; and trained such employees and rail service’’ shall be determined by the (5) Software hazard monitoring and contractors in accordance with the railroad based on relevant fire safety tracking; program. A railroad may request earlier risks, including available ignition (6) Hardware and software integration application of these requirements upon sources, presence or absence of heat/ safety tests; and written notification to FRA’s Associate smoke detection systems, known (7) Demonstration of overall software Administrator for Safety as provided in variations from the required material safety as part of the pre-revenue service § 238.1(c). For purposes of this section, test performance criteria or alternative tests of equipment. a ‘‘contractor’’ is defined as a person standards approved by FRA, and (d) Hardware and software that under contract with the railroad or an availability of rapid and safe egress to controls or monitors passenger employee of a person under contract the exterior of the vehicle under equipment safety functions shall with the railroad to perform any of the conditions secure from fire, smoke, and include design feature(s) that result in a tasks required by this part. other hazards. safe condition in the event of a (b) As part of this program, the (e) Inspection, testing, and computer hardware or software failure. railroad shall, at a minimum: maintenance. Each railroad shall (e) The railroad shall comply with the (1) Identify the tasks related to the develop and adopt written procedures elements of its hardware and software inspection, testing, and maintenance for the inspection, testing, and safety program that affect the safety of that must be performed on each type of maintenance of all fire safety systems the passenger equipment. equipment that the railroad operates; and fire safety equipment on the (2) Develop written procedures for the passenger equipment it operates. The § 238.107 Inspection, testing, and performance of the tasks identified; railroad shall comply with those maintenance plan. (3) Identify the skills and knowledge procedures that it designates as (a) General. Beginning July 12, 2001 necessary to perform each task; mandatory for the safety of the the following provisions of this section (4) Develop or incorporate a training equipment and its occupants. apply to railroads operating Tier I curriculum that includes classroom and
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‘‘hands-on’’ lessons designed to impart equipment that has previously been (xi) A description of the criteria to be the skills and knowledge identified as used in revenue service in the United used to measure or determine the necessary to perform each task. The States, each railroad shall test the success or failure of the tests. If developed or incorporated training equipment on its system prior to placing acceptance is to be based on curriculum shall specifically address such equipment in revenue service for extrapolation of less than full-level the Federal regulatory requirements the first time on its railroad to ensure testing results, the analysis to be done contained in this part that are related to the compatibility of the equipment with to justify the validity of the the performance of the tasks identified; the railroad’s operating system extrapolation shall be described; (5) Require all employees and (including the track, and signal system). (xii) Quality control procedures to contractors to successfully complete the A description of such testing shall be ensure that the inspection, testing, and training course that covers the retained by the railroad and made maintenance procedures are followed; equipment and tasks for which they are available to FRA for inspection and (xiii) Criteria to be used for the responsible as well as the specific copying upon request. For purposes of revenue service operation of the Federal regulatory requirements this paragraph, passenger equipment equipment; and contained in this part related to that has previously been used in (xiv) A description of any testing of equipment and tasks for which they are revenue service in the United States the equipment that has previously been responsible; means: performed. (6) Require all employees and (1) The actual equipment used in such (2) Submit a copy of the plan to FRA contractors to pass a written service; at least 30 days prior to testing the examination covering the equipment (2) Equipment manufactured equipment and include with that and tasks for which they are responsible identically to that actual equipment; submission notification of the times and as well as the specific Federal regulatory and places of the pre-revenue service tests to requirements contained in this part (3) Equipment manufactured similarly permit FRA observation of such tests. related to equipment and tasks for to that actual equipment with no For Tier II passenger equipment, the which they are responsible; material differences in safety-critical railroad shall obtain FRA approval of (7) Require all employees and components or systems. the plan under the procedures specified contractors to individually demonstrate (b) Passenger equipment that has not in § 238.21. ‘‘hands-on’’ capability to successfully been used in revenue service in the (3) Comply with the plan, including perform the tasks required to be United States. Before using passenger fully executing the tests required by the performed as part of their duties on the equipment for the first time on its plan. type equipment to which they are system that has not been used in (4) Document in writing the results of assigned; revenue service in the United States, the tests. For Tier II passenger (8) Require supervisors to complete each railroad shall: equipment, the railroad shall report the the program that covers the employees (1) Prepare a pre-revenue service results of the tests to the FRA Associate whom they supervise, including acceptance testing plan for the Administrator for Safety at least 90 days refresher training; equipment which contains the following prior to its intended operation of the (9) Require supervisors to exercise elements: equipment in revenue service. oversight to ensure that all the (i) An identification of any waivers of (5) Correct any safety deficiencies identified tasks are performed in FRA or other Federal safety regulations identified in the design of the accordance with the railroad’s written required for the testing or for revenue equipment or in the inspection, testing, procedures; service operation of the equipment; and maintenance procedures, uncovered (10) Designate in writing that each (ii) A clear statement of the test during the testing. If safety deficiencies employee and contractor has the objectives. One of the principal test cannot be corrected by design changes, knowledge and skills necessary to objectives shall be to demonstrate that the railroad shall impose operational perform the safety-related tasks that are the equipment meets the safety limitations on the revenue service part of his or her job; requirements specified in this part when operation of the equipment that are (11) Require periodic refresher operated in the environment in which it designed to ensure that the equipment training at an interval not to exceed is to be used; can operate safely. For Tier II passenger three years that includes classroom and (iii) A planned schedule for equipment, the railroad shall comply ‘‘hands-on’’ training, as well as testing; conducting the testing; with any operational limitations (12) Add new equipment to the (iv) A description of the railroad imposed by the FRA Associate qualification and designation program property or facilities to be used to Administrator for Safety on the revenue prior to its introduction to revenue conduct the testing; service operation of the equipment for service; and (v) A detailed description of how the cause stated following FRA review of (13) Maintain records adequate to testing is to be conducted, including a the results of the test program. This demonstrate that each employee and description of the criteria to be used to section does not restrict a railroad from contractor performing safety-related evaluate the equipment’s performance; petitioning FRA for a waiver of a safety tasks on passenger equipment is (vi) A description of how the test regulation under the procedures currently qualified to do so. These results are to be recorded; specified in part 211 of this chapter. records shall be adequate to distinguish (vii) A description of any special (6) Make the plan and documentation the qualifications of the employee or instrumentation to be used during the kept pursuant to that plan available for contractor as a qualified person or as a tests; inspection and copying by FRA upon qualified maintenance person. (viii) A description of the information request. or data to be obtained; (7) For Tier II passenger equipment, § 238.111 Pre-revenue service acceptance (ix) A description of how the obtain approval from the FRA Associate testing plan. information or data obtained is to be Administrator for Safety prior to placing (a) Passenger equipment that has analyzed or used; the equipment in revenue service. The previously been used in revenue service (x) A description of any criteria to be Associate Administrator grants such in the United States. For passenger used as safety limits during the testing; approval upon a showing of the
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00134 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25673 railroad’s compliance with the inches above floor level along the center sole purpose of cleaning the wheel tread applicable requirements of this part. of each aisle and passageway; surface. (c) If a railroad plans a major upgrade (3) A minimum illumination level of or introduction of new technology on 0.1 foot-candle measured 25 inches Subpart CÐSpecific Requirements for Tier II passenger equipment that has above floor level at any point along the Tier I Passenger Equipment been used in revenue service in the center of each aisle and passageway; § 238.201 Scope/alternative compliance. United States and that affects a safety and system on such equipment, the railroad (4) A back-up power system capable (a) Scope. (1) This subpart contains shall follow the procedures specified in of: requirements for railroad passenger paragraph (b) of this section prior to (i) Operating in all equipment equipment operating at speeds not placing the equipment in revenue orientations within 45 degrees of exceeding 125 miles per hour. As stated service with such a major upgrade or vertical; in § 238.229, all such passenger introduction of new technology. (ii) Operating after the initial shock of equipment remains subject to the safety a collision or derailment resulting in the appliance requirements contained in § 238.113 Emergency window exits. following individually applied Federal statute at 49 U.S.C. chapter 203 (a) The following requirements apply accelerations: and in FRA regulations at part 231 and on or after Novermber 8, 1999— (A) Longitudinal: 8g; § 232.2 of this chapter. Unless otherwise (1) Each passenger car shall have a (B) Lateral: 4g; and specified, these requirements only apply minimum of four emergency window (C) Vertical: 4g; and to passenger equipment ordered on or exits, either in a staggered configuration (iii) Operating all emergency lighting after September 8, 2000 or placed in where practical or with one exit located for a period of at least 90 minutes service for the first time on or after in each end of each side of the without a loss of more than 40% of the September 9, 2002. passenger car. If the passenger car has minimum illumination levels specified (2) The structural standards of this multiple levels, each main level shall in this paragraph (b). subpart (§ 238.203B-static end strength; have a minimum of four emergency § 238.205—anti-climbing mechanism; window exits, either in a staggered § 238.117 Protection against personal § 238.207—link between coupling configuration where practical or with injury. mechanism and car body; § 238.209— one exit located in each end of each side On or after November 8, 1999, all forward-facing end structure of on each level. moving parts, high voltage equipment, locomotives; § 238.211—collision posts; (2) Each sleeping car, and any electrical conductors and switches, and § 238.213—corner posts; § 238.215— similarly designed car having a number pipes carrying hot fluids or gases on all rollover strength; § 238.217—side of separate compartments intended to be passenger equipment shall be structure; § 238.219—truck-to-car-body occupied by passengers or train appropriately equipped with interlocks attachment; and § 238.223—locomotive crewmembers, shall have at least one or guards to minimize the risk of fuel tanks) do not apply to passenger emergency window exit in each personal injury. This section does not equipment if used exclusively on a rail compartment. apply to the interior of a private car. line: (3) Each emergency window exit shall (i) With no public highway-rail grade be designed to permit rapid and easy § 238.119 Rim-stamped straight-plate crossings; removal during an emergency situation wheels. (ii) On which no freight operations without requiring the use of a tool or (a)(1) Except as provided in paragraph occur at any time; other implement. (a)(2) of this section, on or after (iii) On which only passenger (b) Each emergency window exit in a November 8, 1999, no railroad shall equipment of compatible design is passenger car, including a sleeper car, place or continue in service any vehicle, utilized; and ordered on or after September 8, 2000, other than a private car, that is equipped (iv) On which trains operate at speeds or placed in service for the first time on with a rim-stamped straight-plate wheel not exceeding 79 mph. or after September 9, 2002, shall have a if a brake shoe acts on the tread of the (b) Alternative compliance. Passenger minimum unobstructed opening with wheel for the purpose of slowing the equipment of special design shall be dimensions of 26 inches horizontally by vehicle. deemed to comply with this subpart, 24 inches vertically. (2) A commuter railroad may continue other than § 238.203, for the service (c) Marking and instructions. in service a vehicle equipped with a environment in which the petitioner [Reserved] Class A, rim-stamped straight-plate proposes to operate the equipment if the § 238.115 Emergency lighting. wheel mounted on an inboard-bearing FRA Associate Administrator for Safety (a) This section applies to each axle until the railroad exhausts its determines under paragraph (c) of this passenger car ordered on or after replacement stock of wheels held as of section that the equipment provides at September 8, 2000, or placed in service May 12, 1999, provided the railroad least an equivalent level of safety in for the first time on or after September does not modify the operation of the such environment with respect to the 9, 2002. This section applies to each vehicle in any way that would result in protection of its occupants from serious level of a multi-level passenger car. increased thermal input to the wheel injury in the case of a derailment or (b) Emergency lighting shall be during braking. collision. In making a determination provided in each passenger car and (b) A rim-stamped straight-plate under paragraph (c) the Associate shall include the following: wheel shall not be used as a Administrator shall consider, as a (1) A minimum, average illumination replacement wheel on a private car that whole, all of those elements of casualty level of 1 foot-candle measured at floor operates in a passenger train if a brake prevention or mitigation relevant to the level adjacent to each exterior door and shoe acts on the tread of the wheel for integrity of the equipment that are each interior door providing access to the purpose of slowing the car. addressed by the requirements of this an exterior door (such as a door opening (c) The requirements of this section subpart. into a vestibule); do not apply to a wheel that is (c)(1) The Associate Administrator (2) A minimum, average illumination periodically tread-braked for a short may only make a finding of equivalent level of 1 foot-candle measured 25 duration by automatic circuitry for the safety and compliance with this subpart,
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The alternative describe the likely performance of the (i) The information required by specified in this paragraph is not static end strength of the equipment and § 238.21(c); applicable to a cab car or an MU the likely performance of the equipment (ii) Information, including detailed locomotive. in derailment and collision scenarios drawings and materials specifications, (4) The requirements of this paragraph pertinent to the equipment’s static end sufficient to describe the actual do not apply to: strength; construction of the equipment of special (i) A private car; or (iv) A description of risk mitigation design; (ii) Unoccupied passenger equipment measures that will be employed in (iii) Engineering analysis sufficient to operating at the rear of a passenger train. connection with the usage of the describe the likely performance of the (b) Passenger equipment placed in equipment on a specified rail line or equipment in derailment and collision service before November 8, 1999 is lines to decrease the likelihood of scenarios pertinent to the safety presumed to comply with the accidents involving the use of the requirements for which compliance is requirements of paragraph (a)(1) of this equipment; and required and for which the equipment section, unless the railroad operating (v) A quantitative risk assessment, does not conform to the specific the equipment has knowledge, or FRA incorporating the design information, requirements of this subpart; and makes a showing, that such passenger engineering analysis, and risk mitigation (iv) A quantitative risk assessment, equipment was not built to the measures described in this paragraph, incorporating the design information requirements specified in paragraph demonstrating that the use of the and engineering analysis described in (a)(1). equipment, as utilized in the service this paragraph, demonstrating that the (c) When overloaded in compression, environment for which recognition is equipment, as utilized in the service the body structure of passenger sought, is in the public interest and is environment for which recognition is equipment shall be designed, to the consistent with railroad safety. sought, presents no greater hazard of maximum extent possible, to fail by (e) Service. Three copies of each serious personal injury than equipment buckling or crushing, or both, of petition shall be submitted to the that conforms to the specific structural members rather than by Associate Administrator for Safety, requirements of this subpart. fracture of structural members or failure Federal Railroad Administration, 1120 (2) Any petition made under this of structural connections. Vermont Ave., Mail Stop 25, paragraph is subject to the procedures (d) Grandfathering of non-compliant Washington, D.C. 20590. (f) Federal Register notice. FRA will set forth in § 238.21, and will be equipment for use on a specified rail publish a notice in the Federal Register disposed of in accordance with line or lines. concerning each petition under § 238.21(g). (1) Grandfathering approval is paragraph (d) of this section. § 238.203 Static end strength. equipment and line specific. (g) Comment. Not later than 30 days (a)(1) Except as further specified in Grandfathering approval of non- from the date of publication of the this paragraph or in paragraph (d), on or compliant equipment under this notice in the Federal Register after November 8, 1999 all passenger paragraph is limited to usage of the concerning a petition under paragraph equipment shall resist a minimum static equipment on a particular rail line or (d) of this section, any person may end load of 800,000 pounds applied on lines. Before grandfathered equipment comment on the petition. the line of draft without permanent can be used on another rail line, a (1) Each comment shall set forth deformation of the body structure. railroad must file and secure approval of specifically the basis upon which it is (2) For a passenger car or a a grandfathering petition under made, and contain a concise statement locomotive, the static end strength of paragraph (d)(3) of this section. of the interest of the commenter in the unoccupied volumes may be less than (2) Temporary usage of non- proceeding. 800,000 pounds if: compliant equipment. Any passenger (2) Three copies of each comment (i) Energy absorbing structures are equipment placed in service on a rail shall be submitted to the Associate used as part of a crash energy line or lines before November 8, 1999 Administrator for Safety, Federal management design of the passenger car that does not comply with the Railroad Administration, 1120 Vermont or locomotive, and requirements of paragraph (a)(1) may Ave., Mail Stop 25, Washington, D. C. (ii) The passenger car or locomotive continue to be operated on that 20590. resists a minimum static end load of particular line or (those particular lines) (3) The commenter shall certify that a 800,000 pounds applied on the line of if the operator of the equipment files a copy of the comment was served on draft at the ends of its occupied volume petition seeking grandfathering approval each petitioner. without permanent deformation of the under paragraph (d)(3) before November (h) Disposition of petitions. body structure. 8, 1999. Such usage may continue while (1) FRA will conduct a hearing on a (3) For a locomotive placed in service the petition is being processed, but in petition in accordance with the prior to November 8, 1999, as an no event later than May 8, 2000, unless procedures provided in § 211.25 of this alternative to resisting a minimum static the petition is approved. chapter. end load of 800,000 pounds applied on (3) Petitions for grandfathering. (2) If FRA finds that the petition the line of draft without permanent Petitions for grandfathering shall complies with the requirements of this deformation of the body structure, the include: section and that the proposed usage is locomotive shall resist a horizontal load (i) The name, title, address, and in the public interest and consistent of 1,000,000 pounds applied along the telephone number of the primary person with railroad safety, the petition will be longitudinal center line of the to be contacted with respect to the granted, normally within 90 days of its locomotive at a point on the buffer beam petition; receipt. If the petition is neither granted construction 12 inches above the center (ii) Information, including detailed nor denied within 90 days, the petition line of draft without permanent drawings and material specifications, remains pending for decision. FRA may
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Following the approval fluids into the occupied cab area of the permanently coupled consist of of a petition, FRA may reopen equipment; and articulated units, provided that: consideration of the petition for cause (c) Affixed to the collision posts or (1) The railroad submits to the FRA stated. other main vertical structural members Associate Administrator for Safety (3) If FRA finds that the petition does of the forward end structure so as to add under the procedures specified in not comply with the requirements of to the strength of the end structure. § 238.21 a documented engineering this section or that the proposed usage (d) As used in this section, the term analysis establishing that the articulated is not in the public interest and ‘‘skin’’ does not include forward-facing connection is capable of preventing consistent with railroad safety, the windows and doors. disengagement and telescoping to the petition will be denied, normally within § 238.211 Collision posts. same extent as equipment satisfying the 90 days of its receipt. anti-climbing and collision post (4) When FRA grants or denies a (a) Except as further specified in this paragraph and paragraphs (b) and (c) of requirements contained in this subpart; petition, or reopens consideration of the and petition, written notice is sent to the this section— petitioner and other interested parties. (1) All passenger equipment placed in (2) FRA finds the analysis persuasive. service for the first time on or after § 238.205 Anti-climbing mechanism. September 8, 2000 shall have either: § 238.213 Corner posts. (a) Except as provided in paragraph (i) Two full-height collision posts, (a) Each passenger car shall have at (b) of this section, all passenger located at approximately the one-third each end of the car, placed ahead of the equipment placed in service for the first points laterally. Each collision post occupied volume, two full-height corner time on or after September 8, 2000 shall shall have an ultimate longitudinal posts capable of resisting: have at both the forward and rear ends shear strength of not less than 300,000 (1) A horizontal load of 150,000 an anti-climbing mechanism capable of pounds at a point even with the top of pounds at the point of attachment to the resisting an upward or downward the underframe member to which it is underframe without failure; attached. If reinforcement is used to vertical force of 100,000 pounds without (2) A horizontal load of 20,000 provide the shear value, the failure. When coupled together in any pounds at the point of attachment to the reinforcement shall have full value for combination to join two vehicles, AAR roof structure without failure; and Type H and Type F tight-lock couplers a distance of 18 inches up from the satisfy this requirement. underframe connection and then taper (3) A horizontal load of 30,000 (b) Each locomotive ordered on or to a point approximately 30 inches pounds applied 18 inches above the top after September 8, 2000, or placed in above the underframe connection; or of the floor without permanent service for the first time on or after (ii) An equivalent end structure that deformation. September 9, 2002, shall have an anti- can withstand the sum of forces that (b) For purposes of this section, the climbing mechanism at its forward end each collision post in paragraph (a)(1)(i) orientation of the applied horizontal capable of resisting an upward or of this section is required to withstand. loads shall range from longitudinal downward vertical force of 200,000 For analysis purposes, the required inward to transverse inward. pounds without failure, in lieu of the forces may be assumed to be evenly § 238.215 Rollover strength. forward end anti-climbing mechanism distributed at the end structure at the requirements described in paragraph (a) underframe joint. (a) Each passenger car shall be of this section. (2) The requirements of this paragraph designed to rest on its side and be do not apply to unoccupied passenger uniformly supported at the top (‘‘roof § 238.207 Link between coupling equipment operating in a passenger rail’’), the bottom cords (‘‘side sill’’) of mechanism and car body. train. the side frame, and, if bi-level, the All passenger equipment placed in (b) Each locomotive, including a cab intermediate floor rail. The allowable service for the first time on or after car and an MU locomotive, ordered on stress in the structural members of the September 8, 2000 shall have a coupler or after September 8, 2000, or placed in occupied volumes for this condition carrier at each end designed to resist a service for the first time on or after shall be one-half yield or one-half the vertical downward thrust from the September 9, 2002, shall have at its critical buckling stress, whichever is coupler shank of 100,000 pounds for forward end, in lieu of the structural less. Local yielding to the outer skin of any normal horizontal position of the protection described in paragraph (a) of the passenger car is allowed provided coupler, without permanent this section, either: that the resulting deformations in no deformation. For passenger equipment (1) Two forward collision posts, way intrude upon the occupied volume that is connected by articulated joints located at approximately the one-third of the car. that comply with the requirements of points laterally, each capable of (b) Each passenger car shall also be § 238.205(a), such passenger equipment withstanding: designed to rest on its roof so that any also complies with the requirements of (i) A 500,000-pound longitudinal damage in occupied areas is limited to this section. force at the point even with the top of the underframe, without exceeding the roof sheathing and framing. Other than § 238.209 Forward-facing end structure of ultimate strength of the joint; and roof sheathing and framing, the locomotives. (ii) A 200,000-pound longitudinal allowable stress in the structural The skin covering the forward-facing force exerted 30 inches above the joint members of the occupied volumes for end of each locomotive shall be: of the post to the underframe, without this condition shall be one-half yield or (a) Equivalent to a 1⁄2 inch steel plate exceeding the ultimate strength; or one-half the critical buckling stress, with a 25,000 pounds-per-square-inch (2) An equivalent end structure that whichever is less. Deformation to the yield strength—material of a higher can withstand the sum of the forces that roof sheathing and framing is allowed to yield strength may be used to decrease each collision post in paragraph (b)(1)(i) the extent necessary to permit the the required thickness of the material of this section is required to withstand. vehicle to be supported directly on the provided at least an equivalent level of (c) The end structure requirements in top chords of the side frames and end strength is maintained; paragraphs (a) and (b) of this section frames.
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§ 238.217 Side structure. direction on the truck. For purposes of passenger seating areas by a non- Each passenger car shall comply with this section, the mass of the truck combustible barrier. the following: includes axles, wheels, bearings, the (2) Battery chargers shall be designed (a) Side posts and corner braces. truck-mounted brake system, to protect against overcharging. (1) For modified girder, semi- suspension system components, and (3) If batteries are of the type to monocoque, or truss construction, the any other components attached to the potentially vent explosive gases, the sum of the section moduli in inches 3— truck by design. battery compartment shall be adequately about a longitudinal axis, taken at the ventilated to prevent the accumulation weakest horizontal section between the § 238.221 Glazing. of explosive concentrations of these side sill and side plate—of all posts and (a) Passenger equipment shall comply gases. braces on each side of the car located with the applicable Safety Glazing (c) Power dissipation resistors. between the body corner posts shall be Standards contained in part 223 of this (1) Power dissipating resistors shall be not less than 0.30 multiplied by the chapter, if required by that part. adequately ventilated to prevent distance in feet between the centers of (b) Each exterior window on a overheating under worst-case operating end panels. locomotive cab and a passenger car shall conditions as determined by the (2) For modified girder or semi- remain in place when subjected to: railroad. monocoque construction only, the sum (1) The forces described in part 223 of (2) Power dissipation grids shall be of the section moduli in inches 3—about this chapter; and designed and installed with sufficient a transverse axis, taken at the weakest (2) The forces due to air pressure isolation to prevent combustion. horizontal section between the side sill differences caused when two trains pass (3) Resistor elements shall be and side plate—of all posts, braces and at the minimum separation for two electrically insulated from resistor pier panels, to the extent available, on adjacent tracks, while traveling in frames, and the frames shall be each side of the car located between opposite directions, each train traveling electrically insulated from the supports body corner posts shall be not less than at the maximum authorized speed. that hold them. 0.20 multiplied by the distance in feet (d) Electromagnetic interference and § 238.223 Locomotive fuel tanks. between the centers of end panels. compatibility. (3) The center of an end panel is the (a) External fuel tanks. External (1) The operating railroad shall ensure point midway between the center of the locomotive fuel tanks shall comply with electromagnetic compatibility of the body corner post and the center of the the requirements contained in safety-critical equipment systems with adjacent side post. Appendix D to this part, or an industry their environment. Electromagnetic (4) The minimum section moduli or standard providing at least an compatibility may be achieved through thicknesses specified in paragraph (a) of equivalent level of safety if approved by equipment design or changes to the this section may be adjusted in FRA under § 238.21. operating environment. proportion to the ratio of the yield (b) Internal fuel tanks. (2) The electronic equipment shall not strength of the material used to that of (1) Internal locomotive fuel tanks produce electrical noise that affects the mild open-hearth steel for a car whose shall be positioned in a manner to safe performance of train line control structural members are made of a higher reduce the likelihood of accidental and communications or wayside strength steel. penetration from roadway debris or signaling systems. (b) Sheathing. collision. (3) To contain electromagnetic (1) Outside sheathing of mild, open- (2) Internal fuel tank vent systems interference emissions, suppression of hearth steel when used flat, without shall be designed so they do not become transients shall be at the source reinforcement (other than side posts) in a path of fuel loss in any tank wherever possible. a side frame of modified girder or semi- orientation due to a locomotive (4) All electronic equipment shall be monocoque construction shall not be overturning. self-protected from damage or improper less than 1/8 inch nominal thickness. (3) Internal fuel tank bulkheads and operation, or both, due to high voltage Other metals may be used of a thickness skin shall at a minimum be equivalent transients and long-term over-voltage or in inverse proportion to their yield to a 3⁄8-inch thick steel plate with a under-voltage conditions. This includes strengths. 25,000 pounds-per-square-inch yield protection from both power frequency (2) Outside metal sheathing of less strength. Material of a higher yield and harmonic effects as well as than 1⁄8 inch thickness may be used only strength may be used to decrease the protection from radio frequency signals if it is reinforced so as to produce at required thickness of the material into the microwave frequency range. least an equivalent sectional area at a provided at least an equivalent level of right angle to reinforcements as that of strength is maintained. Skid plates are § 238.227 Suspension system. the flat sheathing specified in paragraph not required. On or after November 8, 1999— (b)(1) of this section. (a) All passenger equipment shall (3) When the sheathing used for truss § 238.225 Electrical system. exhibit freedom from hunting construction serves no load-carrying All passenger equipment shall comply oscillations at all operating speeds. If function, the minimum thickness of that with the following: hunting oscillations do occur, a railroad sheathing shall be not less than 40 (a) Conductors. Conductor sizes shall shall immediately take appropriate percent of that specified in paragraph be selected on the basis of current- action to prevent derailment. For (b)(1) of this section. carrying capacity, mechanical strength, purposes of this paragraph, hunting temperature, flexibility requirements, oscillations shall be considered lateral § 238.219 Truck-to-car-body attachment. and maximum allowable voltage drop. oscillations of trucks that could lead to Passenger equipment shall have a Current-carrying capacity shall be a dangerous instability. truck-to-car-body attachment with an derated for grouping and for operating (b) All passenger equipment intended ultimate strength sufficient to resist temperature. for service above 110 mph shall without failure a force of 2g vertical on (b) Main battery system. demonstrate stable operation during the mass of the truck and a force of (1) The main battery compartment pre-revenue service qualification tests at 250,000 pounds in any horizontal shall be isolated from the cab and all operating speeds up to 5 mph in
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(m) When a passenger train is wear—as determined by the operating (1) Except for a locomotive that is operated in either direct or graduated railroad. ordered before September 8, 2000 or release, the railroad shall ensure that all (c) Nothing in this section shall affect placed in service for the first time before the cars in the train consist are set up the requirements of part 213 of this Sepbember 9, 2002, and except for MU in the same operating mode. locomotives, all locomotives shall be chapter as they apply to passenger § 238.233 Interior fittings and surfaces. equipment as provided in that part. equipped with a hand or parking brake that can: (a) Each seat in a passenger car shall— § 238.229 Safety appliances. (i) Be applied or activated by hand; (1) Be securely fastened to the car Except as provided in this part, all (ii) Be released by hand; and body so as to withstand an individually applied acceleration of 4g acting in the passenger equipment continues to be (iii) Hold the loaded unit on the lateral direction and 4g acting in the subject to the safety appliance maximum grade anticipated by the upward vertical direction on the requirements contained in Federal operating railroad. deadweight of the seat or seats, if held statute at 49 U.S.C. chapter 203 and in (2) Except for a private car and locomotives addressed in paragraph in tandem; and Federal regulations at part 231 and (2) Have an attachment to the car § 232.2 of this chapter. (h)(1) of this section, all other passenger equipment, including MU locomotives, body of an ultimate strength capable of § 238.231 Brake system. shall be equipped with a hand brake resisting simultaneously: (i) The longitudinal inertial force of 8g Except as otherwise provided in this that meets the requirements for hand acting on the mass of the seat; and brakes contained in part 231 of this section, on or after September 9, 1999 (ii) The load associated with the chapter and that can: the following requirements apply to all impact into the seatback of an (i) Be applied or activated by hand; passenger equipment and passenger unrestrained 95th-percentile adult male trains. (ii) Be released by hand; and (iii) Hold the loaded unit on the initially seated behind the seat, when (a) A passenger train’s primary brake the floor to which the seat is attached system shall be capable of stopping the maximum grade anticipated by the operating railroad. decelerates with a triangular crash pulse train with a service application from its having a peak of 8g and a duration of maximum authorized operating speed (i) Passenger cars shall be equipped with a means to apply the emergency 250 milliseconds. within the signal spacing existing on the (b) Overhead storage racks in a brake that is accessible to passengers track over which the train is operating. passenger car shall provide longitudinal and located in the vestibule or (b) The brake system design of and lateral restraint for stowed articles. passenger compartment. The emergency passenger equipment ordered on or after Overhead storage racks shall be attached brake shall be clearly identified and September 8, 2000 or placed in service to the car body with sufficient strength marked. for the first time on or after September to resist loads due to the following (j) Locomotives equipped with 9, 2002, shall not require an inspector individually applied accelerations blended brakes shall be designed so to place himself or herself on, under, or acting on the mass of the luggage stowed between components of the equipment that: (1) The blending of friction and as determined by the railroad: to observe brake actuation or release. (1) Longitudinal: 8g; dynamic brake to obtain the correct (2) Vertical: 4g; and (c) Passenger equipment shall be retarding force is automatic; provided with an emergency brake (3) Lateral: 4g. (2) Loss of power or failure of the (c) Other interior fittings within a application feature that produces an dynamic brake does not result in irretrievable stop, using a brake rate passenger car shall be attached to the exceeding the allowable stopping car body with sufficient strength to consistent with prevailing adhesion, distance; passenger safety, and brake system withstand the following individually (3) The friction brake alone is applied accelerations acting on the mass thermal capacity. An emergency brake adequate to safely stop the train under application shall be available at any of the fitting: all operating conditions; and (1) Longitudinal: 8g; time, and shall be initiated by an (4) Operation of the friction brake unintentional parting of the train. (2) Vertical: 4g; and alone does not result in thermal damage (3) Lateral: 4g. (d) A passenger train brake system to wheels or disc rotor surface (d) To the extent possible, all interior shall respond as intended to signals temperatures exceeding the fittings in a passenger car, except seats, from a train brake control line or lines. manufacturer’s recommendation. shall be recessed or flush-mounted. Control lines shall be designed so that (k) For new designs of braking (e) Sharp edges and corners in a failure or breakage of a control line will systems, the design process shall locomotive cab and a passenger car shall cause the brakes to apply or will result include computer modeling or be either avoided or padded to mitigate in a default to control lines that meet dynamometer simulation of train the consequences of an impact with this requirement. braking that shows compliance with such surfaces. (e) Introduction of alcohol or other paragraphs (f) and (g) of this section (f) Each seat provided for a chemicals into the air brake system of over the range of equipment operating crewmember regularly assigned to passenger equipment is prohibited. speeds. A new simulation is required occupy the cab of a locomotive and each (f) The operating railroad shall require prior to implementing a change in floor-mounted seat in the cab shall be that the design and operation of the operating parameters. secured to the car body with an brake system results in wheels that are (l) Locomotives ordered on or after attachment having an ultimate strength free of condemnable cracks. September 8, 2000 or placed in service capable of withstanding the loads due to (g) Disc brakes shall be designed and for the first time on or after September the following individually applied operated to produce a surface 9, 2002, shall be equipped with effective accelerations acting on the combined temperature no greater than the safe air coolers or dryers that provide air to mass of the seat and a 95th-percentile operating temperature recommended by the main reservoir with a dew point at adult male occupying it:
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(1) Longitudinal: 8g; (d) Marking and instructions. (b) Beginning July 12, 2001 the (2) Lateral: 4g; and [Reserved] requirements contained in this subpart (3) Vertical: 4g. shall apply to railroads operating Tier I (g) If, for purposes of showing § 238.237 Automated monitoring. passenger equipment covered by this compliance with the requirements of (a) Except as further specified in this part. A railroad may request earlier this section, the strength of a seat paragraph, on or after November 8, 1999 application of the requirements attachment is to be demonstrated a working alerter or deadman control contained in this subpart upon written through sled testing, the seat structure shall be provided in the controlling notification to FRA’s Associate and seat attachment to the sled that is locomotive of each passenger train Administrator for Safety as provided in used in such testing must be operating in other than cab signal, § 238.1(c). automatic train control, or automatic representative of the actual seat (c) Paragraphs (b) and (c) of § 238.309 structure in, and seat attachment to, the train stop territory. If the controlling locomotive is ordered on or after shall apply beginning September 9, rail vehicle subject to the requirements 1999. of this section. If the attachment September 8, 2000, or placed into strength of any other interior fitting is to service for the first time on or after § 238.303 Exterior calendar day be demonstrated through sled testing, September 9, 2002, a working alerter mechanical inspection of passenger for purposes of showing compliance shall be provided. equipment. (b) Alerter or deadman control timing with the requirements of this section, (a) General. shall be set by the operating railroad such testing shall be conducted in a (1) Except as provided in paragraph (f) similar manner. taking into consideration maximum train speed and capabilities of the signal of this section, each passenger car and § 238.235 Doors. system. The railroad shall document the each unpowered vehicle used in a (a) By December 31, 1999, each basis for setting alerter or deadman passenger train shall receive an exterior powered, exterior side door in a control timing and make this mechanical inspection at least once vestibule that is partitioned from the documentation available to FRA upon each calendar day that the equipment is passenger compartment of a passenger request. placed in service. car shall have a manual override device (c) If the train operator does not (2) Except as provided in paragraph (f) that is: respond to the alerter or maintain of this section, all passenger equipment (1) Capable of releasing the door to proper contact with the deadman shall be inspected as required in this permit it to be opened without power control, it shall initiate a penalty brake section at least once each calendar day from inside the car; application. that the equipment is placed in service (2) Located adjacent to the door which (d) The following procedures apply if to ensure that the equipment conforms it controls; and the alerter or deadman control fails en with the requirement contained in (3) Designed and maintained so that a route: paragraph (e)(15) of this section. person may readily access and operate (1)(i) A second person qualified on (3) If a passenger care is also classified the override device from inside the car the signal system and brake application as a locomotive under part 229 of this without requiring the use of a tool or procedures shall be stationed in the chapter, the passenger car shall also other implement. locomotive cab; or receive a daily inspection pursuant to (ii) The engineer shall be in constant (b) Each passenger car ordered on or the requirements of § 229.21 of this communication with a second after September 8, 2000, or placed in chapter. crewmember until the train reaches the service for the first time on or after (b) Each passenger car and each September 9, 2002 shall have a next terminal. (2)(i) A tag shall be prominently unpowered vehicle added to a passenger minimum of two exterior side doors, train shall receive an exterior calendar each door providing a minimum clear displayed in the locomotive cab to indicate that the alerter or deadman day mechanical inspection at the time it opening with dimensions of 30 inches is added to the train unless horizontally by 74 inches vertically. control is defective, until such device is repaired; and documentation is provided to the train Note: The Americans with Disabilities Act (ii) When the train reaches its next crew that an exterior mechanical (ADA) Accessibility Specifications for terminal or the locomotive undergoes its inspection was performed on the car the Transportation Vehicles also contain next calender day inspection, whichever previous calendar day. requirements for doorway clearance (See 49 CFR part 38). occurs first, the alerter or deadman (c) The exterior calendar day control shall be repaired or the mechanical inspection shall be Each powered, exterior side door on locomotive shall be removed as the performed by a qualified maintenance each such passenger car shall have a controlling locomotive in the train. person. manual override device that is: (1) Capable of releasing the door to Subpart DÐInspection, Testing, and (d) The exterior calendar day permit it to be opened without power Maintenance Requirements for Tier I mechanical inspection required by this from both inside and outside the car; Passenger Equipment section shall be conducted to the extent (2) Located adjacent to the door which possible without uncoupling the trainset it controls; and § 238.301 Scope. and without placing the equipment over (3) Designed and maintained so that a (a) This subpart contains a pit or on an elevated track. person may access the override device requirements pertaining to the (e) As part of the exterior calendar day from both inside and outside the car inspection, testing, and maintenance of mechanical inspection, the railroad without requiring the use of a tool or passenger equipment operating at shall verify conformity with the other implement. speeds not exceeding 125 miles per following conditions, and (c) A railroad may protect a manual hour. The requirements in this subpart nonconformity with any such condition override device used to open a powered, address the inspection, testing, and renders the passenger car or unpowered exterior door with a cover or a screen maintenance of the brake system as well vehicle used in a passenger train capable of removal without requiring as other mechanical and electrical defective whenever discovered in the use of a tool or other implement. components covered by this part. service:
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(1) Products of combustion are (8) Each wheel does not have any of known to have a defective condition released entirely outside the cab and the following conditions: which prevents their proper operation at other compartments. (i) A single flat spot that is 21⁄2 inches the time that the exterior mechanical (2) Each battery container is vented or more in length, or two adjoining inspection is performed or at any other and each battery is kept from gassing spots that are each two or more inches time while the locomotive is in service, excessively. in length; the following requirements shall be met (3) Each coupler is in the following (ii) A gouge or chip in the flange that in order to continue the locomotive in condition: is more than 11⁄2 inches in length and service: (i) Sidewall or pin bearing bosses and 1⁄2 inch in width; (i) MU locomotives equipped with the pulling face of the knuckles are not (iii) A broken rim, if the tread, dynamic brakes found not to be in broken or cracked; measured from the flange at a point 5⁄8 operating mode or containing a (ii) The coupler assembly is equipped of an inch above the tread, is less than defective condition which prevents the with anti-creep protection; 33⁄4 inches in width; proper operation of the dynamic brakes (iii) The coupler carrier is not broken (iv) A shelled-out spot 21⁄2 inches or shall be handled in the same manner as or cracked; and more in length, or two adjoining spots a running gear defect pursuant to (iv) The yoke is not broken or cracked. that are each two or more inches in § 238.17. (4) A device is provided under the length; (ii) Conventional locomotives lower end of all drawbar pins and (v) A seam running lengthwise that is equipped with dynamic brakes found articulated connection pins to prevent within 33⁄4 inches of the flange; not to be in operating mode or the pin from falling out of place in case (vi) A flange worn to a 7⁄8 inch containing a defective condition which of breakage. thickness or less, gauged at a point 3⁄8 prevents the proper operation of the (5) The suspension system, including of an inch above the tread; dynamic brakes shall be handled in the spring rigging, is in the following (vii) A tread worn hollow 5⁄16 of an accordance with the following: condition: inch or more; (A) A tag bearing the words (i) Protective construction or safety (viii) A flange height of 11⁄2 inches or ‘‘inoperative dynamic brakes’’ shall be hangers are provided to prevent spring more measured from the tread to the top securely displayed in a conspicuous planks, spring seats, or bolsters from of the flange; location in the cab of the locomotive dropping to the track structure in event (ix) A rim less than 1 inch thick; and contain the locomotive number, the of a hanger or spring failure; (x) A crack or break in the flange, date and location where the condition (ii) The top (long) leaf or any of the tread, rim, plate, or hub; was discovered, and the signature of the other three leaves of the elliptical spring (xi) A loose wheel; or person discovering the condition; is not broken, except when a spring is (xii) A weld. (B) The locomotive engineer shall be part of a nest of three or more springs (9) No part or appliance of a passenger informed in writing that the dynamic and none of the other springs in the nest coach, except the wheels, is less than brakes on the locomotive are inoperative has its top leaf or any of the other three 21⁄2 inches above the top of the rail. at the location where the locomotive leaves broken; (10) Each unguarded, noncurrent- engineer first takes charge of the train; (iii) The outer coil spring or saddle is carrying metal part subject to becoming and not broken; charged is grounded or thoroughly (C) The inoperative or defective (iv) The equalizers, hangers, bolts, insulated. dynamic brakes shall be repaired within gibs, or pins are not cracked or broken; (11) Each jumper and cable 3 calendar days of being found in (v) The coil spring is not fully connection is in the following defective condition or at the compressed when the car is at rest; condition: locomotive’s next periodic inspection (vi) The shock absorber is not broken (i) Each jumpers and cable connection pursuant to § 229.23 of this chapter, or leaking oil or other fluid; and between coaches, between locomotives, whichever occurs first. (vii) Each air bag or other pneumatic or between a locomotive and a coach is (f) Exception. A long-distance suspension system component inflates located and guarded in a manner that intercity passenger train that misses a or deflates, as applicable, correctly and provides sufficient vertical clearance. scheduled exterior calendar day otherwise operates as intended. Jumpers and cable connections may not mechanical inspection due to a delay en (6) Each truck is in the following hang with one end free; route may continue in service to the condition: (ii) The insulation is not broken or location where the inspection was (i) Each tie bar is not loose; badly chafed; scheduled to be performed. At that (ii) Each motor suspension lug, (iii) No plug, receptacle, or terminal is point, an exterior calendar day equalizer, hanger, gib, or pin is not broken; and mechanical inspection shall be cracked or broken; and (iv) No strand of wire is broken or performed prior to returning the (iii) The truck frame is not broken and protruding. equipment to service. This flexibility is not cracked in a stress area that may (12) Each door and cover plate applies only to the exterior mechanical affect its structural integrity. guarding high voltage equipment is safety inspections required by this (7) Each side bearing is in the marked ‘‘Danger—High Voltage’’ or with section, and does not relieve the following condition: the word ‘‘Danger’’ and the normal railroad of the responsibility to perform (i) Each friction side bearing with voltage carried by the parts so protected. a calendar day inspection on a unit springs designed to carry weight does (13) Each buffer plate is in place. classified as a ‘‘locomotive’’ under part not have more than 25 percent of the (14) Each diaphragm, if any, is in 229 of this chapter as required by springs in any one nest broken; place and properly aligned. § 229.21 of this chapter. (ii) Each friction side bearing does not (15) Each secondary braking system is (g) Records. A record shall be run in contact unless designed to carry in operating mode and does not have maintained of each exterior calendar weight; and any known defective condition which day mechanical inspection performed. (iii) The maximum clearance of each prevents its proper operation. If the (1) This record may be maintained in side bearing does not exceed the dynamic brakes on a locomotive are writing or electronically provided FRA manufacturer’s recommendation. found not to be in operating mode or are has access to the record upon request.
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(2) The written or electronic record next interior calendar day mechanical cars and all unpowered vehicles used in must contain the following information: inspection is due at which time the a passenger train as required by this (i) The identification number of the appropriate repairs shall be made: section or as warranted and justified by unit; (i) A qualified person or a qualified data developed pursuant to paragraph (ii) The place, date, and time of the maintenance person determines that the (a)(2) of this section. A periodic inspection; repairs necessary to bring a door into inspection conducted under part 229 of (iii) Any non-complying conditions compliance cannot be performed at the this chapter satisfies the requirement of found; and time the interior mechanical inspection this section with respect to the features (iv) The signature of the inspector. is conducted; inspected. (3) This record may be part of a single (ii) A qualified person or a qualified (2) A railroad may, upon written master report covering an entire group maintenance person determines that it notification to FRA’s Associate of cars and equipment. is safe to move the equipment in Administrator for Safety, adopt and (4) This record shall be maintained at passenger service; comply with alternative periodic the place where the inspection is (iii) At least one operative and mechanical inspection intervals for conducted or at one central location and accessible door is available on each side specific components or equipment in shall be retained for at least 92 days. of the car; and lieu of the requirements of this section. (h) Cars requiring a single car test in (iv) A notice is prominently displayed Any alternative interval must be based accordance with § 238.311 that are being directly on the defective door indicating upon a documented reliability moved in service to a location where the that the door is defective. assessment conducted under a system single car test can be performed shall (6) All safety-related signage is in safety plan subject to periodic peer have the single car test completed prior place and legible. audit. (See Appendix E to this part for to, or as a part of, the exterior calendar (7) All vestibule steps are illuminated. a discussion of the general principles of day mechanical inspection. (8) All D rings, pull handles, or other reliability-based maintenance means to access manual door releases programs.) The periodic inspection § 238.305 Interior calendar day mechanical intervals provided in this section may inspection of passenger cars. are in place based on a visual inspection. be changed only when justified by (a) Except as provided in paragraph (9) All emergency equipment, accumulated, verifiable data that (d) of this section, each passenger car including a fire extinguisher, pry bar, provides a high level of confidence that shall receive an interior mechanical auxiliary portable lighting, and first aid the component(s) will not fail in a inspection at least once each calendar kits, as applicable, are in place. manner resulting in harm to persons. day that it is placed in service. (d) A long-distance intercity FRA may monitor and review a (b) The interior calendar day passenger train that misses a scheduled railroad’s implementation and mechanical inspection shall be calendar day interior mechanical compliance with any alternative interval performed by a qualified person or a inspection due to a delay en route may adopted. FRA’s Associate Administrator qualified maintenance person. continue in service to the location for Safety may prohibit or revoke a (c) As part of the interior calendar day where the inspection was scheduled to railroad’s ability to utilize an alternative mechanical inspection, the railroad be performed. At that point, an interior inspection interval if FRA determines shall verify conformity with the calendar day mechanical inspection that the adopted interval is not following conditions, and shall be performed prior to returning the supported by credible data or does not nonconformity with any such condition equipment to service. provide adequate safety assurances. renders the car defective whenever (e) Records. A record shall be Such a determination will be made in discovered in service, except as maintained of each interior calendar day writing and will state the basis for such provided in paragraph (c)(5) of this mechanical inspection performed. action. section: (1) This record may be maintained in (b) Each periodic mechanical (1) All fan openings, exposed gears writing or electronically provided FRA inspection required by this section shall and pinions, exposed moving parts of has access to the record upon request. be performed by a qualified mechanisms, pipes carrying hot gases (2) The written or electronic record maintenance person. and high-voltage equipment, switches, must contain the following information: (c) As part of the periodic mechanical circuit breakers, contactors, relays, grid (i) The identification number of the inspection the railroad shall verify the resistors, and fuses are installed in non- unit; condition of the following interior and hazardous locations or equipped with (ii) The place, date, and time of the exterior mechanical components, which guards to prevent personal injury. inspection; shall be inspected not less frequently (2) The words ‘‘Emergency Brake (iii) Any non-complying conditions than every 92 days. At a minimum, this Valve’’ are legibly stenciled or marked found; and inspection shall determine that: near each brake pipe valve or shown on (iv) The signature of the inspector. (1) Floors of passageways and an adjacent badge plate. (3) This record may be part of a single compartments are free from oil, water, (3) All doors and cover plates master report covering an entire group waste, or any obstruction that creates a guarding high voltage equipment are of cars and equipment. slipping, tripping, or fire hazard, and marked ‘‘Danger—High Voltage’’ or with (4) This record shall be maintained at floors are properly treated to provide the word ‘‘Danger’’ and the normal the place where the inspection is secure footing. voltage carried by the parts so protected. conducted or at one central location and (2) Emergency lighting systems are (4) All trap doors safely operate and shall be retained for at least 92 days. operational. securely latch in place in both the up (3) With regard to switches: and down position. § 238.307 Periodic mechanical inspection (i) All hand-operated switches (5) All end doors and side doors of passenger cars and unpowered vehicles carrying currents with a potential of operate safely and as intended. If a door used in passenger trains. more than 150 volts that may be is defective and all of the following (a) General. operated while under load are covered conditions are satisfied, the car may (1) Railroads shall conduct periodic and are operative from the outside of the remain in passenger service until the mechanical inspections of all passenger cover;
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(ii) A means is provided to display latches and straps are in place and periodically cleaned, repaired, and whether the switches are open or function as intended. tested. This maintenance procedure closed; and (4) A representative sample of requires that all of the equipment’s (iii) Switches not designed to be emergency window exits on the brake system pneumatic components operated safely while under load are railroad’s passenger cars properly that contain moving parts and are sealed legibly marked with the voltage carried operate, in accordance with the against air leaks be removed from the and the words ‘‘must not be operated requirements of § 239.107 of this equipment, disassembled, cleaned, and under load’’. chapter. lubricated and that the parts that can (4) All trucks are equipped with a (5) Each coupler is in the following deteriorate with age be replaced. device or securing arrangement to condition: (2) A railroad may petition FRA’s prevent the truck and car body from (i) The distance between the guard Associate Administrator for Safety to separating in case of derailment. arm and the knuckle nose is not more approve alternative maintenance (5) All center castings on trucks are than 51⁄2 inches on standard type procedures providing equivalent safety, not cracked or broken. couplers (MCB contour 1904), or not in lieu of the requirements of this (6) All roller bearings do not have any more than 55⁄16 inches on D&E couplers; section. The petition shall be filed as of the following conditions: (ii) The free slack in the coupler or provided in § 238.21. (i) A sign of having been overheated drawbar not absorbed by friction (b) MU locomotives. The brake as evidenced by discoloration or other devices or draft gears is not more than equipment of each MU locomotive shall telltale sign of overheating such as 1⁄2 inch; and be cleaned, repaired, and tested at damage to the seal or distortion of any (iii) The draft gear is not broken. intervals in accordance with the bearing component; (e) The periodic mechanical following schedule: (ii) A loose or missing cap screw; inspection shall specifically include the (1) Every 736 days if the MU (iii) A broken, missing, or improperly manual door releases, which shall be locomotive is part of a fleet that is not applied cap screw lock; or inspected not less frequently than every 100 percent equipped with air dryers; (iv) A seal that is loose or damaged or 368 days. At a minimum, this (2) Every 1,104 days if the MU permits leakage of lubricant in clearly inspection shall determine that all locomotive is part of a fleet that is 100 formed droplets. manual door releases operate as percent equipped with air dryers and is (7) All mechanical systems and intended. equipped with PS–68, 26–C, 26–L, PS– components of the equipment are free of (f) Records. (1) A record shall be 90, CS–1, RT–2, RT–5A, GRB–1, CS–2, all the following general conditions that maintained of each periodic mechanical or 26–R brake systems. (This listing of endanger the safety of the crew, inspection required to be performed by brake system types is intended to passengers, or equipment: this section. This record may be subsume all brake systems using 26 (i) A continuous accumulation of oil maintained in writing or electronically type, ABD, or ABDW control valves and or grease; provided FRA has access to the record PS68, PS–90, 26B–1, 26C, 26CE, 26–B1, (ii) Improper functioning of a upon request. The date and place of the 30CDW, or 30ECDW engineer’s brake component; periodic inspection shall be recorded valves.); and (iii) A crack, break, excessive wear, and the person performing the structural defect, or weakness of a (3) Every 736 days for all other MU inspection and that person’s supervisor locomotives. component; shall sign the form, if possible. This (c) Conventional locomotives. The (iv) A leak; record shall be kept in the railroad’s brake equipment of each conventional (v) Use of a component or system files, the cab of the locomotive, or a locomotive shall be cleaned, repaired, under a condition that exceeds that for designated location in the passenger car and tested at intervals in accordance which the component or system is until the next periodic mechanical with the following schedule: designed to operate; and inspection of the same type is (1) Every 1,104 days for a locomotive (vi) Insecure attachment of a performed. equipped with a 26–L or equivalent component. (2) Detailed documentation of any brake system; and (8) All of the items identified in the reliability assessments depended upon (2) Every 736 days for a locomotive exterior calendar day mechanical for implementing an alternative equipped with other than a 26–L or inspection contained at § 238.303 are in inspection interval under paragraph equivalent brake system. conformity with the conditions (a)(2) of this section, including (d) Passenger coaches and other prescribed in that section. underlying data, shall be retained unpowered vehicles. The brake (9) All of the items identified in the during the period that the alternative equipment on each passenger coach and interior calendar day mechanical inspection interval is in effect. Data each unpowered vehicle used in a inspection contained at § 238.305 are in documenting inspections, tests, passenger train shall be cleaned, conformity with the conditions component replacement and renewals, repaired, and tested at intervals in prescribed in that section. and failures shall be retained for not less accordance with following schedule: (d) The periodic mechanical than three (3) inspection intervals. inspection shall specifically include the (g) Nonconformity with any of the (1) Every 1,476 days for a coach or following interior and exterior conditions set forth in this section vehicle equipped with a 26–C or mechanical components, which shall be renders the car or vehicle defective equivalent brake system; and inspected not less frequently than every whenever discovered in service. (2) Every 1,104 days for a coach or 184 days. At a minimum, this vehicle equipped with other than a 26– inspection shall determine that: § 238.309 Periodic brake equipment C or equivalent brake system. (1) Seats and seat attachments are not maintenance. (e) Cab cars. The brake equipment of broken or loose. (a) General. each cab car shall be cleaned, repaired, (2) Luggage racks are not broken or (1) This section contains the and tested at intervals in accordance loose. minimum intervals at which the brake with the following schedule: (3) All beds and bunks are not broken equipment on various types of (1) Every 1,476 days for that portion or loose, and all restraints or safety passenger equipment shall be of the cab car brake system using brake
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00143 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 25682 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations valves that are identical to the passenger (3) Thermal crack; occurs first, that the train remains in coach 26–C brake system; (4) Overheated wheel; or continuous passenger service. (2) Every 1,104 days for that portion (5) Shelling. (c) Each car added to a passenger train of the cab car brake system using brake (d) A railroad need not perform the shall receive a Class I brake test at the valves that are identical to the single car test required in paragraph (c) time it is added to the train unless locomotive 26–L brake system; and of this section, if the railroad can documentation is provided to the train (3) Every 736 days for all other types establish that the wheel defect is other crew that a Class I brake test was of cab car brake valves. than built-up tread and is due to a cause performed on the car within the (f) Records of periodic maintenance. other than a defective brake system on previous calendar day and the car has (1) The date and place of the cleaning, the car. not been disconnected from a source of repairing, and testing required by this (e) Except as provided in paragraph (f) compressed air for more than four hours section shall be recorded on Form FRA of this section, a railroad shall perform prior to being added to the train. 6180–49A or a similar form developed a single car test of the brake system of (d) Each Class I brake test shall be by the railroad containing the same a car or vehicle described in paragraph performed by a qualified maintenance information, and the person performing (a) of this section when: person. the work and that person’s supervisor (1) The car or vehicle is placed in (e) Each Class I brake test may be shall sign the form, if possible. service after having been out of service performed either separately or in Alternatively, the railroad may stencil for 30 days or more; or conjunction with the exterior calendar the vehicle with the date and place of (2) One or more of the following day mechanical inspection required the cleaning, repairing, and testing and conventional air brake equipment items under § 238.303. maintain an electronic record of the is removed, repaired, or replaced: (f) Except as provided in § 238.15(b), person performing the work and that (i) Relay valve; a railroad shall not use or haul a person’s supervisor. (ii) Service portion; passenger train in passenger service (2) A record of the parts of the air (iii) Emergency portion; or from a location where a Class I brake (iv) Pipe bracket. brake system that are cleaned, repaired, test has been performed, or was required (f) Exception. If the single car test and tested shall be kept in the railroad’s by this part to have been performed, cannot be made at the point where files, the cab of the locomotive, or a with less than 100 percent operative repairs are made, the car may be moved designated location in the passenger car brakes. in passenger service to the next forward until the next such periodic test is (g) A Class I brake test shall determine location where the test can be made. A performed. and ensure that: railroad may move a car in this fashion (1) The friction brakes apply and § 238.311 Single car test. only after visually verifying an remain applied on each car in the train (a) Except for self-propelled passenger application and release of the brakes on until a release of the brakes has been cars, single car tests of all passenger cars both sides of the car that was repaired, initiated on each car in response to train and all unpowered vehicles used in and provided that the car is line electric, pneumatic, or other passenger trains shall be performed in appropriately tagged to indicate the signals. This test shall include a accordance with either APTA Standard need to perform a single car test. The verification that each side of each car’s SS–M–005–98, ‘‘Code of Tests for single car test shall be completed prior brake system responds properly to Passenger Car Equipment Using Single to, or as a part of, the car’s next calendar application and release signals; Car Testing Device,’’ published March, day mechanical inspection. (2) The brake shoes or pads are firmly 1998; or an alternative procedure (g) If one or more of the following seated against the wheel or disc with the approved by FRA pursuant to § 238.21. conventional air brake equipment items brakes applied; The incorporation by reference of this is removed, repaired, or replaced only (3) Piston travel is within prescribed APTA standard was approved by the that portion which is renewed or limits, either by direct observation, Director of the Federal Register in replaced must be tested to satisfy the observation of an actuator, or by accordance with 5 U.S.C. 552(a) and 1 provisions of this section: observation of the clearance between the CFR part 51. You may obtain a copy of (1) Brake reservoir; brake shoe and the wheel or between the incorporated document from the (2) Brake cylinder; (3) Piston assembly; the brake pad and the brake disc with American Public Transit Association, (4) Vent valve; the brakes released; 1201 New York Avenue, N.W., (5) Quick service valve; (4) The communicating signal system Washington, D.C. 20005. You may (6) Brake cylinder release valve; is tested and known to be operating as inspect a copy of the document at the (7) Modulating valve or slack adjuster; intended; Federal Railroad Administration, Docket or (5) Each brake shoe or pad is securely Clerk, 1120 Vermont Avenue, N.W., (8) Angle cock or cutout cock. fastened and correctly aligned in Suite 7000, Washington, D.C. or at the relation to the wheel or to the disc; Office of the Federal Register, 800 North § 238.313 Class I brake test. (6) The engineer’s brake valve or Capitol Street, N.W., Suite 700, (a) Each commuter and short-distance controller will cause the proper train Washington, D.C. intercity passenger train shall receive a line commands for each position or (b) Each single car test required by Class I brake test once each calendar day brake level setting; this section shall be performed by a that the train is placed or continues in (7) Brake pipe leakage does not qualified maintenance person. passenger service. exceed 5 pounds per square inch per (c) A railroad shall perform a single (b) Except as provided in paragraph (i) minute if leakage will affect service car test of the brake system of a car or of this section, each long-distance performance; vehicle described in paragraph (a) of intercity passenger train shall receive a (8) The emergency brake application this section if the car or vehicle is found Class I brake test: and deadman pedal or other emergency with one or more of the following wheel (1) Prior to the train’s departure from control devices function as intended; defects: an originating terminal; and (9) Each brake shoe or pad is not (1) Built-up tread; (2) Every 1,500 miles or once each below the minimum thickness (2) Slid flat wheel; additional calendar day, whichever established by the railroad. This
VerDate 06-MAY-99 18:28 May 11, 1999 Jkt 183247 PO 00000 Frm 00144 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm03 PsN: 12MYR2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25683 thickness shall not be less than the (iii) The train has not been verify the set and release on cars so minimum thickness necessary to safely disconnected from a source of equipped. However, the observation of travel the maximum distance allowed compressed air for more than four hours the brake indicators shall not be made between Class I brake tests; since the performance of the Class I from the cab of the locomotive. The (10) Each angle cock and cutout cock brake test; and inspector shall walk the train in order is properly positioned; (2) Prior to placing a train in service to position himself or herself to (11) The brake rigging or the system that has been off a source of compressed accurately observe each indicator. mounted on the car for the transmission air for more than four hours. of the braking force does not bind or (b) A commuter or short-distance § 238.317 Class II brake test. foul so as to impede the force delivered intercity passenger train that provides (a) A Class II brake test shall be to a brake shoe, impede the release of continuing late night service that began performed on a passenger train when a brake shoe, or otherwise adversely prior to midnight may complete its daily any of the following events occurs: affect the operation of the brake system; operating cycle after midnight without (1) Whenever the control stand used (12) If the train is equipped with performing another Class I or Class IA to control the train is changed; except if electropneumatic brakes, an brake test. A Class I or Class IA brake the control stand is changed to facilitate electropneumatic application of the test shall be performed on such a train the movement of a passenger train from brakes is made and the train is walked before it starts a new daily operating one track to another within a terminal to determine that the brakes on each car cycle. complex while not in passenger service. in the train properly apply; (c) A Class I or Class IA brake test may In these circumstances, a Class II brake (13) Each brake disc is free of any be performed at a shop or yard site and test shall be performed prior to the crack in accordance with the need not be repeated at the first train’s departure from the terminal manufacturer’s specifications or, if no passenger terminal if the train remains complex with passengers; specifications exist, free of any crack to on a source of compressed air and in the (2) Prior to the first morning departure the extent that the design permits; custody of the train crew. of each commuter or short-distance (14) If the equipment is provided with (d) The Class IA brake test shall be intercity passenger train where a Class a brake indicator, the brake indicator performed by either a qualified person I brake test remains valid as provided in operates as intended; and or a qualified maintenance person. § 238.315(a)(1); (15) The communication of brake pipe (e) Except as provided in § 238.15(b), (3) When previously tested units (i.e., pressure changes at the rear of the train a railroad shall not use or haul a cars that received a Class I brake test is verified. passenger train in passenger service within the previous calendar day and (h) A qualified maintenance person from a location where a Class IA brake have not been disconnected from a that performs a Class I brake test on a test has been performed, or was required source of compressed air for more than train shall place in the cab of the by this part to have been performed, four hours) are added to the train; controlling locomotive of the train a with less than 100 percent operative (4) When cars or equipment are written statement, which shall be brakes. removed from the train; and retained in the cab until the next Class (f) In performing a Class IA brake test, (5) When an operator first takes I brake test is performed and which it shall be determined that: charge of the train, except for face-to- shall contain the following information: (1) Brake pipe leakage does not face relief. exceed 5 pounds per square inch per (1) The date and time the Class I brake (b) A Class II brake test shall be minute if brake pipe leakage will affect test was performed; performed by a qualified person or a service performance; (2) The location where the test was qualified maintenance person. (2) Each brake sets and releases by performed; (c) Except as provided in § 238.15, a (3) The identification number of the inspecting in the manner described in railroad shall not use or haul a controlling locomotive of the train; and paragraph (g) of this section; passenger train in passenger service (4) The total number of cars inspected (3) On MU equipment, the emergency from a terminal or yard where a Class during the Class I brake test. brake application and the deadman (i) A long-distance, intercity pedal or other emergency control II brake test has been performed, or was passenger train that misses a scheduled devices function as intended; required by this part to have been calendar day Class I brake test due to a (4) Each angle cock and cutout cock performed, with any of the brakes cut- delay en route may proceed to the point is properly set; out, inoperative, or defective. where the Class I brake test was (5) Brake pipe pressure changes at the (d) In performing a Class II brake test scheduled to be performed. A Class I rear of the train are properly on a train, a railroad shall determine brake test shall be completed at that communicated to the controlling that: point prior to placing the train back in locomotive; and (1) The brakes on the rear unit of the service. (6) The communicating signal system train apply and release in response to a is tested and known to be operating as signal from the engineer’s brake valve or § 238.315 Class IA brake test. intended; controller of the leading or controlling (a) Except as provided in paragraph (g) In determining whether each brake unit, or a gauge located at the rear of the (b) of this section, either a Class I or a sets and releases— train or in the cab of the rear unit Class IA brake test shall be performed: (1) The inspection of the set and indicates that brake pipe pressure (1) Prior to the first morning departure release of the brakes shall be completed changes are properly communicated at of each commuter or short-distance by walking the train to directly observe the rear of the train; intercity passenger train, unless all of the set and release of each brake, if the (2) On MU equipment, the emergency the following conditions are satisfied: railroad determines that such a brake application and deadman pedal or (i) A Class I brake test was performed procedure is safe. other emergency control devices within the previous twelve (12) hours; (2) If the railroad determines that function as intended; and (ii) The train has not been used in operating conditions pose a safety (3) The communicating signal system passenger service since the performance hazard to an inspector walking the is tested and known to be operating as of the Class I brake test; and brakes, brake indicators may be used to intended.
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§ 238.319 Running brake test. before any structural damage occurs to minimum longitudinal static (a) As soon as conditions safely the occupied volume. compressive force of 800,000 pounds permit, a running brake test shall be (c) At a minimum, each Tier II without permanent deformation to the performed on each passenger train after passenger train shall be designed to car. To demonstrate compliance with the train has received, or was required meet the following requirements: this requirement, the 800,000-pound under this part to have received, either (1) Thirteen megajoules (MJ) shall be load shall be applied to the underframe a Class I, Class IA, or Class II brake test. absorbed at each end of the train of the occupied volume as it would be through the controlled crushing of (b) A running brake test shall be transmitted to the underframe by the unoccupied volumes, and of this performed whenever the control stand full structure of the vehicle. amount a minimum of 5 MJ shall be (c) Unoccupied volumes of a power used to control the train is changed to absorbed ahead of the operator’s cab in car or a trailer car designed to crush as facilitate the movement of a passenger each power car; part of the crash energy management train from one track to another within (2) A minimum of an additional 3 MJ design are not subject to the a terminal complex while not in shall be absorbed by the power car requirements of this section. passenger service. structure between the operator’s cab and (c) The running brake test shall be the first trailer car; and § 238.407 Anti-climbing mechanism. conducted in accordance with the (3) The end of the first trailer car (a) Each power car shall have an anti- railroad’s established operating rules, adjacent to each power car shall absorb climbing mechanism at its forward end and shall be made by applying brakes in a minimum of 5 MJ through controlled capable of resisting an ultimate upward a manner that allows the engineer to crushing. or downward static vertical force of ascertain whether the brakes are (d) For a 30-mph collision of a Tier II 200,000 pounds. A power car operating properly. passenger train on tangent, level track constructed with a crash energy (d) If the engineer determines that the with an identical stationary train: management design is permitted to brakes are not operating properly, the (1) When seated anywhere in a trailer crush in a controlled manner before the engineer shall stop the train and follow car, the velocity at which a 50th- anti-climbing mechanism fully engages. the procedures provided in § 238.15. percentile adult male contacts the seat (b) Interior train coupling points back ahead of him shall not exceed 25 between units, including between units Subpart EÐSpecific Requirements for mph; and of articulated cars or other permanently Tier II Passenger Equipment (2) The deceleration of the occupied joined units of cars, shall have an anti- volumes of each trailer car shall not climbing mechanism capable of § 238.401 Scope. exceed 8g. For the purpose of resisting an upward or downward This subpart contains specific demonstrating compliance with this vertical force of 100,000 pounds without requirements for railroad passenger paragraph, deceleration measurements yielding. equipment operating at speeds may be processed through a low-pass (c) The forward coupler of a power car exceeding 125 mph but not exceeding filter having a bandwidth of 50 Hz. shall be attached to the car body to 150 mph. The requirements of this (e) Compliance with paragraphs (a) resist a vertical downward force of subpart apply beginning on September through (d) of this section shall be 100,000 pounds for any horizontal 9, 1999. As stated in § 238.433(b), all demonstrated by analysis using a position of the coupler without yielding. such passenger equipment remains dynamic collision computer model. For the purpose of demonstrating § 238.409 Forward end structures of power subject to the requirements concerning car cabs. couplers and uncoupling devices compliance, the following assumptions This section contains requirements for contained in Federal statute at 49 U.S.C. shall be made: the forward end structure of the cab of chapter 203 and in FRA regulations at (1) The train remains upright, in line, a power car. (A conceptual part 231 and § 232.2 of this chapter. and with all wheels on the track throughout the collision; and implementation of this end structure is § 238.403 Crash energy management. (2) Resistance to structural crushing provided in Figure 1 to this subpart.) (a) Center collision post. The forward (a) Each power car and trailer car follows the force-versus-displacement end structure shall have a full-height shall be designed with a crash energy relationship determined during the center collision post, or its structural management system to dissipate kinetic structural analysis required as part of equivalent, capable of withstanding the energy during a collision. The crash the design of the train. (f) Passenger seating shall not be following: energy management system shall (1) A shear load of 500,000 pounds at provide a controlled deformation and permitted in the leading unit of a Tier II passenger train. its joint with the underframe without collapse of designated sections within exceeding the ultimate strength of the the unoccupied volumes to absorb § 238.405 Longitudinal static compressive joint; collision energy and to reduce the strength. (2) A shear load of 150,000 pounds at decelerations on passengers and (a) To form an effective crash refuge its joint with the roof without exceeding crewmembers resulting from dynamic for crewmembers occupying the cab of the ultimate strength of the joint; and forces transmitted to occupied volumes. a power car, the underframe of the cab (3) A horizontal, longitudinal force of (b) The design of each unit shall of a power car shall resist a minimum 300,000 pounds, applied at a point on consist of an occupied volume located longitudinal static compressive force of level with the bottom of the windshield, between two normally unoccupied 2,100,000 pounds without permanent without exceeding its ultimate strength. volumes. Where practical, sections deformation to the cab, unless (b) Side collision posts. The forward within the unoccupied volumes shall be equivalent protection to crewmembers end structure shall have two side designed to be structurally weaker than is provided under an alternate design collision posts, or their structural the occupied volume. During a approach, validated through analysis equivalent, located at approximately the collision, the designated sections within and testing, and approved by FRA under one-third points laterally, each capable the unoccupied volumes shall start to the provisions of § 238.21. of withstanding the following: deform and eventually collapse in a (b) The underframe of the occupied (1) A shear load of 500,000 pounds at controlled fashion to dissipate energy volume of each trailer car shall resist a its joint with the underframe without
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00146 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25685 exceeding the ultimate strength of the (1) A horizontal, longitudinal shear joint with the roof without exceeding joint; and load of 750,000 pounds at its joint with the ultimate strength of the joint. (2) A horizontal, longitudinal force of the underframe without exceeding the 300,000 pounds, applied at a point on ultimate strength of the joint; and § 238.415 Rollover strength. level with the bottom of the windshield, (2) A horizontal, longitudinal shear (a) Each passenger car and power car without exceeding its ultimate strength. load of 75,000 pounds at its joint with shall be designed to rest on its side and (c) Corner posts. The forward end the roof without exceeding the ultimate be uniformly supported at the top (‘‘roof structure shall have two full-height strength of the joint. rail’’) and the bottom chords (‘‘side corner posts, or their structural sill’’) of the side frame. The allowable equivalent, each capable of § 238.413 End structures of trailer cars. stress in the structural members of the withstanding the following: (a) Except as provided in paragraph occupied volumes for this condition (1) A horizontal, longitudinal or (b) of this section, the end structure of shall be one-half yield or one-half the lateral shear load of 300,000 pounds at a trailer car shall be designed to include critical buckling stress, whichever is its joint with the underframe, without the following elements, or their less. Minor localized deformations to exceeding the ultimate strength of the structural equivalent. (A conceptual the outer side skin of the passenger car joint; implementation of this end structure is or power car is allowed provided such (2) A horizontal, lateral force of provided in Figure 3 to this subpart.) deformations in no way intrude upon 100,000 pounds applied at a point 30 (1) Corner posts. Two full-height the occupied volume of each car. inches up from the underframe corner posts, each capable of (b) Each passenger car and power car attachment, without exceeding the yield withstanding the following: shall also be designed to rest on its roof or the critical buckling stress; and (i) A horizontal, longitudinal shear so that any damage in occupied areas is (3) A horizontal, longitudinal or load of 150,000 pounds at its joint with limited to roof sheathing and framing. the underframe without exceeding the lateral shear load of 80,000 pounds at its The allowable stress in the structural ultimate strength of the joint; joint with the roof, without exceeding members of the occupied volumes for the ultimate strength of the joint. (ii) A horizontal, longitudinal or lateral force of 30,000 pounds applied at this condition shall be one-half yield or (d) Skin. The skin covering the one-half the critical buckling stress, forward-facing end of each power car a point 18 inches up from the underframe attachment without whichever is less. Deformation to the shall be: roof sheathing and framing is allowed to (1) Equivalent to a 1⁄2-inch steel plate exceeding the yield or the critical the extent necessary to permit the with a 25,000 pounds-per-square-inch buckling stress; and vehicle to be supported directly on the yield strength—material of a higher (iii) A horizontal, longitudinal or yield strength may be used to decrease lateral shear load of 20,000 pounds at its top chords of the side frames and end the required thickness of the material joint with the roof without exceeding frames. provided at least an equivalent level of the ultimate strength of the joint. § 238.417 Side loads. (2) Collision posts. Two full-height strength is maintained; (a) Each passenger car body structure (2) Securely attached to the end collision posts each capable of shall be designed to resist an inward structure; and withstanding the following: transverse load of 80,000 pounds of (3) Sealed to prevent the entry of (i) A horizontal, longitudinal shear fluids into the occupied cab area of the load of 300,000 pounds at its joint with force applied to the side sill and 10,000 equipment. As used in paragraph (d), the underframe without exceeding the pounds of force applied to the belt rail the term ‘‘skin’’ does not include ultimate strength of the joint; and (horizontal members at the bottom of forward-facing windows and doors. (ii) A horizontal, longitudinal shear the window opening in the side frame). load of 60,000 pounds at its joint with (b) These loads shall be considered to § 238.411 Rear end structures of power car the roof without exceeding the ultimate be applied separately over the full cabs. strength of the joint. vertical dimension of the specified The rear end structure of the cab of a (b) If the trailer car is designed with member for any distance of 8 feet in the power car shall be designed to include an end vestibule, the end structure direction of the length of the car. the following elements, or their inboard of the vestibule shall have two (c) The allowable stress shall be the structural equivalent. (A conceptual full-height corner posts, or their lesser of the yield stress, except as implementation of this end structure is structural equivalent, each capable of otherwise allowed by this paragraph, or provided in Figure 2 to this subpart.) withstanding the following (A the critical buckling stress. In (a) Corner posts. The rear end conceptual implementation of this end calculating the stress to show structure shall have two full-height structure is provided in Figure 4 to this compliance with this requirement, local corner posts, or their structural subpart): yielding of the side skin adjacent to the equivalent, each capable of (1) A horizontal, longitudinal shear side sill and belt rail, and local yielding withstanding the following: load of 200,000 pounds at its joint with of the side sill bend radii at the (1) A horizontal, longitudinal or the underframe without exceeding the crossbearer and floor-beam connections lateral shear load of 300,000 pounds at ultimate strength of the joint; is allowed. For purposes of this its joint with the underframe without (2) A horizontal, lateral force of paragraph, local yielding is allowed exceeding the ultimate strength of the 30,000 pounds applied at a point 18 provided the resulting deformations in joint; and inches up from the underframe no way intrude upon the occupied (2) A horizontal, longitudinal or attachment without exceeding the yield volume of the car. lateral shear load of 80,000 pounds at its or the critical buckling stress; (d) The connections of the side frame joint with the roof without exceeding (3) A horizontal, longitudinal force of to the roof and underframe shall support the ultimate strength of the joint. 50,000 pounds applied at a point 18 the loads specified in this section. (b) Collision posts. The rear end inches up from the underframe structure shall have two full-height attachment without exceeding the yield § 238.419 Truck-to-car-body and truck collision posts, or their structural or the critical buckling stress; and component attachment. equivalent, each capable of (4) A horizontal, longitudinal or (a) The ultimate strength of the truck- withstanding the following: lateral shear load of 20,000 pounds at its to-car-body attachment for each unit in
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00147 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 25686 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations a train shall be sufficient to resist (1) Each end-facing exterior window § 238.423 Fuel tanks. without failure a vertical force shall resist the impact of a 12-pound (a) External fuel tanks. Each type of equivalent to 2g acting on the mass of solid steel sphere at the maximum external fuel tank must be approved by the truck and a force of 250,000 pounds speed at which the vehicle will operate, FRA’s Associate Administrator for acting in any horizontal direction on the at an angle equal to the angle between Safety upon a showing that the fuel tank truck. the window’s surface as installed and provides a level of safety at least (b) Each component of a truck (which the direction of travel, with no equivalent to a fuel tank that complies include axles, wheels, bearings, the penetration or spall. with the external fuel tank requirements truck-mounted brake system, (2) Each side-facing exterior window in § 238.223(a). suspension system components, and shall resist the impact of a: (b) Internal fuel tanks. Internal fuel any other components attached to the (i) 12-pound solid steel sphere at 15 tanks shall comply with the truck by design) shall remain attached mph, at an angle of 90 degrees to the requirements specified in § 238.223(b). to the truck when a force equivalent to window’s surface, with no penetration § 238.425 Electrical system. 2g acting on the mass of the component or spall; and (a) Circuit protection. is exerted in any direction on that (ii) A granite ballast stone weighing a (1) The main propulsion power line component. minimum of 0.5 pounds, traveling at 75 shall be protected with a lightning § 238.421 Glazing. mph and impacting at a 90-degree angle arrestor, automatic circuit breaker, and to the window’s surface, with no (a) General. Except as provided in overload relay. The lightning arrestor penetration or spall. shall be run by the most direct path paragraphs (b) and (c) of this section, (3) All exterior windows shall: possible to ground with a connection to each exterior window on a passenger car ground of not less than No. 6 AWG. and a power car cab shall comply with (i) Resist a single impact of a 9-mm, These overload protection devices shall the requirements contained in part 223 147-grain bullet traveling at an impact be housed in an enclosure designed of this chapter. velocity of 900 feet per second, with no bullet penetration or spall; and specifically for that purpose with the arc (b) Particular end-facing exterior chute vented directly to outside air. glazing requirements. Each end-facing (ii) Demonstrate anti-spalling performance by the use of a 0.001 (2) Head end power, including exterior window on a passenger car and trainline power distribution, shall be a power car cab shall also: aluminum witness plate, placed 12 inches from the window’s surface provided with both overload and (1) Resist the impact of a 12-pound ground fault protection. solid steel sphere at the maximum during all impact tests. The witness plate shall contain no marks from (3) Circuits used for purposes other speed at which the vehicle will operate, than propelling the equipment shall be at an angle of 90 degrees to the spalled glazing particles after any impact test. connected to their power source through window’s surface, with no penetration circuit breakers or equivalent current- (iii) Be permanently marked, prior to or spall; and limiting devices. (2) Demonstrate anti-spalling installation, in such a manner that the (4) Each auxiliary circuit shall be performance by the use of a 0.001 marking is clearly visible after the provided with a circuit breaker located aluminum witness plate, placed 12 material has been installed. The as near as practical to the point of inches from the window’s surface marking shall include: connection to the source of power for during all impact tests. The witness (A) The words ‘‘FRA TYPE IH’’ for that circuit; however, such protection plate shall contain no marks from end-facing glazing or ‘‘FRA TYPE IIH’’ may be omitted from circuits controlling spalled glazing particles after any for side-facing glazing, to indicate that safety-critical devices. impact test. the material has successfully passed the (b) Main battery system. (3) Be permanently marked, prior to testing requirements of this section; (1) The main batteries shall be installation, in such a manner that the (B) The name of the manufacturer; isolated from the cab and passenger marking is clearly visible after the and seating areas by a non-combustible material has been installed. The (C) The type or brand identification of barrier. marking shall include: the material. (2) Battery chargers shall be designed (i) The words ‘‘FRA TYPE IHP’’ to (d) Glazing securement. Each exterior to protect against overcharging. indicate that the material has window on a passenger car and a power (3) Battery circuits shall include an emergency battery cut-off switch to successfully passed the testing car cab shall remain in place when completely disconnect the energy stored requirements specified in this subjected to: (1) The forces due to air pressure in the batteries from the load. paragraph; (4) If batteries are of the type to differences caused when two trains pass (ii) The name of the manufacturer; potentially vent explosive gases, the at the minimum separation for two and batteries shall be adequately ventilated adjacent tracks, while traveling in (iii) The type or brand identification to prevent accumulation of explosive opposite directions, each train traveling of the material. concentrations of these gases. (c) Passenger equipment ordered prior at the maximum authorized speed; and (c) Power dissipation resistors. to May 12, 1999. Each exterior window (2) The impact forces that the glazed (1) Power dissipating resistors shall be in passenger equipment ordered prior to window is required to resist as specified adequately ventilated to prevent May 12, 1999 may comply with the in this section. overheating under worst-case operating following glazing requirements in the (e) Stenciling. Each car that is fully conditions. alternative of the requirements specified equipped with glazing materials that (2) Power dissipation grids shall be in paragraphs (a) and (b) of this section, meet the requirements of this section designed and installed with sufficient until the window is replaced and the shall be stenciled on an interior wall as isolation to prevent combustion railroad has exhausted its inventory of follows: ‘‘Fully Equipped with FRA Part between resistor elements and replacement windows conforming to the 238 Glazing’’ or similar words combustible material. requirements of this paragraph that it conveying that meaning, in letters at (3) Power dissipation resistor circuits held as of May 12, 1999. least 3⁄8 of an inch high. shall incorporate warning or protective
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00148 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25687 devices for low ventilation air flow, installed lateral accelerometer mounted (2) The automatic coupler and over-temperature, and short circuit on the truck frame. The accelerometer uncoupling device on the leading and failures. output signals shall be processed trailing ends of a semi-permanently (4) Resistor elements shall be through a filter having a band pass of coupled trainset may be stored within a electrically insulated from resistor 0.5 to 10 Hz to determine if hunting removable shrouded housing. frames, and the frames shall be oscillations of the truck are occurring. If (3) If the units in a train are not semi- electrically insulated from the supports hunting oscillations are detected, the permanently coupled, both ends of each that hold them. train monitoring system shall provide unit shall be equipped with an (d) Electromagnetic interference and an alarm to the operator, and the train automatic coupler that couples on compatibility. shall be slowed to a speed at least 5 impact and uncouples by either (1) The operating railroad shall ensure mph less than the speed at which the activation of a traditional uncoupling electromagnetic compatibility of the hunting oscillations stopped. For lever or some other type of uncoupling safety-critical equipment systems with purposes of this paragraph, hunting mechanism that does not require a their environment. Electromagnetic oscillations are considered a sustained person to go between the equipment compatibility can be achieved through cyclic oscillation of the truck which is units. equipment design or changes to the evidenced by lateral accelerations in (b) Hand brakes. Except as provided operating environment. excess of 0.4g root mean square (mean- in paragraph (f) of this section, Tier II (2) The electronic equipment shall not removed) for 2 seconds. trains shall be equipped with a parking produce electrical noise that interferes (d) Ride vibration (quality). (1) While or hand brake that can be applied and with trainline control and traveling at the maximum operating released manually and that is capable of communications or with wayside speed over the intended route, the train holding the train on a 3-percent grade. signaling systems. (3) To contain electromagnetic suspension system shall be designed to: (c) Safety appliance mechanical interference emissions, suppression of (i) Limit the vertical acceleration, as strength and fasteners. transients shall be at the source measured by a vertical accelerometer (1) All handrails, handholds, and sill wherever possible. mounted on the car floor, to no greater steps shall be made of 1-inch diameter (4) Electrical and electronic systems than 0.55g single event, peak-to-peak steel pipe, 5⁄8-inch thickness steel, or a of equipment shall be capable of over a one second period; material of equal or greater mechanical operation in the presence of external (ii) Limit lateral acceleration, as strength. electromagnetic noise sources. measured by a lateral accelerometer (2) All safety appliances shall be (5) All electronic equipment shall be mounted on the car floor, to no greater securely fastened to the car body self-protected from damage or improper than 0.3g single event, peak-to-peak structure with mechanical fasteners that operation, or both, due to high voltage over a one second period; and have mechanical strength greater than or transients and long-term over-voltage or (iii) Limit the combination of lateral equal to that of a 1⁄2-inch diameter SAE under-voltage conditions. acceleration (aL) and vertical grade steel bolt mechanical fastener. acceleration (av) occurring over a 1 (i) Safety appliance mechanical § 238.427 Suspension system second period as expressed by the fasteners shall have mechanical strength (a) General requirements. 2 2 square root of (aL +aV ) to no greater and fatigue resistance equal to or greater (1) Suspension systems shall be 1 than 0.6g, where aL may not exceed 0.3g than a ⁄2-inch diameter SAE steel bolt. designed to reasonably prevent wheel and (aV) may not exceed 0.55g. (ii) Mechanical fasteners shall be climb, wheel unloading, rail rollover, (2) Compliance. Compliance with the installed with a positive means to rail shift, and a vehicle from overturning requirements contained in this prevent unauthorized removal. Self- to ensure safe, stable performance and paragraph shall be demonstrated during locking threaded fasteners do not meet ride quality. These requirements shall the equipment pre-revenue service this requirement. be met: (iii) Mechanical fasteners shall be (i) In all operating environments, and acceptance tests required under installed to facilitate inspection. under all track conditions and loading § 238.111, and § 213.345 of this chapter. (d) Handrails and handholds. Except conditions as determined by the (3) For purposes of this paragraph, as provided in paragraph (f) of this operating railroad; and acceleration measurements shall be (ii) At all track speeds and over all processed through a filter having a band section: track qualities consistent with the Track pass of 0.5 to 10 Hz. (1) Handrails shall be provided for Safety Standards in part 213 of this (e) Overheat sensors. Overheat sensors passengers on both sides of all steps chapter, up to the maximum operating for each wheelset journal bearing shall used to board or depart the train. speed and maximum cant deficiency of be provided. The sensors may be placed (2) Exits on a power vehicle shall be the equipment. either on-board the equipment or at equipped with handrails and handholds (2) Passenger equipment shall meet reasonable intervals along the railroad’s so that crewmembers can get on and off the safety performance standards for right-of-way. the vehicle safely. suspension systems contained in (3) Throughout their entire length, § 238.429 Safety appliances. Appendix C to this part, or alternative handrails and handholds shall be a standards providing at least equivalent (a) Couplers. color that contrasts with the color of the safety if approved by FRA under the (1) The leading and the trailing ends vehicle body to which they are fastened. provisions of § 238.21. of a semi-permanently coupled trainset (4) The maximum distance above the (b) Lateral accelerations. Passenger shall each be equipped with an top of the rail to the bottom of vertical cars shall not operate under conditions automatic coupler that couples on handrails and handholds shall be 51 that result in a steady-state lateral impact and uncouples by either inches, and the minimum distance shall acceleration of 0.1g (measured parallel activation of a traditional uncoupling be 21 inches. to the car floor inside the passenger lever or some other type of uncoupling (5) Vertical handrails and handholds compartment) or greater. mechanism that does not require a shall be installed to continue to a point (c) Hunting oscillations. Each truck person to go between the equipment at least equal to the height of the top shall be equipped with a permanently units. edge of the control cab door.
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(6) The minimum hand clearance permanently coupled (i.e., that is be displayed for the train operator in the distance between a vertical handrail or coupled by an automatic coupler), the control cab; and handhold and the vehicle body shall be automatically coupled ends shall be (4) The operating railroad shall 21⁄2 inches for the entire length. equipped with hand brakes, sill steps, demonstrate through analysis and (7) All vertical handrails and end handholds, and side handholds that testing the maximum operating speed handholds shall be securely fastened to meet the requirements contained in for safe operation of the train using only the vehicle body. § 231.14 of this chapter. If the trainsets the friction brake portion of the blended (8) If the length of the handrail are semi-permanently coupled, these brake with no thermal damage to wheels exceeds 60 inches, it shall be securely safety appliances are not required. or discs. fastened to the power vehicle body with (g) Optional safety appliances. Safety (f) The brake system design shall two fasteners at each end. appliances installed at the option of the allow a disabled train’s pneumatic (e) Sill steps. Except as provided in railroad shall be firmly attached with brakes to be controlled by a paragraph (f) of this section, each power mechanical fasteners and shall meet the conventional locomotive, during a vehicle shall be equipped with a sill design and installation requirements rescue operation, through brake pipe step below each exterior door as provided in this section. control alone. follows: (g) An independent failure-detection (1) The sill step shall have a § 238.431 Brake system. system shall compare brake commands minimum cross-sectional area of 1⁄2 by (a) A passenger train’s brake system with brake system output to determine 3 inches; shall be capable of stopping the train if a failure has occurred. The failure (2) The sill step shall be made of steel from its maximum operating speed detection system shall report brake or a material of equal or greater strength within the signal spacing existing on the system failures to the automated train and fatigue resistance; track over which the train is operating monitoring system. (3) The minimum tread length of the under worst-case adhesion conditions. (h) Passenger equipment shall be sill step shall be 10 inches; (b) The brake system shall be equipped with an adhesion control (4) The minimum clear depth of the designed to allow an inspector to system designed to automatically adjust sill step shall be 8 inches; determine that the brake system is the braking force on each wheel to (5) The outside edge of the tread of functioning properly without having to prevent sliding during braking. In the the sill step shall be flush with the side place himself or herself in a dangerous event of a failure of this system to of the car body structure; position on, under, or between the prevent wheel slide within preset (6) Sill steps shall not have a vertical equipment. parameters, a wheel slide alarm that is rise between treads exceeding 18 inches; (c) Passenger equipment shall be visual or audible, or both, shall alert the (7) The lowest sill step tread shall be provided with an emergency brake train operator in the cab of the not more than 24, preferably not more application feature that produces an controlling power car to wheel-slide than 22, inches above the top of the irretrievable stop, using a brake rate conditions on any axle of the train. track rail; consistent with prevailing adhesion, (8) Sill steps shall be a color that § 238.433 Draft system. passenger safety, and brake system contrasts with the color of the power thermal capacity. An emergency brake (a) Leading and trailing automatic vehicle body to which they are fastened; application shall be available at any couplers of trains shall be compatible (9) Sill steps shall be securely with standard AAR couplers with no fastened; time, and shall be initiated by an unintentional parting of the train. A special adapters used. (10) At least 50 percent of the tread (b) All passenger equipment means to initiate an emergency brake surface area of each sill step shall be continues to be subject to the application shall be provided at two open space; and requirements concerning couplers and locations in each unit of the train; (11) The portion of the tread surface uncoupling devices contained in however, where a unit of the train is 45 area of each sill step which is not open Federal Statute at 49 U.S.C. chapter 203 feet or less in length a means to initiate space and is normally contacted by the and in FRA regulations at part 231 and an emergency brake application need foot shall be treated with an anti-skid § 232.2 of this chapter. material. only be provided at one location in the (f) Exceptions. unit. § 238.435 Interior fittings and surfaces. (1) If the units of the equipment are (d) The brake system shall be (a) Each seat back and seat attachment semi-permanently coupled, with designed to prevent thermal damage to in a passenger car shall be designed to uncoupling done only at maintenance wheels and brake discs. The operating withstand, with deflection but without facilities, the equipment units that are railroad shall demonstrate through total failure, the load associated with not required by paragraph (a) of this analysis and testing that no thermal the impact into the seat back of an section to be equipped with automatic damage results to the wheels or brake unrestrained 95th-percentile adult male couplers need not be equipped with sill discs under conditions resulting in initially seated behind the seat back, steps or end or side handholds that maximum braking effort being exerted when the floor to which the seat is would normally be used to safely on the wheels or discs. attached decelerates with a triangular perform coupling and uncoupling (e) The following requirements apply crash pulse having a peak of 8g and a operations. to blended braking systems: duration of 250 milliseconds. (2) If the units of the equipment are (1) Loss of power or failure of the (b) Each seat back in a passenger car not semi-permanently coupled, the dynamic brake does not result in shall include shock-absorbent material units shall be equipped with hand exceeding the allowable stopping to cushion the impact of occupants with brakes, sill steps, end handholds, and distance; the seat ahead of them. side handholds that meet the (2) The friction brake alone is (c) The ultimate strength of each seat requirements contained in § 231.14 of adequate to safely stop the train under attachment to a passenger car body shall this chapter. all operating conditions; be sufficient to withstand the following (3) If two trainsets are coupled to form (3) The operational status of the individually applied accelerations a single train that is not semi- electric portion of the brake system shall acting on the mass of the seat plus the
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(ii) Lateral: 4g; and requiring the use of a tool or other implement. If the passenger car does not (a) Each passenger car and power car (iii) Vertical: 4g. cab shall have a minimum of one roof (2) Fittings that can be expected to be exceed 45 feet in length, only one transmission location is required; hatch emergency entrance location with impacted by a person during a collision, a minimum opening of 18 inches by 24 such as tables between facing seats, (b) Transmission locations that are clearly marked with luminescent inches, or at least one clearly marked shall be designed for the mass of the structural weak point in the roof having fitting plus the mass of the number of material; (c) Clear and understandable a minimum opening of the same occupants who are 95th-percentile adult dimensions to provide quick access for males that could be expected to strike operating instructions at or near each transmission location; and properly equipped emergency response the fitting, when the floor of the personnel. passenger car decelerates with a (d) Back-up power for a minimum period of 90 minutes. (b) Marking and instructions. triangular crash pulse having a peak of [Reserved] 8g and a duration of 250 milliseconds. § 238.439 Doors. (e) The ultimate strength of the § 238.443 Headlights. (a) Each passenger car shall have a interior fittings and equipment in power Each power car shall be equipped car control cabs shall be sufficient to minimum of two exterior side doors, each door providing a minimum clear with at least two headlights. Each resist without failure loads due to the headlight shall produce no less than following individually applied opening with dimensions of 30 inches horizontally by 74 inches vertically. 200,000 candela. One headlight shall be accelerations acting on the mass of the focused to illuminate a person standing fitting or equipment: Note: The Americans with Disabilities Act between the rails 800 feet ahead of the (1) Longitudinal: 12g; (ADA) Accessibility Specifications for power car under clear weather (2) Lateral: 4g; and Transportation Vehicles also contain conditions. The other headlight shall be (3) Vertical: 4g. requirements for doorway clearance (See 49 (f) To the extent possible, interior CFR part 38). focused to illuminate a person standing between the rails 1500 feet ahead of the fittings, except seats, shall be recessed (b) Each passenger car shall be or flush-mounted. Corners and sharp power car under clear weather equipped with a manual override conditions. edges shall be avoided or otherwise feature for each powered, exterior side padded. door. Each manual override must be: § 238.445 Automated monitoring. (g) Energy-absorbent material shall be (1) Capable of releasing the door to used to pad surfaces likely to be (a) Each passenger train shall be permit it to be opened, without power, impacted by occupants during collisions equipped to monitor the performance of from both inside and outside the car; or derailments. the following systems or components: (h) Luggage stowage compartments (2) Located adjacent to the door which (1) Reception of cab signals and train shall be enclosed, and have an ultimate it controls; and control signals; strength sufficient to resist loads due to (3) Designed and maintained so that a (2) Truck hunting; the following individually applied person may readily access and operate (3) Dynamic brake status; accelerations acting on the mass of the the override device from both inside (4) Friction brake status; luggage that the compartments are and outside the car without the use of (5) Fire detection systems; designed to accommodate: any tool or other implement. (6) Head end power status; (1) Longitudinal: 8g; (c) The status of each powered, (7) Alerter or deadman control; (2) Lateral: 4g; and exterior side door in a passenger car (8) Horn and bell; (3) Vertical: 4g. shall be displayed to the crew in the (9) Wheel slide; (i) If, for purposes of showing operating cab. If door interlocks are (10) Tilt system, if so equipped; and compliance with the requirements of used, the sensors used to detect train (11) On-board bearing-temperature this section, the strength of a seat motion shall be nominally set to operate sensors, if so equipped. attachment is to be demonstrated at 3 mph. (b) When any such system or through sled testing, the seat structure (d) Each powered, exterior side door component is operating outside of its and seat attachment to the sled that is in a passenger car shall be connected to predetermined safety parameters: used in such testing must be an emergency back-up power system. (1) The train operator shall be alerted; representative of the actual seat (e) A railroad may protect a manual and structure in, and seat attachment to, the override device used to open a powered, (2) Immediate corrective action shall rail vehicle subject to the requirements exterior door with a cover or a screen be taken, if the system or component of this section. If the attachment capable of removal without requiring defect impairs the train operator’s strength of any other interior fitting is to the use of a tool or other implement. ability to safely operate the train. be demonstrated through sled testing, (f) A passenger compartment end door Immediate corrective action includes for purposes of showing compliance (other than a door providing access to limiting the speed of the train. with the requirements of this section, the exterior of the trainset) shall be (c) The monitoring system shall be such testing shall be conducted in a equipped with a kick-out panel, pop-out designed with an automatic self-test similar manner. window, or other similar means of feature that notifies the train operator
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00151 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 25690 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations that the monitoring capability is (3) Operator selection shall be (2) Designed so that all adjustments functioning correctly and alerts the train required to display other than default have the range necessary to operator when a system failure occurs. information; accommodate a person ranging from a (4) Cab or train control signals shall 5th-percentile adult female to a 95th- § 238.447 Train operator's controls and be displayed for the operator; and percentile adult male, as persons power car cab layout. (5) Displays shall be readable from the possessing such characteristics are (a) Train operator controls in the operators’s normal position under all specified, correcting for clothing as power car cab shall be arranged so as to lighting conditions. appropriate, in any recognized survey minimize the chance of human error, (e) The power car cab shall be after 1958 of weight, height, and other and be comfortably within view and designed so at to permit the crew to body dimensions of U.S. adults; within easy reach when the operator is have an effective field of view in the (3) Equipped with lumbar support seated in the normal train control forward direction, as well as to the right that is adjustable from the seated position. and left of the direction of travel to position; (b) The train operator’s control panel observe objects approaching the train (4) Equipped with force-assisted, buttons, switches, levers, knobs, and the from either side. Field-of-view vertical-height adjustment, operated like shall be distinguishable by sight obstructions due to required structural from the seated position; and by touch. members shall be minimized. (5) Equipped with a manually (c) An alerter shall be provided in the (f) Each seat provided for an employee reclining seat back, adjustable from the power car cab. If not acknowledged, the regularly assigned to occupy a power seated position; alerter shall cause a brake application to car cab and any floor-mounted seat in (6) Equipped with an adjustable stop the train. the cab shall be: headrest; and (1) Secured to the car body with an (d) Power car cab information (7) Equipped with folding, padded attachment having an ultimate strength displays shall be designed with the armrests. capable of withstanding the loads due to following characteristics: (g) Sharp edges and corners shall be the following individually applied eliminated from the interior of the (1) Simplicity and standardization accelerations acting on the combined power car cab, and interior surfaces of shall be the driving criteria for design of mass of the seat and the mass of a seat the cab likely to be impacted by an formats for the display of information in occupant who is a 95th-percentile adult employee during a collision or the cab; male: derailment shall be padded with shock- (2) Essential, safety-critical (i) Longitudinal: 12g; information shall be displayed as a (ii) Lateral: 4g; and absorbent material. default condition; (iii) Vertical: 4g; BILLING CODE 4910±06±P
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Figure 1—to Subpart E
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Figure 2—to Subpart E
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Figure 3—to Subpart E
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Figure 4—to Subpart E
BILLING CODE 4910±06±C
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Subpart FÐInspection, Testing, and (2) Improper functioning of a analysis and testing for braking with the Maintenance Requirements for Tier II component; friction brake alone. The brake system Passenger Equipment. (3) A crack, break, excessive wear, shall be restored to 100 percent structural defect, or weakness of a operation before the train departs that § 238.501 Scope. component; inspection location. This subpart contains inspection, (4) A leak; (g) Maintenance intervals. The testing, and maintenance requirements (5) Use of a component or system program under paragraph (a) of this for railroad passenger equipment that under a condition that exceeds that for section shall include the railroad’s operates at speeds exceeding 125 mph which the component or system is initial scheduled maintenance intervals but not exceeding 150 mph. designed to operate; and for Tier II equipment based on an (6) Insecure attachment of a analysis completed pursuant to the § 238.503 Inspection, testing, and component. railroad’s safety plan. The maintenance maintenance requirements. (d) Specific inspections. The program interval of a safety-critical component (a) General. Under the procedures under paragraph (a) of this section shall shall be changed only when justified by provided in § 238.505, each railroad specify that all Tier II passenger accumulated, verifiable operating data shall obtain FRA approval of a written equipment shall receive thorough and approved by FRA under § 238.505 inspection, testing, and maintenance inspections in accordance with the before the change takes effect. program for Tier II passenger equipment following standards: (h) Training, qualification, and prior to implementation of that program (1) Except as provided in paragraph designation program. The program and prior to commencing passenger (d)(3) of this section, the equivalent of under paragraph (a) of this section shall operations using that equipment. As a Class I brake test contained in describe the training, qualification, and further specified in this section, the § 238.313 shall be conducted prior to a designation program, as defined in the program shall describe in detail the train’s departure from an originating training program plan under § 238.109, procedures, equipment, and other terminal and every 1,500 miles or once established by the railroad to qualify means necessary for the safe operation each calendar day, whichever comes individuals to inspect, test, and of the passenger equipment, including: first, that the train remains in maintain the equipment. (1) Inspection procedures, intervals, continuous service. (1) If the railroad deems it safety- and criteria; (i) Class I equivalent brake tests shall critical, then only qualified individuals (2) Testing procedures and intervals; be performed by a qualified shall inspect, test, and maintain the (3) Scheduled preventive- maintenance person. equipment. maintenance intervals; (ii) Except as provided in § 238.15(b), (2) Knowledge of the procedures (4) Maintenance procedures; a railroad shall not use or haul a Tier described in paragraph (a) of this (5) Special testing equipment or II passenger train in passenger service section shall be required to qualify an measuring devices required to perform from a location where a Class I employee or contractor to perform an inspections, tests, and maintenance; and equivalent brake test has been inspection, testing, or maintenance task (6) The training, qualification, and performed, or was required by this part under this part. designation of employees and to have been performed, with less than (i) Standard procedures. The program contractors to perform inspections, tests, 100 percent operative brakes. under paragraph (a) of this section shall and maintenance. (2) Except as provided in paragraph include the railroad’s written standard (b) Compliance. After the railroad’s (d)(3) of this section, a complete exterior procedures for performing all safety- inspection, testing, and maintenance and interior mechanical inspection, in critical equipment inspection, testing, program is approved by FRA under accordance with the railroad’s maintenance, and repair tasks necessary § 238.505, the railroad shall adopt the inspection program, shall be conducted to ensure the safe and proper operation program and shall perform— by a qualified maintenance person at of the equipment. The inspection, (1) The inspections and tests of power least once during each calendar day the testing, and maintenance program brakes and other primary brakes as equipment is used in service. required by this section is not intended described in the program; (3) Trains that miss a scheduled Class to address and should not include (2) The other inspections and tests I brake test or mechanical inspection procedures to address employee described in the program in accordance due to a delay en route may proceed to working conditions that arise in the with the procedures and criteria that the the point where the Class I brake test or course of conducting the inspections, railroad identified as safety-critical; and mechanical inspection was scheduled to tests, and maintenance set forth in the (3) The maintenance tasks described be performed. program. When reviewing the railroad’s in the program in accordance with the (e) Movement of trains with power program, FRA does not intend to review procedures and intervals that the brake defects. Movement of trains with any portion of the program that relates railroad identified as safety-critical. a power brake defect as defined in to employee working conditions. (c) General safety inspection, testing, § 238.15 (any primary brake defect) shall (j) Annual review. The inspection, and maintenance procedures. The be governed by § 238.15. testing, and maintenance program inspection, testing, and maintenance (f) Movement of trains with other required by this section shall be program under paragraph (a) of this defects. Movement of a train with a reviewed by the railroad annually. section shall contain the railroad’s defect other than a power brake defect (k) Quality control program. Each written procedures to ensure that all shall be conducted in accordance with railroad shall establish an inspection, systems and components of in service § 238.17, with the following exception: testing, and maintenance quality control passenger equipment are free of any When a failure of the secondary brake program enforced by railroad or general condition that endangers the on a Tier II passenger train occurs en contractor supervisors to reasonably safety of the crew, passengers, or route, that train may remain in service ensure that inspections, tests, and equipment. These procedures shall until its next scheduled calendar day maintenance are performed in protect against: Class I brake test equivalent at a speed accordance with Federal safety (1) A continuous accumulation of oil no greater than the maximum safe standards and the procedures or grease; operating speed demonstrated through established by the railroad.
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(l) Identification of safety-critical (3) The commenter shall certify that a (1) Identify all requirements necessary items. In the program under paragraph copy of the comment was served on the for the safe operation of the equipment (a) of this section, the railroad shall railroad. in its operating environment; identify all inspection and testing (c) Approval. (2) Identify all known or potential procedures and criteria as well as all hazards to the safe operation of the (1) Within 60 days of receipt of each maintenance intervals that the railroad equipment; initial inspection, testing, and deems to be safety-critical. (3) Eliminate or reduce the risk posed maintenance program, FRA will by each hazard identified to an § 238.505 Program approval procedure. conduct a formal review of the program. acceptable level using MIL–STD–882C FRA will then notify the primary (a) Submission. Not less than 90 days as a guide or an alternative formal, railroad contact person and the prior to commencing passenger safety methodology; and designated employee representatives in operations using Tier II passenger (4) Impose operational limitations, as writing whether the inspection, testing, equipment, each railroad to which this necessary, on the operation of the and maintenance program is approved subpart applies shall submit for equipment if the equipment cannot and, if not approved, the specific points approval an inspection, testing, and meet safety requirements. in which the program is deficient. If a maintenance program for that (b) For the procurement of Tier II program is not approved by FRA, the equipment meeting the requirements of passenger equipment, and for each railroad shall amend its program to this subpart with the Associate major upgrade or introduction of new correct all deficiencies and resubmit its Administrator for Safety, Federal technology in existing Tier II passenger program with the required revisions not Railroad Administration, 1120 Vermont equipment that affects a safety system later than 45 days prior to commencing Ave, Mail Stop 25, Washington, D.C. on such equipment, each railroad shall passenger operations. 20590. If a railroad seeks to amend an prepare and execute a written safety approved program, the railroad shall file (2) FRA will review each proposed plan. The plan may be combined with with FRA’s Associate Administrator for amendment to the program within 45 any other plan required under this part. Safety a petition for approval of such days of receipt. FRA will then notify the The plan shall describe the approaches amendment not less than 60 days prior primary railroad contact person and the and processes to: to the proposed effective date of the designated employee representatives in (1) Identify all safety requirements amendment. A program responsive to writing whether the proposed governing the design of the passenger the requirements of this subpart or any amendment has been approved by FRA equipment and its supporting systems; amendment to the program shall not be and, if not approved, the specific points (2) Evaluate the total system, implemented prior to FRA approval. in which the proposed amendment is including hardware, software, testing, (1) Each program or amendment deficient. The railroad shall correct any and support activities, to identify under § 238.503 shall contain: deficiencies and file the corrected known or potential safety hazards over (i) The information prescribed in amendment prior to implementing the the life cycle of the equipment; § 238.503 for such program or amendment. (3) Identify safety issues during amendment; (ii) The name, title, address, and (3) Following initial approval of a design reviews; telephone number of the primary person program or amendment, FRA may (4) Eliminate or reduce the risk posed to be contacted with regard to review of reopen consideration of the program or by each hazard identified to an the program or amendment; and amendment for cause stated. acceptable level using MIL–STD–882C (iii) A statement affirming that the as a guide or an alternative, formal Subpart GÐSpecific Safety Planning railroad has served a copy of the safety methodology; Requirements for Tier II Passenger program or amendment on designated (5) Monitor the progress in resolving Equipment representatives of railroad employees, safety issues, reducing hazards, and together with a list of the names and § 238.601 Scope. meeting safety requirements; addresses of persons served. (6) Develop a program of testing or (2) Each railroad shall serve a copy of This subpart contains specific safety analysis, or both, to demonstrate that each submission to FRA on designated planning requirements for the operation safety requirements have been met; and representatives of railroad employees of Tier II passenger equipment, (7) Impose operational limitations, as responsible for the equipment’s procurement of Tier II passenger necessary, on the operation of the operation, inspection, testing, and equipment, and the introduction or equipment if the equipment cannot maintenance under this subpart. major upgrade of new technology in meet safety requirements. (b) Comment. Not later than 45 days existing Tier II passenger equipment (c) Each railroad shall maintain from the date of filing the program or that affects a safety system on such sufficient documentation to demonstrate amendment, any person may comment equipment. how the operation and design of its Tier II passenger equipment complies with on the program or amendment. § 238.603 Safety planning requirements (1) Each comment shall set forth safety requirements or, as appropriate, specifically the basis upon which it is (a) Prior to commencing revenue addresses safety requirements under made, and contain a concise statement service operation of Tier II passenger paragraphs (a)(4) and (b)(7) of this of the interest of the commenter in the equipment, each railroad shall prepare section. Each railroad shall maintain proceeding. and execute a written plan for the safe sufficient documentation to track how (2) Three copies of each comment operation of such equipment. The plan safety issues are raised and resolved. shall be submitted to the Associate may be combined with any other plan (d) Each railroad shall make available Administrator for Safety, Federal required under this part. The plan shall to FRA for inspection and copying upon Railroad Administration, 1120 Vermont be updated at least every 365 days. At request each safety plan required by this Ave., Mail Stop 25, Washington, D.C. a minimum, the plan shall describe the section and any documentation required 20590. approaches and processes to: pursuant to such plan.
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APPENDIX A TO PART 238—SCHEDULE OF CIVIL PENALTIES1
Willful Section Violation violation
SUBPART AÐGENERAL 238.15 Movement of power brake defects: (b) Improper movement from Class I or IA brake test ...... 5,000 7,500 (c) Improper movement of en route defect ...... 2,500 5,000 (2), (3) Insufficient tag or record ...... 1,000 2,000 (4) Failure to determine percent operative brake ...... 2,500 5,000 (d) Failure to follow operating restrictions ...... 5,000 7,500 (e) Failure to follow restrictions for inoperative front or rear unit ...... 2,500 5,000 238.17 Movement of other than power brake defects: 1 (c)(4), (5) Insufficient tag or record ...... 1,000 2,000 (d) Failure to inspect or improper use of roller bearings ...... 2,500 5,000 (e) Improper movement of defective safety appliances ...... (1) 238.19 Reporting and tracking defective equipment: (a) Failure to have reporting or tracking system ...... 7,500 11,000 (b) Failure to retain records ...... 2,000 4,000 (c) Failure to make records available ...... 1,000 2,000 (d) Failure to list power brake repair points ...... 2,000 4,000 SUBPART BÐSAFETY PLANNING AND GENERAL REQUIREMENTS 238.103 Fire protection plan/fire safety: (a) Failure to use proper materials ...... 5,000 7,500 (b) Improper certification ...... 1,000 2,000 (c) Failure to consider fire safety on new equipment ...... 5,000 7,500 (d) Failure to perform fire safety analysis ...... 5,000 7,500 (e) Failure to develop, adopt or comply with procedures ...... 5,000 7,500 238.105 Train hardware and software safety: (a), (b), (c) Failure to develop and maintain hardware and software safety program ...... 7,500 11,000 (d) Failure to include required design features in hardware and software ...... 5,000 7,500 (e) Failure to comply with hardware and software safety program ...... 5,000 7,500 238.107 Inspection, testing, and maintenance plan: (b) Failure to develop plan ...... 7,500 11,000 (b)(1)±(5) Failure of plan to address specific item ...... 3,000 6,000 (d) Failure to conduct annual review ...... 5,000 7,500 238.109 Training, qualification, and designation program: (a) Failure to develop or adopt program ...... 7,500 11,000 (b)(1)±(4) Failure of plan to address specific item ...... 3,000 6,000 (b)(5)±(12) Failure to comply with specific required provision of the program ...... 5,000 7,500 (b)(13) Failure to maintain adequate records ...... 2,500 5,000 238.111 Pre-revenue service acceptance testing plan: (a) Failure to properly test previously used equipment ...... 7,500 11,000 (b)(1) Failure to develop plan ...... 7,500 11,000 (b)(2) Failure to submit plan to FRA ...... 5,000 7,500 (b)(3) Failure to comply with plan ...... 5,000 7,500 (b)(4) Failure to document results of testing ...... 5,000 7,500 (b)(5) Failure to correct safety deficiencies or impose operating limits ...... 5,000 7,500 (b)(6) Failure to maintain records ...... 3,000 6,000 (b)(7) Failure to obtain FRA approval ...... 5,000 7,500 238.113 Emergency window exits ...... 2,500 5,000 238.115 Emergency lighting ...... 2,500 5,000 238.117 Protection against personal injury ...... 2,500 5,000 238.119 Rim-stamped straight plate wheels ...... 2,500 5,000 SUBPART CÐSPECIFIC REQUIREMENTS FOR TIER I EQUIPMENT 238.203 Static end strength ...... 2,500 5,000 238.205 Anti-climbing mechanism ...... 2,500 5,000 238.207 Link between coupling mechanism and car body ...... 2,500 5,000 238.209 Forward-facing end structure of locomotives ...... 2,500 5,000 238.211 Collision posts ...... 2,500 5,000 238.213 Corner posts ...... 2,500 5,000 238.215 Rollover strength ...... 2,500 5,000 238.217 Side structure ...... 2,500 5,000 238.219 Truck-to-car-body attachment ...... 2,500 5,000 238.221 Glazing ...... 2,500 5,000 238.223 Fuel tanks ...... 2,500 5,000 238.225 Electrical System ...... 2,500 5,000 238.227 Suspension system ...... 2,500 5,000 238.231 Brake system: (a)±(g), (i)±(m) ...... 2,500 5,000 (h) Hand or parking brake missing or inoperative ...... 5,000 5,000 238.233 Interior fittings and surfaces ...... 2,500 7,500 238.235 Doors ...... 2,500 5,000 238.237 Automated monitoring ...... 2,500 5,000
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APPENDIX A TO PART 238—SCHEDULE OF CIVIL PENALTIES1ÐContinued
Willful Section Violation violation
SUBPART DÐINSPECTION, TESTING, AND MAINTENANCE REQUIREMENTS FOR TIER I EQUIPMENT 238.303 Exterior mechanical inspection of passenger equipment: (a)(1) Failure to perform mechanical inspection ...... 1 2,000 4,000 (a)(2) Failure to inspect secondary brake system ...... 2,500 5,000 (b) Failure to perform inspection on car added to train ...... 1 2,000 4,000 (c) Failure to utilize properly qualified personnel ...... 2,000 4,000 (e)(1) Products of combustion not released outside cab ...... 2,500 5,000 (e)(2) Battery not vented or gassing excessively ...... 2,500 5,000 (e)(3) Coupler not in proper condition ...... 2,500 5,000 (e)(4) No device under drawbar pins or connection pins ...... 2,500 5,000 (e)(5) Suspension system and spring rigging not in proper condition ...... 2,500 5,000 (e)(6) Truck not in proper condition ...... 2,500 5,000 (e)(7) Side bearing not in proper condition ...... 2,500 5,000 (e)(8) Wheel not in proper condition: (i), (iv) Flat spot(s) and shelled spot(s): (A) One spot 21¤2′′ or more but less than 3′′ in length ...... 2,500 5,000 (B) One spot 3′′ or more in length ...... 5,000 7,500 (C) Two adjoining spots each of which is 2′′ or more in length but less than 21¤2′′ in length ...... 2,500 5,000 (D) Two adjoining spots each of which are at least 2′′ in length, if either spot is 21¤2′′ or more in length .. 5,000 7,500 (ii) Gouge or chip in flange: (A) More than 11¤2′′ but less than 15¤8′′ in length; and more than 1¤2′′ but less than 5¤8′′ in width ...... 2,500 5,000 (B) 15¤8′′ or more in length and 5¤8′′ or more in width ...... 5,000 7,500 (iii) Broken rim ...... 5,000 7,500 (v) Seam in tread ...... 2,500 5,000 (vi) Flange thickness of: 2,500 5,000 (A) 7¤8′′ or less but more than 13¤16′′. (B) 13¤16′′ or less ...... 5,000 7,500 (vii) Tread worn hollow ...... 2,500 5,000 (viii) Flange height of: (A) 11¤2′′ or greater but less than 15¤8′′ ...... 2,500 5,000 (B) 15¤8′′ or more ...... 5,000 7,500 (ix) Rim thickness: (A) Less than 1′′ ...... 2,500 5,000 (B) 15¤16′′ or less ...... 5,000 7,500 (x) Crack or break in flange, tread, rim, plate, or hub: (A) Crack of less than 1′′ ...... 2,500 5,000 (B) Crack of 1′′ or more ...... 5,000 7,500 (C) Break ...... 5,000 7,500 (xi) Loose wheel ...... 5,000 7,500 (xii) Welded wheel ...... 5,000 7,500 (e)(10) Improper grounding or insulation ...... 5,000 7,500 (e)(11) Jumpers or cable connections not in proper condition ...... 2,500 5,000 (e)(12) Door or cover plate not properly marked ...... 2,500 5,000 (e)(13) Buffer plate not properly placed ...... 2,500 5,000 (e)(14) Diaphragm not properly placed or aligned ...... 2,500 5,000 (e)(15) Secondary braking system not in operating mode or contains known defect ...... 2,500 5,000 (g) Record of inspection: (1), (4) Failure to maintain record of inspection ...... 5,000 4,000 (2) Record contains insufficient information ...... 1,000 2,000 238.305 Interior mechanical inspection of passenger cars: (a) Failure to perform inspection ...... 1 1,000 2,000 (b) Failure to utilize properly qualified personnel ...... 1,000 2,000 (c)(1) Failure to protect against personal injury ...... 2,500 5,000 (c)(2) Emergency brake valve not stenciled or marked ...... 2,500 5,000 (c)(3) Door or cover plates not properly marked ...... 2,500 5,000 (c)(4) Trap door unsafe or improperly secured ...... 2,500 5,000 (c)(5) Doors not safely operate as intended ...... 2,500 5,000 (i)±(iv) Condition for operating defective door not satisfied ...... 2,000 4,000 (c)(6) Safety signage not in place or legible ...... 1,000 2,000 (c)(7) Vestibule steps not illuminated ...... 2,000 4,000 (c)(8) Access to manual door release not in place ...... 2,000 4,000 (c)(9) Emergency equipment not in place ...... 1,000 2,000 (e) Record of inspection: (1), (4) Failure to maintain record of inspection ...... 2,000 4,000 (2) Record contains insufficient information ...... 1,000 1,000 238.307 Periodic mechanical inspection of passenger cars and unpowered vehicles: (a) Failure to perform periodic mechanical inspection ...... 1 2,500 5,000 (b) Failure to utilize properly qualified personnel ...... 2,500 5,000 (c)(1) Floors not free of condition that creates hazard ...... 2,500 5,000 (c)(2) Emergency lighting not operational ...... 2,500 5,000 (c)(3) Switches not in proper condition ...... 2,500 5,000
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APPENDIX A TO PART 238—SCHEDULE OF CIVIL PENALTIES1ÐContinued
Willful Section Violation violation
(c)(4) Truck not equipped with securing arrangement ...... 2,500 5,000 (c)(5) Truck center casting cracked or broken ...... 5,000 7,500 (c)(6) Roller bearings: (i) Overheated ...... 5,000 7,500 (ii) Cap screw loose or missing ...... 2,500 5,000 (iii) Cap screw lock broken or missing ...... 1,000 2,000 (iv) Seal loose, damaged, or leaks lubricant ...... 2,500 5,000 (c)(7) General conditions endangering crew, passengers ...... 2,500 5,000 (d)(1) Seat or seat attachment broken or loose ...... 2,500 5,000 (d)(2) Luggage rack broken or loose ...... 2,500 5,000 (d)(3) Bed, bunks, or restraints broken or loose ...... 2,500 5,000 (d)(4) Emergency window exit not properly operate ...... 2,500 5,000 (d)(5) Coupler not in proper condition ...... 2,500 5,000 (f)(1) Record of inspection: (i) Failure to maintain record of inspection ...... 2,000 4,000 (ii) Record contains insufficient information ...... 1,000 2,000 238.309 Periodic brake equipment maintenance: (b) Failure to perform on MU locomotive ...... 2,500 5,000 (c) Failure to perform on conventional locomotive ...... 2,500 5,000 (d) Failure to perform on passenger coaches or other unpowered vehicle ...... 2,500 5,000 (e) Failure to perform on cab car ...... 2,500 5,000 (f) Record of periodic maintenance: (1), (2) Failure to maintain record or stencil ...... 2,000 4,000 238.311 Single car tests: (a) Failure to test in accord with required procedure ...... 2,500 5,000 (b) Failure to utilize properly qualified personnel ...... 2,500 5,000 (c), (e) Failure to perform single car test ...... 2,500 5,000 (f) Improper movement of car for testing ...... 2,000 4,000 (g) Failure to test after repair or replacement of component ...... 2,000 4,000 238.313 Class I brake test: (a) Failure to perform on commuter or short distance intercity passenger train ...... 1 10,000 15,000 (b) Failure to perform on long-distance intercity passenger train ...... 1 10,000 15,000 (c) Failure to perform on cars added to passenger train ...... 1 5,000 7,500 (d) Failure to utilized properly qualified personnel ...... 5,000 7,500 (f) Passenger train used from Class I brake test with less than 100% operative brakes ...... 5,000 7,500 (g) Partial failure to perform inspection on a passenger train ...... 5,000 7,500 (h) Failure to maintain record ...... 2,000 4,000 238.315 Class IA brake test: (a) Failure to perform inspection ...... 1 5,000 7,500 (d) Failure to utilize properly qualified personnel ...... 2,500 5,000 (e) Passenger train used from Class IA brake test with improper percentage of operative brakes ...... 5,000 7,500 (f) Partial failure to perform inspection on passenger train ...... 2,500 5,000 238.317 Class II brake test: (a) Failure to perform inspection ...... 1 2,500 5,000 (b) Failure to utilize properly qualified personnel ...... 2,500 5,000 (c) Improper use of defective equipment from Class II brake test ...... 2,500 5,000 238.319 Running brake tests: (a), (b) Failure to perform test ...... 2,000 4,000 SUBPART EÐSPECIFIC REQUIREMENTS FOR TIER II PASSENGER EQUIPMENT 238.403 Crash energy management ...... 2,500 5,000 238.405 Longitudinal static compressive strength ...... 2,500 5,000 238.407 Anti-climbing mechanism ...... 2,500 5,000 238.409 Forward end structures of power car cabs: (a) Center collision post ...... 2,500 5,000 (b) Side collision posts ...... 2,500 5,000 (c) Corner posts ...... 2,500 5,000 (d) Skin ...... 2,500 5,000 238.411 Rear end structures of power car cabs: (a) Corner posts ...... 2,500 5,000 (b) Collision posts ...... 2,500 5,000 238.413 End structures of trailer cars ...... 2,500 5,000 238.415 Rollover strength ...... 2,500 5,000 238.417 Side loads ...... 2,500 5,000 238.419 Truck-to-car-body and truck component attachment ...... 2,500 5,000 238.421 Glazing: (b) End-facing exterior glazing ...... 2,500 5,000 (c) Alternate glazing requirements ...... 2,500 5,000 (d) Glazing securement ...... 1,000 2,000 (e) Stenciling ...... 2,500 5,000 238.423 Fuel tanks:
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APPENDIX A TO PART 238—SCHEDULE OF CIVIL PENALTIES1ÐContinued
Willful Section Violation violation
(a) External fuel tanks ...... 2,500 5,000 (b) Internal fuel tanks ...... 2,500 5,000 238.425 Electrical system: (a) Circuit protection ...... 2,500 5,000 (b) Main battery system ...... 2,500 5,000 (c) Power dissipation resistors ...... 2,500 5,000 (d) Electromagnetic interference and compatibility ...... 2,500 5,000 238.427 Suspension system: (a) General design ...... 2,500 5,000 (b) Lateral accelerations ...... 2,500 5,000 (c) Hunting Oscillations ...... 2,500 5,000 (d) Ride vibrations ...... 2,500 5,000 (e) Overheat sensors ...... 2,500 5,000 238.429 Safety Appliances: (a) Couplers ...... 5,000 7,500 (b) Hand/parking brakes ...... 5,000 7,500 (d) Handrail and handhold missing ...... 2,500 5,000 (d)(1)±(8) Handrail or handhold improper design ...... 2,500 5,000 (e) Sill step missing ...... 5,000 7,500 (e)(1)±(11) Sill step improper design ...... 2,500 5,000 (g) Optional safety appliances ...... 2,500 5,000 238.431 Brake system ...... 2,500 5,000 238.433 Draft System ...... 2,500 5,000 238.435 Interior fittings and surfaces ...... 2,500 5,000 238.437 Emergency communication ...... 2,500 5,000 238.439 Doors: (a) Exterior side doors ...... 2,500 5,000 (b) Manual override feature ...... 2,500 5,000 (c) Notification to crew of door status ...... 2,500 5,000 (d) Emergency back-up power ...... 2,500 5,000 (f) End door kick-out panel or pop-out window ...... 2,500 5,000 (g) Marking and instructions ...... [Reserved] 238.441 Emergency roof hatch entrance location ...... 2,500 5,000 238.443 Headlights ...... 2,500 5,000 238.445 Automated monitoring ...... 2,500 5,000 238.447 Train operator's controls and power car cab layout ...... 2,500 5,000 SUBPART FÐINSPECTION, TESTING, AND MAINTENANCE REQUIREMENTS FOR TIER II PASSENGER EQUIPMENT 238.503 Inspection, testing, and maintenance requirements: (a) Failure to develop inspection, testing, and maintenance program or obtain FRA approval ...... 10,000 15,000 (b) Failure to comply with provisions of the program ...... 5,000 7,500 (c) Failure to ensure equipment free of conditions which endanger safety of crew, passengers, or equipment ... 2,500 5,000 (d) Specific safety inspections: (1)(i) Failure to perform Class I brake test or equivalent ...... 10,000 15,000 (1)(ii) Partial failure to perform Class I brake test or equivalent ...... 5,000 7,500 (2)(i) Failure to perform exterior mechanical inspection ...... 1 2,000 4,000 (2)(ii) Failure to perform interior mechanical inspection ...... 1 1,000 2,000 (g) Failure to perform scheduled maintenance as required in program ...... 2,500 5,000 (h) Failure to comply with training, qualification and designation program ...... 5,000 7,500 (i) Failure to develop or comply with standard procedures for performing inspection, tests, and maintenance .... 2,500 5,000 (j) Failure to conduct annual review ...... 5,000 7,500 (k) Failure to establish or utilize quality control program ...... 5,000 7,500 SUBPART GÐSPECIFIC SAFETY PLANNING REQUIREMENTS FOR TIER II PASSENGER EQUIPMENT 238.603 Safety plan: (a) Failure to develop safety operating plan ...... 7,500 11,000 (b) Failure to develop procurement plan ...... 7,500 11,000 (1)±(7) Failure to develop portion of plan ...... 2,500 5,000
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APPENDIX A TO PART 238—SCHEDULE OF CIVIL PENALTIES1ÐContinued
Willful Section Violation violation
(c) Failure to maintain documentation ...... 2,500 5,000 1 A penalty may be assessed against an individual only for a willful violation Generally when two or more violations of these regulations are discovered with respect to a single unit of passenger equipment that is placed or continued in service by a railroad, the appropriate penalties set forth above are aggregated up to a maximum of $10,000 per day. However, failure to perform, with respect to a particular unit of passenger equipment, any of the inspections and tests required under subparts D and F of this part will be treated as a violation separate and distinct from, and in addition to, any substantive violative conditions found on that unit of passenger equipment. Moreover, the Administrator reserves the right to assess a penalty of up to $22,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A. Failure to observe any condition for movement of defective equipment set forth in § 238.17 will deprive the railroad of the benefit of the movement-for-repair provision and make the railroad and any responsible individuals liable for penalty under the particular regulatory section(s) concerning the substantive de- fect(s) present on the unit of passenger equipment at the time of movement Failure to observe any condition for the movement of passenger equipment containing defective safety appliances, other than power brakes, set forth in § 238.17(e) will deprive the railroad of the movement-for- repair provision and make the railroad and any responsible individuals liable for penalty under the particular regulatory section(s) contained in part 231 of this chapter or § 238.429 concerning the substantive defective condition. The penalties listed for failure to perform the exterior and in- terior mechanical inspections and tests required under § 238.303 and § 238.305 may be assessed for each unit of passenger equipment con- tained in a train that is not properly inspected Whereas, the penalties listed for failure to perform the brake inspections and tests under § 238.313 through § 238.319 may be assessed for each train that is not properly inspected.
Appendix B to Part 238—Test Methods (viii) ASTM E 662–97, Standard Test ignition source in a graded radiant heat and Performance Criteria for the Method for Specific Optical Density of energy environment in a test chamber. Smoke Generated by Solid Materials. Flammability and Smoke Emission Flame spread Index (Is) means, as defined Characteristics of Materials Used in (ix) ASTM E 1354–97, Standard Test in ASTM E 162, a factor derived from the rate Method for Heat and Visible Smoke Release of progress of the flame front (Fs) and the rate Passenger Cars and Locomotive Cabs Rates for Materials and Products Using an of heat liberation by the material under test This appendix provides the test methods Oxygen Consumption Calorimeter. (Q), such that Is=Fs×Q. and performance criteria for the flammability (x) ASTM E 1537–98, Standard Test Flaming dripping means periodic dripping and smoke emission characteristics of Method for Fire Testing of Upholstered materials used in passenger cars and Seating Furniture. of flaming material from the site of material locomotive cabs, in accordance with the (2) General Services Administration, burning or material installation. requirements of § 238.103. Federal Supply Service, Specification Flaming running means continuous (a) Incorporation by reference. Certain Section, 470 E. L’Enfant Plaza, S.W., Suite flaming material leaving the site of material documents are incorporated by reference into 8100, Washington, D.C., 20407. FED–STD– burning or material installation. 191A—Textile Test Method 5830, Leaching this appendix with the approval of the ˙ // Director of the Federal Register in accordance Resistance of Cloth; Standard Method (July Peak heat release rate (q max) means, with 5 U.S.C. 552(a) and 1 CFR part 51. You 20, 1978). as defined in ASTM E 1354, the may inspect a copy of each document during (3) National Electrical Manufacturers maximum heat release rate per unit normal business hours at the Federal Association (NEMA), 1300 North 17th St, (kW/m2). Railroad Administration, Docket Clerk, 1120 Suite 1847, Rosslyn, VA 22209. NEMA WC Specific optical density (Ds) means, as Vermont Ave., N.W., Suite 7000 or at the 3/ICEA S–19–1981, Rubber Insulated Wire Office of the Federal Register, 800 North and Cable for the Transmission and defined in ASTM E 662, the optical Capitol Street, N.W., Suite 700, Washington, Distribution of Electrical Energy (part 6, density measured over unit path length D.C. The documents incorporated by section 19, paragraph 6), Revision 1, Sixth within a chamber of unit volume, reference into this appendix and the sources Edition (February, 1994). produced from a specimen of unit from which you may obtain these documents (4) State of California, Department of Consumer Affairs, Bureau of Home surface area, that is irradiated by a heat are listed below: 2 (1) American Society for Testing and Furnishings and Thermal Insulation, 3485 flux of 2.5 watts/cm for a specified Materials (ASTM), 100 Barr Harbor Dr., West Orange Grove Avenue, North Highlands, CA period of time. Conshohocken, PA 19428–2959. 95660. California Technical Bulletin 133, Surface flammability means the rate (i) ASTM C 1166–91, Standard Test Flammability Test Procedure for Seating at which flames will travel along Furniture for Use in Public Occupancies Method for Flame Propagation of Dense and surfaces. Cellular Elastomeric Gaskets and (January, 1991). Accessories. (5) The Institute of Electrical and Time to ignition (tig) means, as (ii) ASTM D 2724–87, Standard Test Electronics Engineers, Inc. (IEEE), 345 East defined in ASTM E 1354, the time in Methods for Bonded, Fused, and Laminated 47th Street, New York, New York 10017. seconds (s) to sustained flaming. Apparel Fabrics. ANSI/IEEE Std. 383–1974, IEEE Standard for (iii) ASTM D 3574–95, Standard Test Type Test of Class 1E Electric Cables, Field Time to ignition/Peak heat release // Methods for Flexible Cellular Materials— Splices, and Connections for Nuclear Power rate (tig/q˙ max) means the ratio of a given Slab, Bonded, and Molded Urethane Foams. Generating Stations (1974). material’s time to ignition to its peak (iv) ASTM D 3675–95, Standard Test (6) Underwriters Laboratories, Inc. (UL), (maximum) heat release rate as 333 Pfingsten Road, Northbrook, IL 60062– Method for Surface Flammability of Flexible measured in the Cone Calorimeter Cellular Materials Using a Radiant Heat 2096. Energy Source. (i) UL 44, Standard for Safety for (ASTM E 1354) under the stipulated (v) ASTM E 119–98, Standard Test Thermoset-Insulated Wires and Cables, 14th exposure conditions. Methods for Fire Tests of Building edition (January 27, 1997). (c) Required test methods and (ii) UL 83, Standard for Safety for Construction and Materials. performance criteria. The materials used (vi) ASTM E 162–98, Standard Test Thermoplastic-Insulated Wires and Cables, Method for Surface Flammability of Materials 12th edition (September 29, 1998). in locomotive cabs and passenger cars Using a Radiant Heat Energy Source. (b) Definitions. As used in this appendix— shall be tested according to the methods (vii) ASTM E 648–97, Standard Test Critical radiant flux (C.R.F.) means, as and meet the performance criteria set Method for Critical Radiant Flux of Floor- defined in ASTM E 648, a measure of the forth in the following table and notes: Covering Systems Using a Radiant Heat behavior of horizontally-mounted floor Energy Source. covering systems exposed to a flaming BILLING CODE 4910±06±P
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BILLING CODE 4910±06±C
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1 Materials tested for surface flammability to fabricate such small part shall be tested in 21 Portions of the vehicle body (including shall not exhibit any flaming running or accordance with ASTM E 1354–97, unless equipment carrying portions of a vehicle’s dripping. such small part has been shown not to roof but not including floors) which separate 2 The ASTM E 662–97 maximum test limits contribute materially to fire growth following major ignition sources, energy sources, or for smoke emission (specific optical density) an appropriate fire hazard analysis as sources of fuel-load from vehicle interiors, shall be measured in either the flaming or specified in Note 10. Materials tested in shall have sufficient fire endurance as non-flaming mode, utilizing the mode which accordance with ASTM E 1354–97 shall meet determined by a fire hazard analysis generates the most smoke. the performance criteria of tig/qmax ≤1.5. acceptable to the railroad which addresses 3 Testing of a complete seat or mattress Testing shall be at 50 kW/m2 applied heat the location and quantity of the materials assembly (including cushions, fabric layers, flux. used, as well as vulnerability of the materials upholstery) according to ASTM E 1537–98 12 Assessment of smoke generation by to ignition, flame spread, and smoke with application of pass/fail criteria of small miscellaneous, discontinuous parts generation. California Technical Bulletin 133 shall be may be made by utilizing the results from the permitted in lieu of the test methods ASTM E1354–97 test procedure conducted in Appendix C to Part 238—Suspension prescribed herein, provided the assembly accordance with Note 11, rather than the System Safety Performance Standards component units remain unchanged or new ASTM E 662–97 test procedure, if an This appendix contains the minimum (replacement) assembly components possess appropriate fire hazard analysis is provided suspension system safety performance equivalent fire performance properties to the which addresses the location and quantity of standards for Tier II passenger equipment as original components tested. A fire hazard the materials used, and the vulnerability of required by § 238.427. These requirements analysis must also be conducted that the materials to ignition and contribution of shall be the basis for evaluating suspension considers the operating environment within smoke spread. system safety performance until an industry which the seat or mattress assemblies will be 13 Carpeting used as a wall or ceiling standard acceptable to FRA is developed and used in relation to the risk of vandalism, covering shall be tested as a vehicle approved under the procedures provided in puncture, cutting, or other acts which may component. § 238.21. expose the individual components of the 14 Floor covering shall be tested with (a) Passenger equipment suspension assemblies. padding in accordance with ASTM E 648–97, systems shall be designed to limit the lateral 4 Testing is performed without upholstery. if the padding is used in the actual and vertical forces and lateral to vertical (L/ 5 The surface flammability and smoke installation. V) ratios, for the time duration required to emission characteristics shall be 15 For double window glazing, only the travel five feet at any operating speed or over demonstrated to be permanent after dynamic interior glazing is required to meet the any class of track, under all operating testing according to ASTM D 3574–95, Test materials requirements specified herein. (The conditions as determined by the railroad, as I2 (Dynamic Fatigue Test by the Roller Shear exterior glazing need not meet these follows: at Constant Force) or Test I3 (Dynamic requirements.) (1) The maximum single wheel lateral to Fatigue Test by Constant Force Pounding) 16 Elastomeric materials used for parts vertical force (L/V) ratio shall not exceed both using Procedure B. having a surface area ≥16 square inches (100 Nadal’s limit as follows: 6 The surface flammability and smoke cm2) shall be tested in accordance with emission characteristics shall be ASTM C 1166–91. As a minimum, parts tan()δ− µ Wheel L/ V ≤ demonstrated to be permanent by washing, if required to be tested include window 1+ µtan() δ appropriate, according to FED–STD–191A gaskets, door nosing, diaphragms, and roof where: δ=flange angle (deg). Textile Test Method 5830. mats. µ=coefficient of friction of 0.5. 7 The surface flammability and smoke 17 Testing shall be conducted in emission characteristics shall be accordance with NEMA WC 3/ICEA S–19– (2) The net axle lateral force shall not demonstrated to be permanent by dry- 1981, paragraph 6.19.6; or UL 44 for exceed 0.5 times the static vertical axle load. cleaning, if appropriate, according to ASTM thermosetting wire insulation and UL 83 for (3) The vertical wheel/rail force shall not D 2724–87. thermoplastic wire insulation. be less than or equal to 10 percent of the 8 Materials that cannot be washed or dry- 18 Testing shall be conducted in static vertical wheel load. cleaned shall be so labeled and shall meet the accordance with ANSI/IEEE Standard 383– (4) The sum of the vertical wheel loads on applicable performance criteria after being 1974, section 2.5, with the additional one side of any truck shall not be less than cleaned as recommended by the requirement that circuit integrity shall or equal to 20 percent of the static vertical manufacturer. continue for 5 minutes after the start of the axle load. This shall include the effect of a 9 As a minimum, combustible component test. crosswind allowance as specified by the materials required to be tested include seat 19 Penetrations (ducts, etc.) shall be railroad for the intended service. and mattress frames, wall and ceiling panels, designed to prevent fire and smoke from (5) The maximum truck side L/V ratio shall seat and toilet shrouds, tray and other tables, entering a vehicle, and representative not exceed 0.6. partitions, shelves, windscreens, HVAC penetrations shall be included as part of test (6) When stopped on track with a uniform ducting, thermal and acoustic insulation, assemblies. 6-inch superelevation, vertical wheel loads, exterior plastic components, and interior and 20 Structural flooring assemblies shall meet at all wheels, shall not be less than or equal exterior box covers. the performance criteria during a nominal to 60 percent of the nominal vertical wheel 10 Materials used to fabricate test period as determined by the railroad. The load on level track. miscellaneous, discontinuous small parts nominal test period must be twice the (b) For purposes of this appendix, wheel/ (such as knobs, rollers, fasteners, clips, maximum expected time period under rail force measurements shall be processed grommets, and small electrical parts) that normal circumstances for a vehicle to stop through a low pass filter having a cut-off will not contribute materially to fire growth completely and safely from its maximum frequency of 25 Hz. in end use configuration may be exempted operating speed, plus the time necessary to Appendix D to Part 238—Requirements from fire and smoke emission performance evacuate all the vehicle’s occupants to a safe for External Fuel Tanks on Tier I requirements, provided that the surface area area. The nominal test period must not be of any individual small part is not ≥16 square less than 15 minutes. Only one specimen Locomotives inches (100 cm2) in end use configuration need be tested. A proportional reduction may The requirements contained in this and an appropriate fire hazard analysis is be made in the dimensions of the specimen, appendix are intended to address the conducted which addresses the location and provided the specimen represents a true test structural and puncture resistance properties quantity of the materials used, and the of the ability of the structural flooring of the locomotive fuel tank to reduce the risk vulnerability of the materials to ignition and assembly to perform as a barrier against of fuel spillage to acceptable levels under contribution of flame spread. under-vehicle fires. The fire resistance period derailment and minor collision conditions. 11 If the surface area of any individual required shall be consistent with the safe (a) Structural strength. small part is less than 16 square inches (100 evacuation of a full load of passengers from (1) Load case 1—minor derailment. The cm2) in end use configuration, materials used the vehicle under worst-case conditions. end plate of the fuel tank shall support a
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00165 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 25704 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations sudden loading of one-half the weight of the (b) Reliability-based maintenance programs preventing functional failures or preventing a car body at a vertical acceleration of 2g, are based on the following general principles. failure event consisting of the sequential without exceeding the ultimate strength of A failure is an unsatisfactory condition. occurrence of two or more independent the material. The load is assumed to be There are two types of failures: functional failures which may have consequences that supported on one rail, within an eight inch and potential. Functional failures are usually would not be produced by any of the failures band (plus or minus) at a point nominally reported by operating crews. Conversely, occurring separately. The task types include: above the head of the rail, on tangent track. maintenance crews usually discover (1) Inspections of an item to find and Consideration should be given in the design potential failures. A potential failure is an correct any potential failures; of the fuel tank to maximize the vertical identifiable physical condition, which (2) Rework/remanufacture/overhaul of an clearance between the top of the rail and the indicates that a functional failure is item at or before some specified time or age bottom of the fuel tank. imminent. The consequences of a functional limit; (2) Load case 2—jackknifed locomotive. failure determine the priority of a (3) Discard of an item (or parts of it) at or The fuel tank shall support transversely at maintenance effort. These consequences fall before some specified life limit; and the center a sudden loading equivalent to one into the following general categories: (4) Failure finding inspections of a hidden- half the weight of the locomotive at a vertical (1) Safety consequences, involving possible function item to find and correct functional acceleration of 2g, without exceeding the loss of the equipment and its occupants; failures that have already occurred but were ultimate strength of the material. The load is (2) Operational consequences, which not evident to the operating crew. assumed to be supported on one rail, involve an indirect economic loss as well as (b) Components or systems in a reliability- distributed between the longitudinal center the direct cost of repair; based maintenance program may be defined line and the edge of the tank bottom, with a (3) Non-operational consequences, which as simple or complex. A simple component rail head surface of two inches. involve only the direct cost of repair; or or system is one that is subject to only one (3) Load case 3—side impact. In a side (4) Hidden failure consequences, which or a very few failure modes. This type of impact collision by an 80,000 pound involve exposure to a possible multiple component or system frequently shows Gross Vehicle Weight tractor/trailer at failure as a result of the undetected failure of decreasing reliability with increasing the longitudinal center of the fuel tank, a hidden function. operating age. An age/time limit may be used the fuel tank shall withstand, without (c) In a reliability-based maintenance to reduce the overall failure rate of simple exceeding the ultimate strength, a program, scheduled maintenance is required components or systems. Here, safe-life limits, for any item whose loss of function or mode fail-safe designs, or damage tolerance-based 200,000 pound load (2.5g) distributed of failure could have safety consequences. If residual life calculations may be imposed on over an area of six inches by forty-eight preventative tasks cannot reduce the risk of a single component or system to play a inches (half the bumper area) at a height such failures to an acceptable level, the item crucial role in controlling critical failures. of thirty inches above the rail (standard requires redesign to alter its failure Complex components or systems are ones DOT bumper height). consequences. Scheduled maintenance is whose functional failure may result from (4) Load case 4—penetration resistance. also required for any item whose functional many different failure modes and show little The minimum thickness of the sides, bottom failure will not be evident to the operating or no decrease in overall reliability with sheet and end plates of the fuel tank shall be crew, and therefore reported for corrective increasing age unless there is a dominant equivalent to a 5⁄16-inch steel plate with a action. In all other cases the consequences of failure mode. Therefore, age limits imposed 25,000 pounds-per-square-inch yield strength failure are economic, and maintenance tasks on complex components or systems have (where the thickness varies inversely with directed at preventing such failures must be little or no effect on their overall failure rates. the square root of yield strength). The lower justified on economic grounds. All failure (g) When planning the maintenance of a one third of the end plates shall have the consequences, including economic component or system to protect the safety equivalent penetration resistance by the consequences, are established by the design and operating capability of the equipment, a above method of a 3⁄4-inch steel plate with a characteristics of the equipment and can be number of items must be considered in the 25,000 pounds-per-square-inch yield altered only by basic changes in the design. reliability assessment process: strength. This may be accomplished by any Safety consequences can, in nearly all cases, (1) The consequences of each type of combination of materials or other mechanical be reduced to economic consequences by the functional failure; protection. use of redundancy. Hidden functions can (2) The visibility of a functional failure to (b) Sideswipe. To minimize fuel tank usually be made evident by instrumentation the operating crew (evidence that a failure damage during sideswipes (railroad vehicles or other design features. The feasibility and has occurred); and grade crossings), all drain plugs, clean- cost effectiveness of scheduled maintenance (3) The visibility of reduced resistance to out ports, inspection covers, sight glasses, depend on the inspectablility of the failure (evidence that a failure is imminent); gauge openings, etc., must be flush with the component, and the cost of corrective (4) The age-reliability characteristics of tank surface or adequately protected to avoid maintenance depends on its failure modes each item; catching foreign objects or breakage. All and design reliability. (5) The economic tradeoff between the cost seams must be protected or flush to avoid (d) The design reliability of equipment or of scheduled maintenance and the benefits to catching foreign objects. components will only be achieved with an be derived from it; (c) Spill controls. Vents and fills shall be effective maintenance program. This level of (6) A multiple failure, resulting from a designed to avert spillage of fuel in the event reliability is established by the design of each sequence of independent failures, may have of a roll over. component and the manufacturing processes consequences that would not be caused by Appendix E to Part 238—General that produced it. Scheduled maintenance can any one of the individual failures alone. Principles of Reliability-Based ensure that design reliability of each These consequences are taken into account in component is achieved, but maintenance the definition of the failure consequences for Maintenance Programs alone cannot yield a level of reliability the first failure; and (a) Any maintenance program has the beyond the design reliability. (7) A default strategy governs decision following four basic objectives: (e) When a maintenance program is making in the absence of full information or (1) To ensure realization of the design level developed, it includes tasks that satisfy the agreement. This strategy provides for of safety and reliability of the equipment; criteria for both applicability and conservative initial decisions, to be revised (2) To restore safety and reliability to their effectiveness. The applicability of a task is on the basis of information derived from design levels when deterioration has determined by the characteristics of the operating experience. occurred; component or equipment to be maintained. (h) A successful reliability-based (3) To obtain the information necessary for The effectiveness is stated in terms of the maintenance program must be dynamic. Any design improvements of those items whose consequences that the task is designed to prior-to-service program is based on limited design reliability proves inadequate; and prevent. The basics types of tasks that are information. As such, the operating (4) To accomplish these goals at a performed by maintenance personnel are organization must be prepared to collect and minimum total cost, including maintenance each applicable under a unique set of respond to real data throughout the operating costs and the costs of residual failures. conditions. Tasks may be directed at life of the equipment. Management of the
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00166 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25705 ongoing maintenance program requires an (4) The general condition of unfailed parts (1) An inspection task is developed to organized information system for in units that have failed; and prevent recurrences while the item is being surveillance and analysis of the performance (5) The general condition of serviceable redesigned; of each item under actual operating units inspected as samples. (2) The operating fleet is modified to conditions. This information is needed to (i) At the time an initial maintenance incorporate the redesigned part; and determine the refinements and modifications program is developed, information is usually (3) After the modification has proved to be made in the initial maintenance available to determine the tasks necessary to successful, the special inspection task is eliminated from the maintenance program. program (including the adjustment of task protect safety and operating capability. intervals) and to determine the need for (j) Component improvements based on However, the information required to product improvement. The information identification of the actual reliability determine optimum task intervals and the derived from operating experience may be characteristics of each item through age or applicability of age or life limits can be considered to have the following hierarchy of life exploration, is part of the normal importance in the reliability-based obtained only from age or life exploration development cycle of all complex equipment. after the equipment enters service. With any maintenance program: Issued in Washington, D.C., on April 30, new equipment there is always the (1) Failures that could affect operating 1999. possibility of unanticipated failure modes. safety; Jolene M. Molitoris, (2) Failures that have operational The first occurrence of any serious consequences; unanticipated failure should immediately set Federal Railroad Administrator. (3) The failure modes of units removed as into motion the following improvement [FR Doc. 99–11333 Filed 5–10–99; 8:45 am] a result of failures; cycle: BILLING CODE 4910±06±P
VerDate 06-MAY-99 12:51 May 11, 1999 Jkt 183247 PO 00000 Frm 00167 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR2.XXX pfrm07 PsN: 12MYR2 eDt 6MY9 31 a 1 99Jt134 O000Fm001Ft41 ft41 :F\M1MR.X fm7PsN:12MYR3 pfrm07 E:\FR\FM\12MYR3.XXX Sfmt4717 Fmt4717 Frm00001 PO00000 Jkt183247 13:16May11, 1999 VerDate 06-MAY-99 federal register May 12,1999 Wednesday Final Rule National NaturalLandmarksProgram; 36 CFRPart62 National ParkService Interior Department ofthe Part III 25707 25708 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations
DERARTMENT OF THE INTERIOR agencies; i.e., Federal, State, county or Federal Register on December 16, 1991 municipal governments. Nearly one- (56 FR 65203). National Park Service third are owned solely by private The revision of the program parties. The remaining natural regulations is part of an improvement of 36 CFR Part 62 landmarks are owned or administered the operation of the NNL Program by the RIN 1024±AB96 by a mixture of public and private NPS. On November 28, 1989, the owners. Because many natural Director of the NPS instituted a National Natural Landmarks Program landmarks are privately owned or not moratorium on the NNL Program, managed for public access, owner during which the NPS did not consider AGENCY: National Park Service, Interior. permission must be obtained to visit new areas for NNL designation. Because ACTION: Final rule. them. Designation does not infer a right the improvements have been completed, SUMMARY: This final rule revises the of public access. the moratorium will be lifted upon the current regulations for the National National natural landmark effective date of the regulations. designation is not a land withdrawal, Natural Landmarks (NNL) Program. Summary of Comments These revisions ensure that owners of does not change the ownership of an Potential National Natural Landmarks area and does not dictate activity. To date, copies of the proposed (PNNL) under consideration for possible However, Federal agencies should revised regulations were sent to over national natural landmark designation consider impacts to the unique 500 individuals or organizations on an are notified well in advance of such properties of these nationally significant NPS NNL mailing list that was made consideration and have the opportunity areas in carrying out their part of the rulemaking. In addition, the to comment on the proposals; that the responsibilities under the National proposed regulations were sent to the National Park System Advisory Board Environmental Policy Act (42 U.S.C. State Park Directors and State Historic reviews all future national natural 4321 et seq.). Designation could result Preservation Officers of all 50 States. As landmark nominations and provides in State or local planning or land use part of NPS’s ongoing corroboration and recommendations to the Secretary of the implications. The Secretary is required contact with current owners of the 587 Interior about their qualifications for to provide an annual report to the designated NNLs, the proposed Congress on damaged or threatened designation; and land is not included regulations were also sent to NNLs (Section 8 of the National Park within an area designated by the approximately 8,000 NNL owners System General Authorities Act of 1970 Secretary if a private property owner whose names and addresses were (90 Stat. 1940), as amended (16 U.S.C. objects to such a designation for his or confirmed. 1a-5)). her portion. Comments were received from 236 Natural landmark preservation is sources, which included government EFFECTIVE DATE: This rule becomes made possible by the long-term, effective on June 11, 1999. entities, private organizations, and voluntary commitments of public and private individuals. In addition, 894 FOR FURTHER INFORMATION CONTACT: private owners to protect the standardized, completed questionnaires Natural Landmarks Program, under outstanding values of the areas. In were submitted as comments, and 70 Mike Soukup, Associate Director, revising the regulations for the program, respondents presented oral or written Natural Resources, Stewardship and the NPS seeks to balance two comments at the public hearings. Science, National Park Service, 1849 C fundamental goals: identification and Several respondents stated that the Street, NW, Washington, DC, 20240– preservation of nationally significant proposed revisions of the program 0001. Telephone: 202–208–3884. examples of the nation’s natural heritage regulations would not resolve the three SUPPLEMENTARY INFORMATION: and the full acknowledgment and primary issues. However, other respect of owners’ interests at all times. respondents expressed support of the Background Since 1989, significant interest in the objectives of the program or of the To identify the full range of geological regulations and operation of the NNL proposed revisions. Some respondents and ecological features of nationally Program centered on three major issues: recommended the abolishment of the significant examples of the nation’s (1) Notification of owners and other program. Other respondents stated that natural heritage and to encourage their concerned individuals and the proposed revisions were too extreme preservation, the Secretary of the organizations that PNNL were under for resolution of the issues and were Interior established the NNL Program consideration for national natural therefore detrimental to the objectives of under the authority of the Historic Sites landmark designation, (2) owner the program. Act of 1935 (16 U.S.C. 461 et seq.). consent or objection to designation of Potential natural landmarks are property as a national natural landmark, Analysis of Comments identified in studies by the National and (3) the effects of national natural Issue 1: Comment Procedure Park Service (NPS) and from other landmark designation on private sources, evaluated by expert natural property. In response to these concerns, Comments: Several respondents scientists, and, if determined nationally proposed revisions to the program suggested that the final rule not be significant, designated as landmarks by regulations were published by the NPS issued until the NPS provided owners of the Secretary of the Interior. When as a proposed rule in the Federal all the designated NNLs, as well as designated, a landmark is included in Register on November 21, 1991 (56 FR owners of PNNL that had been the National Registry of Natural 58790), for a 90-day comment period. evaluated but not designated, with the Landmarks, which currently lists 587 On February 6, 1992 (57 FR 4592), the opportunity to comment on the national natural landmarks nationwide. comment period was extended to March proposed rule. Some respondents noted The registry includes nationally 2, 1992. In addition, during the that the proposed rule was so significant geological and ecological comment period, the NPS held public insufficient that the NPS should make features in 48 States, American Samoa, hearings on the proposed revised the needed changes and issue another Guam, Puerto Rico and the Virgin regulations at nine locations around the proposed rule for comment prior to Islands. Of the 587 listed landmarks, country. Date, time and exact location of issuing any final rule. Some half are administered solely by public each hearing was announced in the respondents suggested that the proposed
VerDate 06-MAY-99 13:16 May 11, 1999 Jkt 183247 PO 00000 Frm 00002 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR3.XXX pfrm07 PsN: 12MYR3 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25709 rule be reissued for comment and that objects of national significance the proposed NNL designation of a the preamble should include a reference contained in Section 1 of the 1935 PNNL. One respondent noted that to the Department of the Interior Historic Sites Act (49 Stat. 666; 16 owner should specifically be defined by Inspector General’s report on the NNL U.S.C. 461 et seq.). In addition, since title search. One respondent noted that Program (December 1991). 1962, the Congress has recognized the the definition of owner should Service response: To date, the NPS NNL Program by including specific specifically reference Native American has taken the following steps to advise references to national natural landmarks owners. and inform owners of the 587 existing in several acts. For example, Section 8 Service Response: The definition of NNLs about the NNL Program and the of the National Park System General owner in § 62.2 in the final rule was rulemaking process. To confirm the Authorities Act of 1970, (90 Stat. 1940) clarified to mean holding fee simple names and addresses of the nationwide as amended (16 U.S.C. 1a–5) directs the title. A change of the final rule was owners of the 587 designated NNLs, the Secretary of the Interior to prepare an made to include in this definition NPS wrote to approximately 8,000 annual report to the Congress which Native American beneficial owners of owners and provided them with a copy identifies all landmarks which exhibit land held in trust by the United States. of the proposed revised regulations. known or anticipated damage or threats Other persons or organizations are Almost all of the owners who submitted to the integrity of their resources. welcome to comment during the comments on the proposed regulations Section 9 of the 1976 Mining in the designation a PNNL. Procedures for supported the continuation of the NNL National Parks Act (90 Stat. 1342; 16 identifying owners during the second Program and endorsed the value of the U.S.C. 1908) mandates that whenever notification stage of the designation NNL designation. the Secretary determines that a process are specified in § 62.4(d)(1). The NPS believes that NNL owners landmark may be irreparably lost or Comments (definition of national and other interested organizations and destroyed in whole or in part by any significance): Some respondents individuals have had sufficient surface mining activity, the Secretary questioned the definition of national opportunities to participate in the shall notify the person conducting the significance in § 62.2 and the criteria in rulemaking. Additionally, all of the activity and prepare a report to be § 62.5 as too broad and subjective. Some comments on the proposed rule were submitted to the Advisory Council on respondents noted that a definition and fully considered in developing changes Historic Preservation with a request for determination of national significance in the final rule. Therefore, the revised advice. Finally, the National Parks and by natural region as opposed to by rule is being issued as final. Recreation Act of 1978 authorizes nation is inappropriate. One respondent Comments (major rule): Some appropriations for monitoring the felt that no standards or guidelines were respondents disagreed with the welfare and integrity of landmarks. provided to determine national Department of the Interior’s Thus, the 1935 Act, and subsequent significance. determinations, as stated in the Congressional action provide authority Service Response: As noted in § 62.5, SUPPLEMENTARY INFORMATION section of for administering the NNL Program. the natural diversity of the nation is the proposed rule, of the rulemaking as comprised of distinct regional patterns, a non-major rule within the meaning of Other Issues correlated to broad physiographic Executive Order 12291 (46 FR 13193); The comments received focused on patterns. Therefore, the recognition of with the rulemaking as a categorical three major areas of the proposed distinct regional ecological and exclusion from the procedural revision of the regulations: (1) Requiring geological features often found in only requirements of the National consent of owners for the evaluations one of the country’s natural regions, and Environmental Policy Act under and designations of properties, (2) their comparative assessment primarily Departmental regulations in 516 DM 6 providing owners of designated NNLs to determine a PNNL relative (49 FR 21438); and with the proposed with a mechanism for the removal of the illustrativeness and condition, is the rule as implying a taking of private designation and (3) determining the approach used by the NNL Program. No property as defined under Executive effects of NNL designation on private change was made in the final rule. Order 12630. Some respondents property. Comments (other definitions): Some questioned whether an assessment of respondents noted that the terms implied taking of private property by Issue 2: Definitions scientist and evaluator had not been the proposed rule had been completed. Comments (definition of prejudicial defined in the proposed rule. Service response: The NPS completed procedural error): Some respondents Service Response: A definition of a takings impact assessment. The requested that the term ‘‘prejudicial scientist has been added to § 62.2 in the Department determined that the procedural error,’’ as a criterion for final rule. Section 62.4(c) has been proposed rule did not imply taking of removal of the NNL designation, be revised to clarify that evaluators are private property. Executive Order 12291 defined in the regulations. qualified scientists. was revoked by Executive Order 12866, Service response: This term is already Issue 3: Consent of Owners which is addressed in this final rule. defined in § 62.2 and § 62.8(a). Comments (legislative authority): Comments (glossary): One respondent Comments (written consent): Several Several respondents suggested that the suggested that the regulations include a respondents stated that the requirement legislative authority for the NNL glossary. in § 62.4(d)(4) for written consent from Program was insufficient or non-existent Service Response: Definitions of key all owners for the designation of an area and that the program should be terms are already included in § 62.2. was unnecessary because designation abolished. Several other respondents Comments (definition of owner): imposes no regulatory restrictions on noted that the NNL Program served a Several respondents suggested that the owners, was unreasonable because valuable purpose in recognizing definition of owner in § 62.2 include obtaining the required written consent nationally significant natural features owners of partial interests in land and from all owners of most multiple-owner and therefore should be retained. owners of inholdings and that these properties would be difficult, and Service Response: The NNL Program owners should receive the same would invalidate or damage the is based on direction given to the notifications and have the same scientific credibility of the program. Secretary of the Interior to identify opportunity to comment and agree with Some respondents suggested modifying
VerDate 06-MAY-99 13:16 May 11, 1999 Jkt 183247 PO 00000 Frm 00003 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR3.XXX pfrm07 PsN: 12MYR3 25710 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations the requirement for affirmative landowner in the entire natural region between the competing points of the responses from all owners to two-thirds containing the areas under described views. or the majority of owners. Other consideration for designation prior to For NNLs with more than 50 owners, respondents felt that an affirmative PNNL evaluations. Some respondents the NPS may choose to provide a response was not necessary and that suggested that the consent of owners of general notice to owners in one or more lack of landowner objection was properties adjacent to a PNNL also be newspapers in the area. In addition, in sufficient. One respondent noted that, if required for evaluation. updating its information on names and landowner consent was required, Service Response: These suggestions addresses of owners of NNLs, the NPS provisions for protection of designated were not adopted in the final rule. NNL has learned that six of the 587 NNLs NNLs must be stronger, such as evaluation and designation apply to have a substantially larger and more requiring Federal agencies to avoid or specific areas, not to adjacent properties complex ownership profile than the mitigate adverse impacts to NNLs. or to entire natural regions. remaining 581. Given this, the NPS also Service Response: In response to these Comments (notification of existing reserves the right to consider boundary concerns, § 62.4(e)(2),(f), and (g)(1) were NNL owners): Several respondents modifications of one or more of the six changed and a new paragraph (d)(5) was suggested that the regulations provide a areas (Mobile-Tensaw River added to show that land owned by a mechanism to request the removal of Bottomlands, AL; Anza-Borrego Desert private property owner cannot be NNL designations by property owners. State Park, CA; Ancient River Warren designated when the private property Some respondents suggested the Channel, MN/SD; Nags Head Woods owner involved has stated, in writing, suspension of all 587 existing NNL and Jockey Ridge, NC; Canaan Valley, objection to designation. The NPS designations until owners consent. One WV; and Baraboo Range, WI) as believes these changes appropriately respondent suggested the retention of specified in § 62.7 of the regulations. Comments (written permission): Some achieve the objectives. only existing NNL designations with Comments (owner consent for respondents noted that the requirements which all owners and the appropriate evaluation of PNNL): The proposed rule in § 62.4(a)(1) and (a)(2)(ii) for owner State and local governments concurred. included a provision (§ 62.4(b)(3)) to permission for entry onto land should One respondent suggested that no allow for the use of other information specify that this permission should be public purpose would be served by sources by the NPS to evaluate a PNNL in writing. allowing owners of NNLs the without entering onto lands where Service Response: This change has landowner permission has not been opportunity to request the removal of been made in the final rule. Sections granted. Several respondents stated that designations and that this procedure 62.4(a)(1), (a)(2)(ii), and (b)(3) were a requirement for written landowner may lead to the destruction of some changed in the final rule to clarify that consent for designation was not NNL’s nationally significant values. One the requirement for landowner sufficient protection of landowner respondent suggested the review of NPS permission to enter onto land for PNNL interests and that the regulations should records of all NNLs to determine if evaluation does not apply to publicly require written consent, in addition to written owner consent was obtained, owned lands that are otherwise open to written notifications of owners, prior to whether information about the areas public visitation. Sections 62.6(c)(1) and evaluation of the property by the NPS was gathered by entering land without (c)(2) clarified the situation for for NNL designation. One respondent owner permission, and to verify the monitoring landmarks. noted that, if the NPS elected to removal from NPS files and destruction Comment (pending designation complete an evaluation without entering of information about PNNL for which following evaluation): Some onto lands to which landowners denied owners did not give consent for respondents suggested that the access, owners should be notified of the designation. regulations require the NPS to notify evaluation. One respondent noted that, Service Response: Many of the 587 owners of PNNL for which an if the NPS elected to use other NNLs were designated before 1980, evaluation was completed, and owners information sources for an evaluation when program regulations were first of PNNL identified in studies of natural without entering lands to which issued. Furthermore, program funding regions but were not designated, and landowners denied access, the levels during the decade prior to FY give such owners the right to withdraw information should originally have been 1992 precluded the comprehensive from the program. obtained with owner consent. maintenance of updated documentation Service Response: Any future Service Response: The NPS believes of NNL ownership. Therefore, except as evaluation of PNNL for NNL designation that the ability to comparatively indicated below, the NPS will contact will be done consistent with the evaluate similar or related areas to the known owners of the existing NNLs program regulations, which include determine the best examples of certain in writing. This notice advises owners specific requirements for the ecological or geological features is an that they can, within 90 days of this notification of owners and objections by essential part of the NNL Program. notice, inform in writing the Director of owners to ensure that owners are fully Restricting the ability of the NPS to use NPS of their wish to have the NNL informed and that private property existing information sources in designations removed from their owners have the option to withdraw completing these evaluations would properties. If owners do not respond their properties from consideration. significantly impair the program. within 90 days of the NPS notification, Therefore, no further change is Therefore, this provision was retained the NNL designations of their properties necessary in the final rule. in the final rule. Section 62.4(b)(3) of will be retained. Under these revised Comments (removal of designation): the final rule was changed to show that, regulations, the properties from which Several respondents recommended a when the NPS chooses to complete an the designations are removed may be fourth criterion in § 62.8(a) for the evaluation using only existing reconsidered for designation if future removal of future NNL designations: information, it informs the owners of changes in ownership or other request of the landowner to remove the the decision. circumstances warrant such action. designation. Other respondents stated Comments (consent of entire region): These provisions are reflected in a new their opposition to granting requests for Several respondents suggested that the section, § 62.8(f), which the NPS removal of designations by owners. regulations require consent from every considers to be an appropriate balance Several respondents suggested an
VerDate 06-MAY-99 13:16 May 11, 1999 Jkt 183247 PO 00000 Frm 00004 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR3.XXX pfrm07 PsN: 12MYR3 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25711 opportunity for owners to request the respondents stated that the mere respondent suggested that the removal of the NNL designations of consideration of PNNL for NNL regulations also describe the possible their properties prior to any revision in designation led to restrictions on the use effects of designation on owners who NNL Program regulations that affect any of property in local, State or Federal own property near or adjacent to the possible regulatory obligations of the regulatory actions; and that, in agreeing PNNL, such as being required to provide designations on owners. Several to voluntarily help conserve the area, a scenic easement to allow viewing of respondents suggested that, after the landowner was giving up interests the landmark. ownerships changes, new owners of and rights to the property, which Service Response: As noted above, designated NNLs should be able to constitutes a restriction on the use of the designation of a PNNL as an NNL request the removal of designations of property. reflects the meeting of criteria for their properties. Service Response: The NPS believes national significance and no landowner Service Response: Designation of a that § 62.3(a) appropriately describes the objection. One of the objectives of the PNNL by the Secretary as an NNL possible effects of designation. NNL NNL Program is that owners and reflects a determination that the site designation does not restrict the use and Federal, State and local government meets the criteria for national enjoyment of property by Federal agencies will take this fact into account significance and the landowner(s) do action. The NNL Program provides when making planning or other future not object to the designation. Provisions information on the location and status land use decisions. Although this may in the final rule about landowner of important natural features so that mean that the decisions may take into notification and objection are intended they can be considered in regional account the national significance of the to offer owners full opportunity to planning for the use and development of area, the NPS cannot describe or predict participate in the designation process. A a variety of resources. The NPS the extent to which decisions may be program in which an NNL was subject encourages owners to protect the influenced by such designation on lands to de-designation whenever an owner so nationally significant values of their within or adjacent to areas receiving the wished or whenever ownership changed property, but this voluntary cooperation NNL designation. Language was added would be purely honorific and of little does not restrict the owner’s use of his to § 62.3(a) to clarify that, although value in achieving the program or her land. The voluntary involvement recognition as an NNL may be used to objectives. Some of these suggestions in the program carries the hope that the support certain State or local planning were therefore not incorporated into the owner will not lower the integrity of the or land use, such State and local actions final rule. resource being recognized. Landmark are not required or mandated by the Comments (release of information): designation seeks to assist regional Department of the Interior as a One respondent noted that information development planning and decision consequence of the NNL designation. on areas, as described under § 62.9(b), making by indicating which resources Additional language on the beneficial should not be released without private are relatively significant, and which effects of designation, including owners’ consent. One respondent resources are of lesser importance. possible Federal income-tax benefits suggested that § 62.9(b) also include Comments (other regulations/future from qualified conservation easement other reasons for restricted restrictions): Some respondents donations, was added to § 62.3(b). The dissemination of NNL site information, suggested that the regulations more title, Implications of Designation, was for example, when an owner does not specifically describe the possible State revised in § 62.3 to ‘‘Effects of NNL wish dissemination of information on and local land use or planning Designation.’’ an area because of concerns over implications of NNL designation on an Designation of a PNNL as a national liability or lack of suitable visitor area referred to in § 62.3(a); some natural landmark is one method used by facilities. Some respondents noted that respondents noted that the word the Department for recognizing and the restriction on dissemination of restrictions be used in place of encouraging the preservation of information for certain ecologically or implications. Other respondents nationally significant areas as an geologically sensitive areas, as described suggested that the regulations require alternative to Federal acquisition of in § 62.9(b), would be in violation of the the NPS to identify and advise owners them for inclusion in the National Park Freedom of Information Act. One of Federal, State, or local legal or System. Although national natural respondent questioned the need for this regulatory restrictions that may apply as landmarks have occasionally been provision because of the assumption a result of NNL designation, including subsumed in subsequently created units that owners are voluntarily preserving possible future effects of such laws or of the National Park System, and their NNL property. regulations. Some respondents national natural landmarks can be Service Response: The NPS considers suggested the revision of § 62.3(a) to designated in existing national park that § 62.9(b) as proposed represents an state that there will never be any future units, natural landmark designation is appropriate balance between the policy restrictions on the use of an NNL. not necessarily a first step that ends in of availability of government Several respondents suggested that the adding the area to the National Park information, the need to restrict access regulations also state that, in addition to System. In considering a possible new to information in certain circumstances, possible implications of Federal, State, addition to the National Park System, and the requirements of the Freedom of or local laws and regulations, in some the NPS must first determine that an Information Act and related authorities. cases non-governmental third parties area is nationally significant. While No change has been made in the final may use the NNL designation to attempt prior designation as an NNL is one rule. to influence use or protection of the indication of national significance, there area. Other respondents suggested that are several other criteria that must be Issue 3: Effects of NNL Designation the descriptions in the regulations of met before the NPS can support a Comments (restrictions on use of effects also clarify the benefits of proposal for a new national park. An property): Several respondents stated designation. Other respondents stated area must meet criteria for suitability that descriptions of the possible effects that the consideration of areas for NNL and feasibility to qualify as a potential of NNL designation on property in designation was a mechanism by the addition to the National Park System. § 62.3 of the proposed rule were NPS to identify new areas for addition To be suitable for inclusion in the inaccurate and incomplete. Several to the National Park System. One System an area must represent a natural
VerDate 06-MAY-99 13:16 May 11, 1999 Jkt 183247 PO 00000 Frm 00005 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR3.XXX pfrm07 PsN: 12MYR3 25712 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations or cultural theme or type of recreational Some respondents suggested that the the Secretary of the Interior determines resource that is not already adequately NPS retain all properly acquired that an NNL may be irreparably lost or represented in the National Park System information on designated and non- destroyed by any surface mining or is not comparably represented and designated areas. activity, the Secretary shall notify the protected for public enjoyment by Service Response: The NPS believes person conducting the activity, submit a another land-managing entity. To be that the management and analysis of report to the Advisory Council on feasible as a new unit of the National information on NNL areas, and PNNL Historic Preservation, and request the Park System an area’s natural landscape under consideration in the NNL process, Council’s advice concerning means to and or historic settings must be of are important objectives of the NNL mitigate or abate such activity. This sufficient size and appropriate Program. This information adds to the mandate presupposes the collection and configuration to ensure long-term comparative national-level resource retention of information concerning protection of the resources and to information base used in identifying such potentially impacted NNLs. accommodate public use. It must also and comparing nationally significant Additionally, Section 8 of the National have potential for efficient resources and also furthers informed Park System General Authorities Act of administration at a reasonable cost. planning and environmental review. 1970 (90 Stat. 1970), as amended (16 Other important feasibility factors The NPS is also interested in ensuring U.S.C. 1a–5), specifically requires the include land ownership, acquisition that information used in the NNL Secretary to investigate, study and costs, access, threats to the resource, Program is obtained with the knowledge continually monitor the welfare of areas and staff or development requirements. of the landowner and without entering whose resources exhibit qualities of Lastly, in all but exceptional onto private property without national significance. circumstances, the Congress must permission of the owners. The NPS Comments (area information access): authorize by statute and then believes that the final rule establishes an One respondent suggested that the NPS appropriate funds for the acquisition of appropriate balance between these provide reasonable access to all NPS any new unit of the National Park property owner concerns and the information on PNNL at any point in the System, or for the significant expansion information required to achieve program designation process, not just during of existing units. objectives. specified notification or comment Comments (effects of designation): Comments (retention of area periods. One respondent suggested that One respondent suggested that, as part information): Several respondents the regulations require the NPS to of the first notification in § 62.4(b), the suggested that as stated in § 62.4(f) the maintain current information on owners NPS specify to the owners what consent NPS not retain any information on areas and to maintain complete records of all to NNL designation entails and that a that meet the criteria of national communications with owners and proof copy of the potential owner consent significance but were not designated that all notification and consent agreement be provided to the owner as because of owner objection. Some requirements were met. part of the first notification. respondents suggested that the NPS Service Response: With this program, Service Response: Information publish the list of PNNL that meet the the NPS maintains records on PNNL provided to owners as part of first criteria for national significance but and NNL areas, notifications of and notification under § 62.4(b)(1) and (2) were not designated. communications with owners, and other includes an explanation of the effects of Service Response: A change was made program activities. This information is NNL designation, as described in § 62.3. in § 62.4(f) of the final rule to show that available to the public, subject to A change was also made in § 62.4(b)(1) the NPS will notify owners and others requirements of the Freedom of and (2) in the final rule to clarify that of the decision to retain information on Information Act and other applicable the information provided at this stage PNNL that meet the criteria for national statutes. No change was therefore made also includes an explanation of the significance but were not designated in the final rule. designation process. because of owner objection. Comment (authority for area Issue 6: Designation Process— Issue 5: Area Information information retention): One respondent Suggestion Comments (obtaining area requested that the NPS cite the authority Comments: Several respondents information): Several respondents for the statement made in the suggested the revision of § 62.4(a)(2) to suggested that the NPS not retain SUPPLEMENTARY INFORMATION section of allow other (non-NPS) entities the information on PNNL at any stage in the the proposed rule that NPS has an ability to make suggestions of only designation process if owners were not affirmative responsibility to maintain publicly owned areas for NNL informed of this consideration and had information on nationally significant consideration. Some respondents not given their consent to having their resources and to make this information suggested that suggestions of privately property considered for designation. available for planning and owned areas for consideration be One respondent suggested that environmental review. accepted only from owners of proposed § 62.4(a)(2)(ii) be changed to specify that Service Response: General authorities properties and that the appropriate the NPS will not consider information for these actions are described in the government entity propose publicly recommending a PNNL for possible legal authorities response above. In owned areas after an open public review NNL consideration, when such addition Section 102(2)C of the National of the suggestion. Some respondents information was obtained by entering Environmental Policy Act (83 Stat. 852; suggested only owners who owned all of onto land without landowner 42 U.S.C. 4321) directs Federal agencies the property could suggest an area for permission, regardless of whether such to consider the effects of agency action consideration. Some respondents noted information came from NPS or non-NPS on the environment. Information on that areas owned by State or local sources. Several respondents suggested unique resources such as those governments could be suggested by that the NPS be required to provide contained in the NNL Program private advocacy groups, but only in a positive proof that all information used facilitates such planning and evaluation. public political process. Several in the designation process was legally Section 9 of the Mining in National respondents suggested that all obtained and that any information when Parks Act of 1976 (90 Stat. 1342, 16 information used to suggest PNNL for such proof did not exist be destroyed. U.S.C. 1908) mandates that whenever possible NNL consideration should be
VerDate 06-MAY-99 13:16 May 11, 1999 Jkt 183247 PO 00000 Frm 00006 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR3.XXX pfrm07 PsN: 12MYR3 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25713 accompanied by proof of landowner notification in the regulations is not Comments (notification of local permission to enter private property. necessary. No change is made in the government): One respondent suggested Service Response: A fundamental final rule. that the first notification specified in aspect of the NNL Program is the open Comment (second notification): Some § 62.4(b) be given to the appropriate process for suggesting areas for NNL respondents suggested that the local government agency and to owners. designation by any interested agencies, information provided to owners and Some respondents suggested that the organizations or individuals. The NPS others as part of the second notification NPS hold a local public meeting or believes the provisions for landowner under § 62.4(d) should specifically hearing on every PNNL being notification and objection in the final reference the required monitoring and considered for NNL designation. rule ensure that owners are fully reporting for designated areas as Service Response: As part of the first informed of and involved in the specified in § 62.6. notification process, notice is provided consideration of their property in the Service Response: Section 62.4(d) to owners, as specified in § 62.4(b)(1) NNL process and give other interested includes a reference to § 62.3. As § 62.3 and (2), informing them that the NPS is groups and individuals the opportunity already includes specific references to considering their properties for for input into this process without § 62.6 and the required monitoring and designation and requesting owner restricting the interests of the owners. reporting, no change was necessary in permission to conduct an on-site Therefore, no change is made in the final rule. evaluation. After the evaluation, when § 62.4(a)(2) of the final rule that restricts Comments (areas with 50 or more the NPS determines that an area seems the sources of PNNL suggestions. owners): Some respondents noted that to meet the criteria for national The NPS believes the requirements for the requirement in § 62.4(b)(2) for significance, written notice of the the NPS or its representatives not to individual notifications of owners for proposal is provided under enter onto private property without areas with 50 or more owners, in § 62.4(d)(3)(i) to the local government owner permission as stated in these addition to a public notice and possible executive at the second notification regulations are sufficient to protect public meeting, was excessive and that stage. Section 62.4(d)(2) was changed in owner interests. Additional this would add unnecessarily to the cost the final rule to provide as part of the requirements for the NPS to ascertain and time of the designation process. second notification an opportunity for the origins of PNNL information in this One respondent misinterpreted the NPS to hold a public information regard would not be a prudent means to § 62.4(b)(2) to mean that the NPS would meeting for areas with 50 or more achieve program objectives and would not be providing written notifications to owners if public interest warrants or it is requested by the local governmental put the NPS in the position of having to owners of areas with less than 50 jurisdiction. This provision was determine whether particular conduct owners. constitutes trespass under applicable therefore deleted from first notification Service Response: First notification law. When trespass occurs, property in § 62.4(b)(2). requirements for areas with less than 50 owners may exercise legal remedies Comment (notification of Native owners are specified in § 62.4(b)(1). A under State and local law. Therefore, Americans): One respondent suggested change was made in § 62.4 (b)(2) of the § 62.4(a)(2)(ii) and (a)(3) were changed that the requirements for notification of final rule. The NPS publishes a general in the final rule to eliminate the local, State, and Federal government notice in one or more local newspapers. requirement that the NPS ascertain officials and other interested parties Written notice to all owners of areas whether information on PNNL under provided under § 62.4(d)(3), § 62.4(j), with more than 50 owners is not consideration was acquired by entering § 62.7(b) and § 62.8(e) specifically provided. onto private property without include Native American tribal Comment (response time): One landowner permission. These changes governments and communities and respondent suggested that a time period take into account the ability of property native villages and corporations. be specified for receiving responses owners to object to designation and the Service Response: This change has from owners after first notification. inappropriateness of a government been made in the final rule. Service Response: As specified in agency ignoring factual resource Comments (notification mailing list): § 62.4(b)(3), the NPS or its information simply because of the One respondent suggested that the representative does not enter onto information’s origins. regulations include a provision that Comments (source of suggestion): private property to evaluate a PNNL allows interested individuals and Several respondents suggested that, as without receiving permission from the organizations to request placement on a part of the first notification stage owner(s) of that property. No time limit general NPS notification mailing list to described in § 62.4(b)(1), the NPS is being set for receiving this landowner be notified of pending evaluations inform the owners of the source of the permission. No change is made in the under § 62.4(d)(3)(vi) and of other suggestion of their property for NNL final rule. public comment periods. This consideration. Comments (comment period following respondent also suggested that the list of Service Response: This change has second notification): Some respondents individuals and organizations be been made in § 62.4(b)(1) and (2) of the noted that the extension of the comment available for public review. One final rule. period from 60 to 120 days after the respondent suggested that the second notification, as specified in regulations require the NPS to notify all Issue 7: Designation Process— § 62.4(d)(3) and (4), was excessive. organizations interested in protecting Notification Service Response: In response to these private property rights of all future Comment (notification process): One comments, § 62.4(d)(4) and (5) were evaluations. respondent suggested that the changed in the final rule to specify a 60- Service Response: Any individual or regulations specify that first notification day comment period. In addition, the organization may request placement on of owners be by certified mail. comment period relating to designation a mailing list to receive future Service Response: Although the NPS removal also was changed to 60 days in notifications or other program may elect to complete the required § 62.8(c). In both cases, 60 days are documents about consideration of areas notification of owners by certified mail, considered an adequate period that may for NNL designation or of other program specification of the type of mail for be extended when warranted. actions and NPS will respond if needed.
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Issue 8: Designation Process—Area the National Park System Advisory landmarks is categorically excluded Evaluation Board to provide recommendations to from the National Environmental Policy Comments (evaluation report): One the Secretary on NNL designations. This Act process under the implementation respondent suggested that the law also indicates the composition of guidelines developed by the NPS under evaluation report, as described in the board include members who are the Act. Additionally, an economic § 62.4(c)(1), include a proposed competent in biology or geology. No impact statement is not required for boundary for the site. One respondent change was made in the final rule about activities related to listing. No change was made in the final rule. suggested that first, second, and third the role of the Advisory Board. Sections Comments (mining): Some notifications provided to owners under 62.4(g), (h), and (i), and 62.7(d) were changed in the final rule to eliminate respondents suggested that the possible § 62.4(b), (d) and (j) include a full implications of the Mining in National description of the area, including the the requirement for the Director to provide NNL materials through the Parks Act, as described in § 62.6(e), be size and a detailed map of the area. One more fully explained in the regulations. respondent suggested that the draft Assistant Secretary. Comment (procedural requirements): Some respondents noted that the evaluation report be distributed to all One respondent suggested that the definition of surface mining under this owners for comment within a specified Advisory Board, in addition to act was not clear. One respondent time period or the evaluation becomes reviewing whether PNNL qualified for questioned whether the definition of null and void and must be re-done in NNL designation, also review whether surface mining may include owner- the future. authorized scientific, archeological or Service Response: Section 62.4(c)(1) procedural requirements had been met. Service Response: Section 62.4(g)(1) paleontological excavations at the area. was changed in the final rule to specifies that the Director submits to the Some respondents noted that what types specifically include a proposed Advisory Board only areas that meet the of actions the Federal government could boundary map as part of the evaluation criteria for national significance and for take to mitigate or abate surface mining report. § 62.4(d)(1) and (2) were changed areas where all procedural requirements that may cause irreparable loss or in the final rule to specify that, as part were met. Therefore, no change was destruction of an NNL were unclear. of the second notification process, needed in the final rule. Some respondents noted that actions to owners are provided a copy of the area Comment (Advisory Board meetings): mitigate or abate surface mining may evaluation report. One respondent suggested the notice of constitute a taking of private property Comments (peer review): Some Advisory Board meetings, specified in and that this would be a contradiction respondents expressed support for the § 62.4(g)(2), in addition to being of § 62.3(b). requirement in § 62.4(c)(2) for three peer published in the Federal Register, be Service Response: The Mining in the reviews of completed evaluation mailed to the owners of PNNL that will National Park System Act (16 U.S.C. reports. One respondent suggested that be considered at these meetings in 1908) applies to mining and mineral this provision be deleted, stating that addition to being published in the extraction activities, not to outside peer reviewers should have no Federal Register. paleontological or archeological role in the NNL designation process. Service Response: This change has excavations. The act does not directly Service Response: The NPS believes been made in the final rule. authorize the Secretary or the Advisory peer reviews can substantially add to Council on Historic Preservation to take Issue 10: Designation Process— the objectivity of the consideration any action to mitigate or abate surface Recommendation to Advisory Board process; therefore, this provision is mining activities that are found to be retained in the final rule. One Comments (national significance): damaging national historic or natural respondent suggested that the One respondent suggested a standard of landmarks. No change was made in the regulations should state that peer impracticality due to a large number of final rule. reviewers must be qualified scientists owners be added to § 62.5 in addition to Comment (NEPA): One respondent and not just preferably be scientists. the standard of impracticality due to suggested that § 62.6(f), which provides This change has been made in physical size of the feature. One for Federal agencies to consider NNL § 62.4(c)(2) of the final rule. respondent suggested that the national existence and location as part of their Issue 9: Designation Process—Advisory significance criteria include objective compliance with NEPA, be deleted. Board standards for area boundaries. Service Response: Federal agencies Service Response: Considerations are required under NEPA to assess the Comments (Advisory Board role and about area ownership are distinct from effects of their actions on the composition): Some respondents the criteria for determining national environment which include potential suggested that the National Park System significance; ownership considerations impacts to exceptional natural areas like Advisory Board not be involved in the are in § 62.4. Area boundaries are national natural landmarks. No change consideration and recommendation of discussed in § 62.4(c)(1). was made in the final rule. PNNL for NNL designation, as required under § 62.4(g)(1), unless the board Issue 11: Designation Process—Other Issue 12: Designation Process— consists of individuals with appropriate Environmental Regulations Designation scientific backgrounds who are qualified Comment (environmental and Comments (county records): Some to make such recommendations. Some economic impact statements): One respondents suggested that existence of respondents noted that the designation respondent suggested that the NPS the designation be recorded as part of process, as described particularly in should be required to complete an the county lands records; other § 62.4(g) and (h), included too many environmental impact statement and an respondents suggested that the review levels, including the Director, economic impact statement for each designation should be recorded on the Assistant Secretary, Advisory Board and area considered for NNL designation. deed. Secretary, to be effective. Service Response: The development Service Response: Because the NPS Service Response: As noted in the of standards for the identification, has no regulatory authority over owners proposed rule, section 1211 of Public nomination, or designation of national regarding the NNL designation, the NPS Law 101–628 (16 U.S.C. 463) requires natural landmarks or national historic cannot mandate that the NNL
VerDate 06-MAY-99 13:16 May 11, 1999 Jkt 183247 PO 00000 Frm 00008 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR3.XXX pfrm07 PsN: 12MYR3 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25715 designation be recorded with property the NPS or its representatives enter onto Comments (effect of monitoring deeds or other lands records; neither is land for monitoring NNL condition. report): One respondent suggested the there anything in these regulations to Service Response: The NPS does not regulations clarify that a probable prevent interested owners from believe that development of a formal consequence of having an NNL listed in recording the fact of the designation in written landowner permission process the Section 8 report is condemnation of such a fashion. Therefore, no change is necessary for monitoring visits. Non- private land for government acquisition. was made in the final rule. written permission (e.g., via telephone) One respondent suggested that the Comment (acceptance of designation is obtained for each visit. Section regulations explain that, as part of the implies contractual arrangement): One 62.6(c)(2) has been changed in the final Section 8 report, the Secretary is also respondent suggested that by accepting rule to specify that landowner required to recommend NNLs listed in a certificate or plaque from the NPS permission is not required for this report for study for addition to the recognizing the NNL designation, as monitoring visits of public lands that National Park System. specified in § 62.4(k)(1), the landowner are otherwise open to the public. Service Response: Condemnation of enters into a contractual arrangement Comment (participation in monitoring private land for government acquisition with the NPS that would somehow visits): One respondent suggested that is not a probable consequence of listing obligate the landowner to protect the owners should be allowed to participate an NNL in the Section 8 report. The fact NNL. in any NNL monitoring visits and that the Secretary is required by 16 Service Response: As suggested above, contribute information to the U.S.C. 1a–5 to provide a report of no contractual or otherwise binding monitoring report. damaged or threatened NNLs to the obligation is involved in a landowner’s Service Response: The NPS Congress and to recommend qualified voluntary consent to having his or her encourages owners to accompany the NNLs for consideration for possible properties considered for NNL individual making the monitoring visit. addition to the National Park System designation. Neither is there any legal Contributions of information by owners does not require subsequent action by obligation on the part of the landowners to the monitoring report are also the Congress or the Department. A to protect NNL after having accepted a welcomed and encouraged. change has been made in § 62.6(b) of the Comments (monitoring report): One certificate or plaque. A change was final rule to clarify this point. respondent suggested that owners be made in § 62.4(k)(1) of the final rule to Comments (third parties): Several notified of who completed monitoring clarify this point. respondents suggested that the reports of their properties and be given regulations eliminate or restrict the Issue 13: Monitoring copies of the reports. One respondent involvement of third party organizations suggested that the NPS give copies of Comment (periodic contacts): One or individuals (non-landowner, non- the entire final Section 8 report, not respondent suggested that the governmental) in the designation and only pertinent portions of the report, to regulations clarify the meaning of NPS monitoring process. Other respondents owners and to other parties who making periodic contacts with NNL suggested that the NPS must ensure the owners by defining the frequency and requested them. Service Response: The respective objectivity of these processes and nature of these contacts. changes were made in § 62.6(c)(2) and develop procedures to avoid possible Service Response: NPS contacts with (d)(2). In addition, as suggested in conflicts of interest where third parties owners are generally informal letters or § 62.6(d)(1), owners of NNLs listed as are suggesting PNNL for consideration, telephone calls to exchange information damaged or threatened in the draft completing or reviewing site about the NNL, provide technical Section 8 Report are provided evaluations, or monitoring the assistance, update ownership name and opportunities to review and comment conditions of designated NNLs. Several address information, and so on. The on the draft report. respondents suggested the NPS not be NPS also conducts periodic visits to an Comments (comment period): Some allowed to enter into any agreements or NNL, with the permission of owner(s), respondents suggested that § 62.6(d)(1) contracts with any other agencies, for example, to inspect site condition or be revised to allow a 60-day or 90-day organizations, groups or individuals as meet with owner(s) in person. The exact comment period, instead of a 30-day specified in § 62.9(a), except when these frequencies of the contacts cannot be comment period, on the draft Section 8 agencies, groups or individuals are specified because they depend on report each year. consenting NNL owners. Other circumstances and events. No change Service Response: Because this report respondents suggested that the reference was made in the final rule. is prepared annually, a 60-day or 90-day in § 62.6(b) to the use of outside Comment (protection guidelines): One review of the draft report is impractical. individuals, agencies or organizations to respondent suggested that the NPS be No change was made in the final rule. monitor the status of selected NNLs be required to give owners guidelines or Comment (transmitting comments to deleted. One respondent suggested that recommendations for protecting NNLs. Congress): One respondent suggested the regulations prohibit owners from Service Response: As suggested above, the Secretary transmit to the Congress developing or having any substantive the NPS does not dictate or direct any comments by owners on the Section contributions of information to the landowner actions with regard to use or 8 report. evaluations of their properties for NNL conservation of an NNL. In some cases, Service Response: The Secretary is designation because of conflict of the NPS may be able to provide required, under the National Park interest. technical advice about the NNL System General Authorities Act (90 Stat. Service Response: In administering resources and their conservation. This is 1940) as amended (16 U.S.C. 1a–5), to the NNL Program, the NPS ensures that done at the request of the landowner transmit this report to the Congress. any agreements or arrangements with and is subject to availability of Transmission of the landowners’ non-NPS organizations or individuals necessary expertise by NPS. comments on the report is not required. do not have possible conflict of interest Comment (permission for monitoring Individuals or organizations are, of implications. Owner consent to such visits): Some respondents suggested that course, free to submit any materials on administrative actions is not § 62.6(c)(2) specify that written this or any other issue to the Congress. appropriate, nor would it be appropriate permission of owners is required before No change was made in the final rule. to exclude owners from the designation
VerDate 06-MAY-99 13:16 May 11, 1999 Jkt 183247 PO 00000 Frm 00009 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR3.XXX pfrm07 PsN: 12MYR3 25716 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations process. No change is made in the final as one that represents a change in less information dissemination on rule. than five percent of the original total ecologically or geologically fragile land area of the NNL. NNLs, the NPS also make a greater effort Issue 14: Boundary Adjustments Comment (boundary delineation): to disseminate educational information Comment (boundary modifications): One respondent suggested the addition on other NNLs and on the NNL One respondent suggested that the of a section to the regulations to provide Program. provision in § 62.7(a) for modifying for completion of previously incomplete Service Response: The NPS considers NNL boundaries allows the NPS to take delineations of boundaries of NNLs. that its general programs and policies over private land and should therefore Service Response: Section 62.7 about education, protection of sensitive be deleted. provides for adjustment of NNL information and culturally significant Service Response: The NPS does not boundaries, including completion of properties are sufficient. Therefore, no ‘‘take over’’ private land by landmark previously incomplete boundary change was made in the final rule. designation. As noted above, the NNL delineations. No change was therefore Comment (procedures handbook): Program provides information on the needed in the final rule. location and status of important natural One respondent suggested that the NPS features. The voluntary cooperation of Issue 15: Removal of Designation make the program procedures private property owners does not Comment (peer review): One handbook, described in the restrict the owner’s use of his or her respondent suggested that, when the SUPPLEMENTARY INFORMATION section to land. No change is made in the final removal of an NNL designation is the proposed rule, available for public rule based on this comment. considered under § 62.8(b), one of the comment. Comment (modification of nationally- three peer reviewers of any evaluation Service Response: The program significant values): One respondent removal process be from the NPS to handbook is an internal NPS questioned the need for a provision, as eliminate bias. administrative manual for which public described in § 62.7(a), to allow for Service Response: When possible, the comment is not required. Copies of the modifications in the description of an NPS uses non-NPS evaluators and peer completed handbook will be available to NNL’s nationally significant values if reviewers to obtain objective, scientific the interested public on request. No scientists had correctly identified all advice for particular areas and types of change was made in the final rule. nationally significant values during the resources. In general, NPS Comment (program documents): One original designation process. representatives do not serve as peer respondent suggested that the NPS be Service Response: This section is reviewers. The NPS reviews all required to maintain and publish an retained in the final rule because new information available, as described in updated list of all NNL Program information may be discovered or § 62.8(b), before determining that an procedural documents. conditions of an NNL may change. area no longer seems to merit Service Response: The already Comment (procedure reference): One designation as an NNL. mentioned program handbook will respondent suggested that § 62.7(b) be Comments (area information reference and describe other program revised to reference § 62.4(b) through retention): Some respondents suggested procedural documents. No change was § 62.4(j) when referring to the expansion that information on areas from which made in the final rule. of the boundaries of an NNL. NNL designations were removed under Comments (lawsuits/penalties): Some Service Response: This change was § 62.8 not be retained by the NPS. respondents suggested that the made in the final rule. Service Response: The NPS maintains regulations include provisions for civil Comments (minor boundary information as required under Federal adjustments): Some respondents lawsuits to recover costs, damages and records management regulations. attorney fees if their properties had been suggested that what constituted a minor Information on areas from which the boundary correction under § 62.8(e) was evaluated or designated without their designations were removed is also consents. Several respondents suggested unclear. One respondent suggested that maintained to provide a documented minor be defined to mean that boundary that the regulations provide for record of the actions, decisions, penalties for NPS employees who corrections involve only properties notifications and other pertinent owned by existing, willing NNL owners. violate the regulations or otherwise information for the NNL Program. No violate landowner rights. Another respondent suggested that change was made in the final rule. § 62.7(e) specify that such minor Service Response: The NPS does not technical corrections only can be made Issue 16: Miscellaneous Comments believe these measures are necessary, or with owner consent. One respondent Comment (American Indians): One within its legal authority, and therefore suggested that the NPS should notify respondent suggested that the types of no change was made in the final rule. owners of any minor technical boundary agencies and organizations with which Other minor editorial changes were corrections under § 62.7(e). NPS may enter into agreements, as made in the final rule. These changes Service Response: Section 62.7(e) was described in § 62.9(a), specifically were to improve readability or clarity. changed in the final rule to include a include Native American tribal Drafting information provision for notifying owners in governments and native villages, advance of any proposed minor corporations and communities. Authors participating in this technical boundary corrections or other Service Response: This change was rulemaking came from the National Park administrative changes in made in the final rule. Service, the Office of the Assistant documentation. Dependent on owner Comments (area information Secretary for Fish and Wildlife and response to this notification, the NPS dissemination): One respondent Parks and the Office of the Solicitor. will determine whether the proposed suggested that the dissemination of Paperwork Reduction Act changes constitute such minor technical information on NNLs associated with corrections or whether the procedures Native American religious or other This rule does not contain collections outlined under § 62.4(d) through (j) traditional uses may reveal such of information requiring approval by the should be followed. In addition, sensitive information. One respondent Office of Management and Budget under § 62.7(e) was changed in the final rule suggested that, although it was the Paperwork Reduction Act of 1995. to define a minor boundary correction acceptable for the NPS to limit The notification letter which NPS sends
VerDate 06-MAY-99 16:16 May 11, 1999 Jkt 183247 PO 00000 Frm 00010 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR3.XXX pfrm03 PsN: 12MYR3 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25717 to landowners requesting their views provided in Section 3(a) and 3(b)(2) of PART 62ÐNATIONAL NATURAL about NNL designation is specifically Executive Order 12988. LANDMARKS PROGRAM exempted from Paperwork Reduction This rule is not a major rule under the considerations according to Congressional review provisions of the Sec. Departmental guidelines (381 DM Small Business Regulatory Enforcement 62.1 Purpose. Chapter 2, Appendix 1) under A Fairness Act (5 U.S.C. 804(2)). 62.2 Definitions. certifications, consents or The NPS has determined that this 62.3 Effects of designation. 62.4 Natural landmark designation and acknowledgments. The status form used rulemaking will not have a significant effect on the quality of the human recognition process. by NPS to monitor condition of 62.5 Natural landmark criteria. designated NNLs for the annual Section environment, health and safety because 62.6 Natural landmark monitoring. 8 report is primarily filled out by NPS it is not expected to: 62.7 Natural landmark modifications. personnel. In some cases, it is (a) Increase public use to the extent of 62.8 Natural landmark designation removal. completed by NNL patrons, i.e. compromising the nature and character 62.9 General provisions. scientists and others who volunteer to of the area or causing physical damage Authority: 16 U.S.C. 1a–5, 461 et seq., 463, monitor the condition of selected NNLs to it; 1908. on behalf of NPS. In other cases, it is (b) Introduce incompatible uses that filled out by area managers of other may compromise the nature and § 62.1 Purpose Federal or State agencies who own characteristics of the area, or cause The procedures in this part set forth NNLs. It is NPS opinion that completion physical damage to it; the processes and criteria for the of the form is not solicited from private (c) Conflict with adjacent ownerships identification, evaluation, designation individual owners of NNLs and or land uses; or and monitoring of national natural therefore not applicable under the (d) Cause a nuisance to adjacent landmarks. Paperwork Reduction Act. owners or occupants. Based on this (a) The National Natural Landmarks determination, this rulemaking is Program focuses attention on areas of Compliance With Other Laws categorically excluded from the exceptional natural value to the nation This rule was reviewed by the Office procedural requirements of the National as a whole rather than to one particular of Management and Budget review Environmental Policy Act (NEPA) by State or locality. The program under Executive Order 12866. The Departmental guidelines in 516 DM 6 recognizes areas preserved by Federal, Department of the Interior has (49 FR 21438). As such, neither an State and local agencies as well as determined that this document will not Environmental Assessment (EA) nor an private organizations and individuals have a significant economic effect on a Environmental Impact Statement (EIS) and encourages the owners of national substantial number of small entities has been prepared. natural landmarks to voluntarily The Department of the Interior has under the Regulatory Flexibility Act (5 observe preservation precepts. reviewed this rule as directed by U.S.C. 601 et seq.) or require the (b) The National Natural Landmarks Executive Order 12630, Governmental preparation of a regulatory analysis. The Program identifies and preserves natural Actions and Interference with effect of the revisions made herein areas that best illustrate the biological Constitutionally Protected Property ensures that owners, including but not and geological character of the United Rights, to determine whether this rule limited to local governments, small States, enhances the scientific and includes policies that imply the taking businesses, and other small educational values of preserved areas, of private properties. The Department organizations, are fully notified in strengthens public appreciation of determined that this rule does not imply advance and have the opportunity to natural history, and fosters a greater the taking of private properties because comment on the proposed National concern for the conservation of the it does not deny economically viable natural landmark designation and that nation’s natural heritage. use of any distinct, legally protected property is not included in a property interest to its owner or to have § 62.2 Definitions. designation where an owner objects to the effect of, or result in, a permanent The following definitions apply to designation. The total estimated or temporary physical occupation, this part: economic effects of this rule on small invasion or deprivation. National National Natural Landmark is an area entities are therefore negligible. natural landmark designation does not designated by the Secretary of the The revisions ensure that all owners change ownership of property and does Interior as being of national significance are fully notified in advance of the not dictate use of designated property. to the United States because it is an agency’s consideration of their The effects of the revisions are the outstanding example(s) of major properties as potential national natural strengthening and clarification of biological and geological features found landmarks, that private properties are notification of owners that properties within the boundaries of the United not entered for purposes of evaluation are being considered, the explicit States or its Territories or on the Outer without owner permission, and that preclusion of entry onto private Continental Shelf. property is not designated where private property for purposes of program area National Registry of Natural property owners have indicated their evaluation without owner permission, Landmarks is the official listing of all objection to the designation in a manner and the preclusion of designations of designated national natural landmarks. specified. areas where the majority of the private National significance describes an The NPS has determined and certifies property owners indicated their area that is one of the best examples of pursuant to the Unfunded Mandates objection as specified. a biological community or geological Reform Act, 2 U.S.C. 1502 et seq., that feature within a natural region of the this rule will not impose a cost of $100 List of Subjects in 36 CFR Part 62 United States, including terrestrial million or more in any given year on Natural resources. communities, landforms, geological local, state or tribal governments or In consideration of the foregoing, 36 features and processes, habitats of private entities. CFR Chapter I is amended as follows: native plant and animal species, or The Department has determined that 1. 36 CFR Part 62 is revised to read fossil evidence of the development of this rule meets the applicable standards as follows: life.
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Natural region is a distinct criteria for national significance in their areas that illustrate those features. physiographic province having similar planning and impact analysis (see During a study, the NPS or any geologic history, structures, and § 62.6(f)), and there may be State or representative of the NPS may enter landforms. The basic physiographic local planning or land use implications. onto land only after receiving written characteristics of a natural region Designation as a national natural permission from the owner(s) of that influence its vegetation, climate, soils, landmark does not require or mandate land, except when the land is publicly and animal life. Examples include the under Federal law any further State or owned land and otherwise open to the Atlantic Coastal Plain, Great Basin, and local planning, zoning or other land-use public. Brooks Range natural regions. action or decision. Owners who agree to (2) Other entities. (i) Any public or Owner means the individual(s), have their lands designated as a national private entity may suggest an area for corporation(s), or partnership(s) holding natural landmark do not give up under study and possible national natural fee simple title to property, or the head Federal law any legal rights and landmark designation. The entities of the public agency or subordinate privileges of ownership or use of the include: employee of the public agency to whom area. The Department does not gain any (A) Federal agency programs that such authority was delegated and who property interests in these lands. conduct inventories in order to identify is responsible for administering publicly (b) Benefits of national natural areas of special interest, for example, owned land. Owner does not include landmark designation include the essential wildlife habitat, research individuals, partnerships, corporations, positive recognition and appreciation of natural areas, and areas of critical or public agencies holding easements or nationally significant resources and the environmental concern; and less than fee interests (including ability of public agencies and private (B) State natural area programs that leaseholds) of any form. A Native individuals and organizations to make systematically and comprehensively American tribe that is the beneficial fee more informed development and classify, identify, locate and assess the simple owner of lands, with the United planning decisions early in regional protective status of the biological and States as trustee, will be considered as planning processes. In addition, some geological features located in a State. owner of private property for the private owners of commercially (ii) If an individual, agency or purposes of this part. Similarly, operated national natural landmarks organization that suggests an area for individual member(s) of a Native that are open to public visitation may national natural landmark consideration American tribe who are beneficial choose to recognize and emphasize the is not the owner of the area, written owner(s) of property, allottee(s) held in national significance of the areas by permission of the owner(s) is required to trust by the United States, will be providing descriptive information to the enter onto the PNNL to gather considered as owner(s) of private public. Under section 170(h) of the information, except when the land is property for the purposes of this part. United States Internal Revenue Code, publicly owned and otherwise open to Potential national natural landmark some owners of national natural the public. means an area that, based on landmarks may be eligible to claim a (3) After receiving the suggestions recommendation or initial comparison charitable contribution deduction on from a natural region study and with other areas in the same natural their Federal income tax for qualified suggestions from other sources, the NPS region, seems to merit further study of interests in their natural landmark determines which PNNL merit further its merits for possible national natural property donated for a qualified study for possible national natural landmark designation. conservation purpose to a qualified landmark designation. This Prejuducial procedural error is one conservation organization. determination is based on comparison that reasonably may be considered to (c) The Secretary will provide an with existing national natural have affected the outcome of the annual report to the Congress on landmarks in the natural region, the designation process. damaged or threatened designated national natural landmark criteria (see Representative refers to any public or national natural landmarks (see § 62.5) and other information. private individual, agency, or § 62.6(b)). The Secretary will also report (b) First Notification. (1) Before a organization that is performing actions to the Advisory Council on Historic potential national natural landmark is related to the identification, evaluation, Preservation any designated national evaluated by scientists as described in designation or monitoring of national natural landmarks that may be paragraph (c) of this section, the NPS natural landmarks on behalf of or in irreparably lost or destroyed by surface notifies the owner(s) in writing, except cooperation with the National Park mining activity (see § 62.6(e)). as specified in paragraph (b)(2) of this Service (NPS), either under a section. contractual agreement or as a volunteer. § 62.4 Natural landmark designation and (i) This notice advises the owner(s) Scientist refers to an individual whose recognition process. that the PNNL is being considered for combination of academic training and (a) Identification. Potential national study for possible national natural professional field experience in the natural landmarks are identified in the landmark designation and provides natural region qualifies him/her to following manner. information on the National Natural identify and comparatively evaluate (1) Natural region studies. The NPS Landmarks Program, including an natural areas at the regional or national conducts inventories of the explanation of the effects of national level. characteristic biological and geological natural landmark designation as features in each natural region to described in § 62.3. § 62.3 Effects of designation. provide a scientific basis for identifying (ii) The notice also provides the (a) Designation of an area by the potential national natural landmarks. owner with available information on the Secretary as a national natural landmark The NPS is responsible for the area and its tentatively identified is not a land withdrawal, does not completion of these studies, which are significance, solicits the owner’s change the ownership of an area, and generally done by qualified scientists comments on the area, including any does not dictate activity. However, under contract. A study provides a information on current or anticipated Federal agencies consider the unique classification and description of land use or activities that may affect the properties of designated national natural biological and geological features in that area’s natural values, integrity, or other landmarks and of areas that meet the natural region and an annotated list of matters of concern, and informs the
VerDate 06-MAY-99 13:16 May 11, 1999 Jkt 183247 PO 00000 Frm 00012 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR3.XXX pfrm07 PsN: 12MYR3 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25719 owner of the source of the suggestion for previous 2 years in order to be the proposed action, of the procedures consideration. considered by the NPS. the NPS follows, and of the effects of (iii) The notice also requests owner (3) Completed evaluation reports are national natural landmark designation permission to enter the property, unless reviewed by no fewer than three peer as described in § 62.3. Notice of the the area is otherwise open to the public, reviewers, who are scientists familiar proposed action is published also in the so the NPS or its representative can with the biological or geological features Federal Register. NPS will notify: conduct an on-site evaluation of the of the area or natural region. These (i) The executive of the local PNNL as described under paragraph (c) reviewers provide the NPS with governmental jurisdiction in which the of this section, and advises the owner of information on the scientific merit and area (PNNL) is located; the procedures the NPS will follow in strength of supportive documentation in (ii) The governor of the State; considering the PNNL for possible the evaluation report. On the basis of (iii) Other appropriate State officials; designation. evaluation report(s) and the findings of (iv) Senators and members of (2) Before a potential national natural the peer reviewers, the NPS makes a Congress who represent the district in landmark having 50 or more owners is determination that: which the area is located; evaluated by scientists as described in (i) The PNNL does or does not appear (v) Native American tribal paragraph (c) of this section, the NPS to qualify for national natural landmark governments and native villages and provides general notice to property designation; or corporations in the region; and owners. This general notice is published (ii) Additional information is required (vi) Other interested authorities, in one or more local newspapers of before a decision can be made about the organizations and individuals as general circulation in the area in which status of the PNNL. deemed appropriate. the potential national natural landmark (4) When a PNNL does not seem to (4) All notified entities, including is located. The notice provides the same qualify for national natural landmark non-owners, have 60 days to provide information listed under paragraph designation, the NPS notifies the comments before NPS decides whether (b)(1) of this section. owner(s) as prescribed in paragraphs the area meets the criteria for national (3) During an on-site evaluation as (b)(1) and (2) of this section. significance. To assist in the evaluation described in paragraph (c) of this (d) Second Notification. (1) When the of a area, comments should, among section, the NPS or any representative of Director determines that an area meets other factors, discuss the area’s features the NPS will not enter onto land the criteria for national significance, the and integrity. Information is also without permission from the owner(s), NPS notifies the owner(s) in writing, welcome on current or anticipated land except when the land is publicly owned except as specified in paragraph (d)(2) use or threats that could effect the area. and otherwise open to the public. The of this section. Any party may request a reasonable NPS may complete evaluations of PNNL (i) The notice references the rules in extension of the comment period when by using other information, including this part, advises the owners of the additional time is required to study and information that was previously procedures the NPS follows and of the comment on a landmark proposal. The gathered by other Federal or State effects of national natural landmark Director may grant these requests if he agencies or gained from other scientific designation as described in § 62.3, or she determines they are in the public studies. The NPS notifies owners if provides the owner(s) with a copy of the interest. All comments received are areas are evaluated from existing evaluation report, and provides the considered in the national natural information not requiring land entry. owner(s) with the opportunity to landmark designation process. (4) The described procedures for comment. The list of owners must be (5) Upon individual or general providing written notification to owners obtained from official land or tax notification, any owner of private and receiving responses from owners records, whichever is most appropriate, property within a PNNL who wishes to about the first notification are the within 90 days before issuing the object to national natural landmark responsibility of the NPS and cannot be second notification. designation must submit a notarized delegated to any representative of the (ii) If in any State the land or tax statement to the Director to certify that NPS. records are not helpful, the NPS can he or she is the sole or partial owner of (c) Evaluation. (1) The NPS uses the seek alternative sources to identify the record and he or she objects to the national natural landmark criteria in owners. designation. These statements will be § 62.5 to evaluate the potential natural (iii) The NPS is responsible for submitted during the 60-day comment landmark. Potential national natural notifying only owners whose names period. Upon receipt of objections to the landmarks are evaluated on a natural appear on the list. designation of a PNNL consisting of region basis; i.e., similar areas that (2) If an area has more than 50 multiple parcels of land, the NPS must represent a particular type of feature owners, the NPS provides a general determine how much of it consists of located in the same natural region are notice to the property owners. NPS will owners who object to designation. If an compared to identify examples that are publish a general notice in one or more owner whose name is not on the most illustrative and have the most local newspapers of general circulation ownership list developed by the NPS intact, undisturbed integrity. in the region in which the area is certifies in a notarized statement that he (2) Evaluations are done by qualified located. A copy of the evaluation report or she is the sole or partial owner of the scientists who are familiar with the is made available on request. In area, NPS will take into account his or natural region and its types of biological addition, the NPS may conduct a public her views about designation. In and geological features. Evaluators make information meeting, if widespread circumstances where a single parcel of a detailed description of the area, local public interest warrants it or if land within a PNNL has more than one including a proposed boundary map, requested by the executive of the local fee simple owner, an objection to and assess its regional standing using governmental jurisdiction in which the designation of that property must be the national natural landmark criteria area is located. submitted by a majority of the owners. (see § 62.5) and any additional (3) In addition, NPS notifies (6) All described procedures for the information provided by the NPS. appropriate authorities, organizations notification of owners and receiving Evaluation reports must have been and individuals. The notices reference responses from owners in the second completed or updated within the these rules and advise the recipient of notification process are the
VerDate 06-MAY-99 13:16 May 11, 1999 Jkt 183247 PO 00000 Frm 00013 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR3.XXX pfrm07 PsN: 12MYR3 25720 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations responsibility of the NPS and cannot be qualifies for national natural landmark deterioration of the natural values on delegated to any representative of the designation. which landmark designation is based. NPS. (2) Notice of Advisory Board meetings (2) If appropriate, NPS may also (e) Significance determination. (1) to review national natural landmark provide without charge a bronze plaque NPS will review all documentation nominations and meeting agendas are for display in or near the national including, but not limited to, evaluation provided at least 60 days in advance of natural landmark. Upon request, and to reports, peer reviews, and received the meeting by publication in the the extent NPS resources permit, the comments. If NPS determines that a Federal Register. The NPS also mails NPS may help arrange and participate in PNNL does not meet the criteria for copies of the notice directly to a presentation ceremony. In accepting a national significance (see § 62.5), the consenting owners of areas that are to be plaque or certificate, owners give up NPS will notify the owner(s) in writing considered at each meeting. Interested none of the rights and privileges of that their land is no longer under parties are encouraged to submit written ownership or use of the landmark and consideration for national natural comments and recommendations that the Department of the Interior does not landmark designation. If PNNL are will be presented to the board. acquire any interest in the designated owned by 50 or more parties, the NPS Interested parties may also attend the property. After a presentation, the will publish a general notice as board meeting and upon request may plaque remains the property of NPS. If described in paragraph (d)(2) of this address the board concerning an area’s the landmark designation is removed in section. In addition, the NPS will notify national significance. accordance with the procedures in in writing officials, individuals and (h) Submission to the Secretary. The § 62.8, NPS may reclaim the plaque. Director submits the recommendation of organizations notified under paragraph § 62.5 Natural landmark criteria. (d)(3) of this section. the Advisory Board and materials that the Director developed to the Secretary (a) Introduction. (1) National (2) When the NPS determines that a for consideration of the nominated area significance describes an area that is one PNNL meets the criteria for national for national natural landmark of the best examples of a biological or significance, the NPS determines designation. geological feature known to be whether any private property owners (i) Designation. The Secretary reviews characteristic of a given natural region. submitted valid written objection to the materials that the Director submitted Such features include terrestrial and designation. and any other documentation and aquatic ecosystems; geologic structures, (f) Areas meeting criteria. When the makes a decision on national natural exposures and landforms that record Director of NPS determines by all landmark designation. Areas that the active geologic processes or portions of available information that a PNNL meets Secretary designates as national natural earth history; and fossil evidence of the criteria for national significance, but landmarks are added to the National biological evolution. Because the some private property owners submitted Registry of Natural Landmarks. general character of natural diversity is written objections to the proposed (j) Third notification. When the regionally distinct and correlated with national natural landmark designation, Secretary designates an area as a broad patterns of physiography, many the NPS maintains all this information national natural landmark, the Secretary types of natural features are entirely about the area and which shall be notifies in writing the landmark inside one of the 33 physiographic available as part of the environmental owner(s) of areas with fewer than 50 provinces of the nation, as defined by analysis for any major federal action for owners. A general notice of designated Fenneman (Physiographic Divisions of purposes of NEPA which impacts the areas with 50 or more owners is the United States, 1928) and modified as NNL or these other lands. Notice of this published in one or more local needed by the NPS. action is provided by the NPS to the newspapers of general circulation in the (2) Because no uniform, nationally owners as specified in paragraphs (d)(1) area. The Secretary also notifies the applicable classification scheme for and (2) of this section and to officials, executive of the local governmental biological communities or geological individuals and organizations notified jurisdiction in which the landmark is features is accepted and used by the under paragraph (d)(3) of this section. If located, Native American tribal majority of organizations involved in some but not all of the property owners governments and native villages and natural-area inventories, a classification within a PNNL object to designation, the corporations in the area, the governor of system for each inventory of a natural NPS will exclude the objecting the State, the congressional members region was developed to identify the properties and proceed with the process who represent the district and State in types of regionally characteristic natural only if enough area remains of non- which the landmark is located, and features sought for representation on the objecting properties to allow sufficient other interested authorities, National Registry of Natural Landmarks. representation of the significant natural organizations and individuals as Most types represent the scale of features. deemed appropriate. The NPS prepares distinct biological communities or (g) National Park System Advisory the notifications and is responsible for individual geological, paleontological, Board. (1) The Director of the NPS their distribution. Notices of new or physiographic features, most of reviews the documentation of each area designations are also published in the which can be mapped at the Earth’s that meets the criteria for national Federal Register. surface at 1:24,000 scale or are traceable significance. When the Director (k) Presentation of plaque and in the subsurface. In some cases, the determines that the requirements of this certificate. (1) After the Secretary NPS may further evaluate only a part were met and that enough non- designates an area as a national natural significant segment of a given natural objecting valid private property owners landmark, the NPS may provide each feature, where the segment is exist to encompass an adequate portion owner who so requests with a certificate biologically or geologically of the nationally significant features, the signed by the Secretary of the Interior representative and where the entire Director submits the information on the and the Director of the NPS at no cost feature is so large as to be impracticable area (PNNL) to the National Park System to the owner(s). This certificate for natural landmark consideration (e.g., Advisory Board. The board reviews the recognizes the owner’s interest in a mountain range). Almost two-thirds of information and recommends whether protecting and managing the area in a all national natural landmarks range or not the land with consenting owners manner that prevents the loss or from about 10 to 5,000 acres, but some
VerDate 06-MAY-99 13:16 May 11, 1999 Jkt 183247 PO 00000 Frm 00014 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR3.XXX pfrm07 PsN: 12MYR3 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25721 are larger or smaller because of the wide (b) Criteria. NPS uses the following (1) Primary criteria. Primary criteria variety of natural features recognized by criteria to evaluate the relative quality of for a specific type of natural feature are the National Natural Landmarks areas as examples of regionally the main basis for selection and are Program. characteristic natural features: described in the following table:
Criterion Description Example
Illustrative character ...... Area exhibits a combination of well-developed components that are Alpine glacier with classic shape, unusual recognized in the appropriate scientific literature as characteristic number of glaciological structures like cre- of a particular type of natural feature. Should be unusually illus- vasses, and well-developed bordering mo- trative, rather than merely statistically representative. raine sequences. Present condition ...... Area has been less disturbed by humans than other areas ...... Large beech maple forest, only a small por- tion of which has been logged.
(2) Secondary criteria. Secondary consideration, if two or more similar criteria. Secondary criteria are described criteria are provided for additional area cannot be ranked using the primary in the following table:
Criterion Description Example
Diversity ...... In addition to its primary natural feature, area contains high quality Composite volcano that also illustrates geo- examples of other biological and/or geological features or proc- thermal phenomena. esses. Rarity ...... In addition to its primary natural feature, area contains rare geologi- Badlands, including strata that contain rare cal or paleontological feature or biological community or provides fossils. high quality habitat for one or more rare, threatened, or endan- gered species. Value for Science and Area contains known or potential information as a result of its asso- Dunes landscape where process of ecological Education. ciation with significant scientific discovery, concept, or exception- succession was noted for first time. ally extensive and long term record of on-site research and there- fore offers unusual opportunities for public interpretation of the nat- ural history of the United States.
§ 62.6 Natural landmark monitoring. consideration as additions to the administrator(s). The NPS may monitor (a) Owner contact. The Field Offices National Park System. No legal mandate landmark condition without entering of the NPS maintain periodic contacts requires that the Congress take further onto lands where required permission with the owners of designated national action about national natural landmarks has not been granted by using other natural landmarks to determine whether listed as damaged or threatened or about existing information, including the landmarks retain the values that areas that are recommended for possible telephone conversations with the qualified them for landmark designation future additions to the National Park owner(s) or manager(s) of the area, and to update administrative records on System. written materials provided by the owner the areas. (4) NPS Regional Offices are or manager, or information previously (b) Section 8 Report. (1) The responsible for monitoring the condition developed by other Federal or State Secretary, through the NPS, prepares an of, and for completing status reports on, agencies or other scientific studies. The annual report to the Congress on all all designated national natural NPS provides owners with copies of designated national natural landmarks landmarks in their regions. In some monitoring reports on their property, with known or anticipated damage or cases, the NPS may arrange with outside which will include the name and threats to one or more of the resources individuals, agencies or organizations to affiliation of the individual(s) who that made them nationally significant. monitor the status of selected national completed the report. This report is mandated by Section 8 of natural landmarks. NPS or its (d) Section 8 report preparation. (1) the National Park System General representative usually monitors national After completion of landmark Authorities Act of 1970, as amended, natural landmark condition and status monitoring, the NPS Regional Offices (16 U.S.C. 1a–5). during a visit. forward their findings and (2) A landmark is included in this (c) Monitoring. (1) The NPS or its recommendations to the NPS report if it has lost or is in imminent representative notifies the owner(s) of a Washington Office. The NPS danger of losing all or part of its natural national natural landmark of his or her Washington Office reviews the Regional character to such a degree that one or pending visit to the area to determine its Office findings and recommendations more of the values that made it status and condition, and informs the and prepares a draft report listing only nationally significant are or will be owner(s) of the purposes of monitoring the national natural landmarks with irreversibly damaged or destroyed. In and its relation to the Secretary’s annual significant known or anticipated assessing the status of a landmark, NPS report on threatened or damaged damage or threats to the integrity of one considers the condition of the landmark landmarks. or more of the resources that made the at the time of designation, including any (2) While monitoring conditions of area nationally significant. changes that have occurred and any designated national natural landmarks, (2) Pertinent portions of this draft threats that could impact it in the neither NPS nor its representative will report, including any executive future. enter onto private property or onto summary, are provided to the owner(s) (3) Section 8 also requires the public lands that are not otherwise open or administrator(s) of national natural Secretary to make recommendations to to the public without first obtaining landmarks listed as is feasible, as well the Congress on qualified areas for permission from the owner(s) or as to other interested authorities,
VerDate 06-MAY-99 13:16 May 11, 1999 Jkt 183247 PO 00000 Frm 00015 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR3.XXX pfrm07 PsN: 12MYR3 25722 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations organizations and individuals. All information about the NNL may have to without a review by the Advisory Board individuals have 30 days to provide be revised. Additional study may reveal or the approval by the Secretary. Minor written comments to the NPS on the that the area has nationally significant technical boundary corrections are draft report. Comments may include values that had not been previously defined as those that involve a change additional information on the condition documented. The NPS determines that in less than five percent of the total area of landmarks or on the nature or landmark modifications are necessary of the national natural landmark. The imminence of reported damage or through administration of the program. NPS notifies owners of proposed minor threats to these landmarks. Owners are In addition, the NPS may receive technical boundary corrections or other also asked to indicate whether they suggestions for landmark modifications administrative changes in would like to receive a copy of the final from other Federal agencies, State documentation, as described in this report, as described in paragraph (d)(3) natural area programs, and other public paragraph (e). Based upon owner of this section. and private organizations or response to this notification, the NPS (3) The NPS reviews all comments on individuals. The NPS determines the determines whether the proposed the draft report and prepares a final validity of these suggestions by applying change is a minor technical correction report, which the Director transmits to the natural landmark criteria or by to landmark documentation that can be the Secretary for submission to the conducting additional study. made administratively or whether the Congress. Upon release of the final (b) Boundary expansion. (1) Three procedures outlined in § 62.4(d) through report, the NPS will provide a copy of justifications exist for enlarging the (j) must be followed. the report to the owner(s) of landmarks boundary of a national natural who are listed in the report and have landmark: better documentation of the § 62.8 Natural landmark designation requested copies and to other interested extent of nationally significant features, removal. authorities, organizations and professional error in the original (a) Criteria for removal. (1) Except as individuals. designation, or additional landowners provided in paragraph (f) of this section, (e) Mining in the Parks Act. If the NPS with nationally significant features on national natural landmark designation is determines that an entire or partial their property desiring the designation. removed from an area: national natural landmark may be (2) If the NPS determines that an (i) When it can be shown that an error irreparably lost or destroyed by surface expansion of the boundary of the in professional judgment was made mining activity, including exploration national natural landmark is such that the site did not meet the for or removal or production of minerals appropriate, it will use the designation criteria for national significance at the or materials, NPS notifies the person process outlined in § 62.4(b) through (j). time of designation; that is conducting the activity and If a boundary is expanded, only the (ii) When the values which originally prepares a report that identifies the owners in the newly considered but as qualified it for designation have been basis for the finding that the activity yet not designated portion of the area lost or destroyed; or may cause irreparable loss or are notified and asked if they object to (iii) When applicable designation destruction. The NPS also notifies the designation. procedures were not followed because owner(s) of the national natural (c) Boundary reduction. Two of prejudicial failure. landmark in writing of its finding. The justifications exist for reducing the (2) Any affected owner of a designated NPS submits to the Advisory Council on boundary of a national natural national natural landmark may initiate Historic Preservation the report and a landmark: Loss of integrity of the the removal by submitting to the request for advice about alternative natural features or professional error in Director a request for removal of measures that may be taken by the the original designation. If the NPS designation, stating the grounds for this United States to mitigate or abate the determines that a reduction in the removal and specifying the error in activity. The authority for this action is national natural landmark boundary is professional judgment, loss of natural contained in Section 9 of the Mining in indicated, the designation removal values or prejudicial procedural error. A the Parks Act of 1976 (16 U.S.C. 1908). process outlined in § 62.8 is used. prejudicial procedural error is one that (f) National Environmental Policy Act. (d) Change in description of values. If reasonably may be considered to have Federal agencies should consider the the NPS determines that a change in the affected the outcome of the designation existence and location of designated description of the national natural process. national natural landmarks, and of areas landmark’s nationally significant values (3) Within 60 days of receiving a found to meet the criteria for national is warranted, the NPS prepares the removal request, the NPS notifies the significance, in assessing the effects of recommended changes and the Director party submitting the request of whether their activities on the environment submits the changes and all supportive the NPS considers the documentation under section 102(2)(c) of the National documentation to the National Park sufficient to consider removal of the Environmental Policy Act (42 U.S.C. System Advisory Board. The Advisory natural landmark designation. 4321). The NPS is responsible for Board reviews the information (b) Review of removal information. providing requested information about submitted by the Director and makes The NPS reviews the information the National Natural Landmarks recommendations to the Secretary. The outlining the grounds for removal. Program for these assessments. Secretary reviews the supportive When necessary, an on-site evaluation documentation and the of the area may be made, as outlined in § 62.7 Natural landmark modifications. recommendations of the board, and may § 62.4(c). Based on all available (a) Determination of need for approve changes in the description of a information, the NPS determines modifications. After designation, the landmark’s nationally significant values. whether the area no longer merits modification of the boundaries of a (e) Minor technical corrections. Minor designation as a national natural natural landmark, and/or revision of technical corrections to a national landmark. information about it, may be natural landmark boundary and other (c) Notifications. When NPS has appropriate. For example, because of administrative changes in landmark determined that area no longer merits new information or changes in the documentation not covered under designation as a national natural condition of an NNL, the boundary may paragraphs (a) through (d) of this section landmark, the NPS notifies the owner(s) have to be reduced or expanded or may be approved by the Director and other interested parties as specified
VerDate 06-MAY-99 13:16 May 11, 1999 Jkt 183247 PO 00000 Frm 00016 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR3.XXX pfrm07 PsN: 12MYR3 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25723 in § 62.4(d)(1)–(3). Notice of the removal in the Federal Register. The other types of agreements with other proposed removal is also published in NPS may reclaim the natural landmark Federal agencies, States, counties, local the Federal Register. The notified plaque when a landmark is removed communities, private organizations, individuals may comment within 60 from the National Registry of Natural owners, Native American tribal days of the date of the notice before a Landmarks. governments, or other interested recommendation for removal is (f) Previously designated landmarks. individuals or groups to assist in submitted to the Secretary. All (1) NPS will notify owners of national administering the National Natural comments received will be considered natural landmarks designated before the Landmarks Program. The agreements in the review and in the decision to effective date of these regulations to give may include but are not limited to remove the national natural landmark them an opportunity within 90 days of provisions about identification, designation. the notice to request the removal of a evaluation, monitoring or protecting (d) Removal from the registry. (1) The national natural landmark designation national natural landmarks. Director reviews the information about from their property by writing to the (b) Information dissemination. The a recommended removal from the Director. If owners do not respond NPS may conduct educational and Registry and determines whether the within 90 days of the notification, the scientific activities to disseminate procedural requirements in this section national natural landmark designations information on national natural have been met. If the Director confirms of their properties will be retained. landmarks, the National Natural the findings, he or she submits a (2) When only some owners of a Landmarks Program, and the benefits recommendation for removal to the national natural landmark in multiple derived from systematic surveys of National Park System Advisory Board. ownership request the removal of a significant natural features to the The Advisory Board reviews the national natural landmark designation general public and to interested local, submitted information and recommends from their portions, the NPS determines State and Federal agencies and private the removal from or retention of the area whether, after removal of these portions, groups. Dissemination of information on in the registry. a sufficient acreage of the national ecologically or geologically fragile or (2) The recommendations of the natural landmark remains to sensitive areas may be restricted when Advisory Board and the Director are demonstrate the original nationally release of the information may endanger submitted by the Director to the significant features without undue or harm the sensitive resources. Secretary for his or her consideration. If compromise. If so, the boundaries of the (c) Procedural requirements. Any the Secretary concurs, he or she directs national natural landmark are adjusted individual, agency, or organization the removal of the landmark from the to remove the properties of owners who acting as a representative of the NPS in National Registry of Natural Landmarks. object to the designation. If not, the the identification, evaluation, Any area from which designation is entire national natural landmark monitoring or protection of national withdrawn solely because of procedural designation is removed and the area is natural landmarks is required to follow error as described in paragraph (a)(1)(iii) removed from the National Registry of this part. of this section continues to meet the Natural Landmarks. (d) Additional program information. criteria for national significance. (3) Any removals of existing national Further guidance on the operation of the (e) Notification of removal from the natural landmark designations and registry. When the Secretary removes a National Natural Landmarks Program, as related recommended boundary based on this part, may be found in landmark from the National Registry of adjustments, must be presented by the Natural Landmarks, the Secretary will other program documents that are Director to the National Park System available from the NPS. notify the national natural landmark Advisory Board for review before being (e) Administrative recourse. Any owner(s), the executive of the local presented to the Secretary who formally person has the right to insist that NPS government jurisdiction in which the removes a national natural landmark take into account all the provisions in area is located, Native American tribal from the national registry or approves this part for national natural landmark governments and native villages and changes in the national natural designation or removal. corporations in the area, the governor of landmark boundary. Areas from which the State, Congressional members who the designation has been removed may Note: This document was received at the represent the Congressional District and be reconsidered for designation under Office of the Federal Register on April 14, State in which the area is located, and these regulations if ownership or other 1999. Dated: June 10, 1998. other interested authorities, circumstances change. organizations, and individuals, as William Leary, outlined in § 62.4(d)(1), (2) and (3). The § 62.9 General provisions. Acting Assistant Secretary for Fish and NPS is responsible for preparing and (a) Agreements. The NPS may enter Wildlife and Parks. distributing the written notices. The into contracts, memoranda of [FR Doc. 99–9762 Filed 5–11–99; 8:45 am] NPS periodically publishes notice(s) of agreement, cooperative agreements, or BILLING CODE 4310±70±P
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DEPARTMENT OF HOUSING AND Lender Activities and Program The most significant changes made to URBAN DEVELOPMENT Compliance, Office of Housing, Room Section 214 by the 1996 Immigration B133, Department of Housing and Urban Act, and consequently to HUD’s Section 24 CFR Part 5 Development, 451 Seventh Street, SW, 214 regulations by the November 29, Washington, DC, 20410, telephone (202) 1996 interim rule, are as follows: [Docket No. FR±4154±F±03] 708–1515. 1. HUD’s interim noncitizens RIN 2501±AC36 Persons with hearing or speech regulations provide that responsible impairments may access the above entities may not make assistance Revised Restrictions on Assistance to telephone numbers via TTY by calling available to a family applying for Noncitizens the Federal Information Relay Service at assistance until at least the eligibility of AGENCY: Office of the Secretary, HUD. 1–800–877–8339. With the exception of one family member has been the ‘‘800’’ number, none of the foregoing established, and assistance must be ACTION: Final rule. telephone numbers are toll-free. prorated based on the number of SUMMARY: This final rule updates HUD’s SUPPLEMENTARY INFORMATION: individuals in the family for whom noncitizens regulations to incorporate eligibility has been affirmatively the amendments made to section 214 of I. HUD’s Implementation of Section 214 established. the Housing and Community of the Housing and Community 2. The interim regulations require that Development Act of 1980 by section 592 Development Act of 1980 continued financial assistance be of the Quality Housing and Work On March 20, 1995 (60 FR 14816), provided to an eligible mixed family Responsibility Act of 1998 (the ‘‘1998 HUD issued its final rule implementing after November 29, 1996 (the effective Act’’). Specifically, section 592 of the Section 214 of the Housing and date of the interim rule) be prorated 1998 Act provides that PHAs, Community Development Act of 1980 based on the percentage of family notwithstanding the requirements of (42 U.S.C. 1436a) (‘‘Section 214’’) and members that are eligible for assistance. Section 214, may elect not to that rule became effective on June 19, An eligible mixed family is a family affirmatively establish and verify 1995. Section 214 prohibits HUD from containing members with eligible eligibility before providing financial making certain financial assistance immigration status, as well as members assistance to an individual or family. available to persons other than United without such status, and that meets the Before this amendment, statutory States citizens, nationals, or specified criteria for eligibility for continued authority allowed PHAs to opt-out of categories of eligible noncitizens. assistance as described in Section 214. compliance with the Section 214 HUD’s March 20, 1995 final rule 3. The interim regulations require that immigration verification requirements promulgated virtually identical HUD suspend financial assistance to a in their entirety. This final rule also ‘‘noncitizens’’ regulations for the family upon determining that the family makes final a November 29, 1996 various HUD programs covered by has knowingly permitted an ineligible interim rule and takes into Section 214. On March 27, 1996 (61 FR individual to reside on a permanent consideration the public comments 13614), HUD published a final rule basis in the family’s unit. The submitted on the interim rule. eliminating the repetitiveness of these suspension shall be for a period of at EFFECTIVE DATE: June 11, 1999. duplicative regulations by consolidating least 24 months. This provision does not FOR FURTHER INFORMATION CONTACT: For the noncitizens requirements in a new apply if the ineligible individual has the covered programs, the following subpart E to 24 CFR part 5. HUD already been considered in calculating persons should be contacted: established part 5 (entitled ‘‘General any proration of assistance for the 1. For the Public Housing, Section 8 HUD Program Requirements; Waivers’’) family. Rental Certificate, Rental Voucher and to describe those requirements which 4. The interim regulations allow Moderate Rehabilitation (except Single are applicable to one or more program responsible entities administering Room Occupancy-‘‘SRO’’) programs: regulations. financial assistance under a Section 214 covered program to require that Patricia Arnaudo, Office of Public and II. The November 29, 1996 Interim Rule Indian Housing, Room 4222, individuals who declare themselves to Department of Housing and Urban On November 29, 1996 (61 FR 60535), be U.S. citizens verify the declaration Development, 451 Seventh Street, SW, HUD published an interim rule through appropriate documentation Washington, DC 20410, telephone (202) amending its noncitizens regulations to (e.g., United States passport, resident 619–8201; incorporate the amendments made to alien card, registration card, social 2. For the Section 8 Moderate Section 214 by the Use of Assisted security card, or other appropriate Rehabilitation SRO program: John Housing by Aliens Act of 1996 (title V, documentation). Before this Garrity, Office of Community Planning Subtitle E of the Illegal Immigration amendment, only individuals who were and Development, Room 7262, Reform and Immigrant Responsibility not U.S. citizens or nationals were Department of Housing and Urban Act of 1996, Public Law 104–208, required to present documentation of Development, 451 Seventh Street, SW, approved September 30, 1996; 110 Stat. their eligible immigration status. Washington, DC 20410, telephone (202) 3009–546) (the ‘‘1996 Immigration 5. The November 29, 1998 interim 708–4300; Act’’). Section 577 of the 1996 rule revised the maximum period for 3. For the other Section 8 programs, Immigration Act directed that HUD’s deferral of termination of assistance the Section 236 programs, and Housing implementing regulations ‘‘be issued in provided after November 29, 1996 from Development Grants and Rent the form of an interim final rule, which an aggregate of 3 years to an aggregate Supplement: Helene DeVous, Office of shall take effect upon issuance.’’ of 18 months. The 18-month maximum Housing, Room 6146, Department of Accordingly, the amendments made by deferral period does not apply to Housing and Urban Development, 451 the November 29, 1996 interim rule refugees under section 207 of the Seventh Street, SW, Washington, DC were effective upon publication, but Immigration and Nationality Act or to 20410, telephone (202) 708–2866. also provided members of the public individuals seeking asylum under 4. For the Section 235 homeownership with a 60-day period to submit their section 208 of that Act. The maximum program: Phillip Murray, Office of comments on the interim rule. deferral period for deferrals granted
VerDate 06-MAY-99 15:12 May 11, 1999 Jkt 183247 PO 00000 Frm 00002 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR4.XXX pfrm03 PsN: 12MYR4 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25727 prior to November 29, 1996 continues to effective upon enactment (October 21, rule, which implemented this statutory be 3 years. 1998). provision, inadvertently failed to refer 6. The interim regulations provide On February 18, 1999 (64 FR 8192), to U.S. nationals. This final rule makes that an individual has a maximum HUD published a Notice of Initial the necessary correction to § 5.508. period of 30-days, starting from the date Guidance in the Federal Register. The This final rule does not implement of receipt of the notice of denial or notice advises the public of those the provisions of the Personal termination of assistance, to request a provisions of the 1998 Act that are Responsibility and Work Opportunity fair hearing. HUD believes that due effective immediately and of action that Reconciliation Act of 1996 (Public Law process requires that assistance already may or should be taken immediately by 104–193, approved August 22, 1996; being provided to a tenant may not be affected public and assisted housing 110 Stat. 2105) which concern delayed, denied, reduced or terminated providers. The February 18, 1999 notice immigration. The changes required by until completion of the fair hearing. advises the public that section 592 of that Act will be the subject of future 7. The interim regulations provide the 1998 Act removed the option of rulemaking. that a Public Housing Agency (PHA) PHAs to elect not to comply with Readers should note that the may elect not to comply with the Section 214. Further, the notice regulatory text of this final rule is requirements of 24 CFR part 5, subpart provides that in the event a PHA elected identical to that of the November 29, E. This amendment was based on the to ‘‘opt-out’’ of compliance with Section 1996 interim rule, with the exception of language of subsection 214(h)(2), which 214, the PHA may, but is not required the changes implementing section 592 was added by section 575 of the 1996 to, immediately commence verification of 1998 Act and the changes to § 5.508. of eligibility of families for whom Immigration Act. Subsection 214(h)(2) V. Discussion of Public Comments on eligibility status under Section 214 has provided that ‘‘[a] Public Housing the November 29, 1996 Interim Rule Agency . . . may elect not to comply not yet been undertaken. A PHA must, however, verify eligibility status in The public comment period on the with this section.’’ The use of the word accordance with the requirements of November 29, 1996 interim rule closed ‘‘section’’ (as opposed to ‘‘subsection’’) Section 214 and HUD’s implementing on January 28, 1997. HUD received in this provision, in a strict statutory regulations at 24 CFR part 5, subpart E, twenty-two comments, including construction, referred to Section 214 in no later than the date of the family’s comments from nonprofit organizations, its entirety. annual reexamination. PHAs, and PHA interest organizations. III. Section 592 of the Quality Housing This section of the preamble presents a IV. This Final Rule and Work Responsibility Act of 1998 summary of the significant issues raised This rule makes final the amendments by the public commenters on the On October 21, 1998, President in the November 29, 1996 interim rule, November 29, 1996 interim rule, and Clinton signed into law HUD’s fiscal and takes into consideration the public HUD’s responses to these comments. year (FY) 1999 Appropriations Act, comments submitted on the interim which includes the Quality Housing and rule. After careful consideration of all A. Comments on the Statutory PHA Work Responsibility Act of 1998 (title V the comments received on the ‘‘Opt Out’’ Provision (Section 5.501) of the FY 1999 HUD Appropriations November 29, 1996 interim rule, HUD Many of the comments received Act; Public Law 105–276; 112 Stat. has made one change as a result of regarding the PHA ‘‘opt-out’’ provision 2461) (the ‘‘1998 Act’’). The 1998 Act public comment. Specifically, HUD has were submitted before publication of the constitutes a substantial overhaul of revised the list of documentation that November 29, 1996 interim rule. The HUD’s public housing and Section 8 may constitute acceptable evidence of vast majority of these comments urged assistance programs. The 1998 Act U.S. citizenship or U.S. nationality (see that HUD interpret section 575 of the enacts many of the reforms originally discussion of public comment captioned 1996 Immigration Act to permit PHAs to proposed in Secretary Andrew Cuomo’s ‘‘Rule Should Specify Acceptable opt-out of compliance with Section 214 HUD 2020 Management Reform Plan, Evidence of Citizenship’’ in section V.B in its entirety. As noted above, the HUD’s public housing bill and of this preamble). recommended interpretation of section Congressional bills that are directed at This final rule updates HUD’s 575 was in fact the position adopted by revitalizing and improving HUD’s noncitizens regulations to incorporate HUD in the November 29, 1996 interim public housing and Section 8 tenant- the amendments made by section 592 of rule and this interpretation was based based programs. the 1998 Act. Specifically, the final rule on the statutory language itself. Section 592 of the 1998 Act (entitled removes § 5.501 (which granted PHAs Many of these commenters noted that ‘‘Use of Assisted Housing by Aliens’’) the ability to opt-out of compliance with in some cities, such as New York City, removed the option of PHAs to elect not Section 214) and revises § 5.512 most ineligible noncitizens are part of to comply with Section 214. In its place, (entitled ‘‘Verification of eligible families that include citizens, nationals, the 1998 Act provides that PHAs, immigration status’’) to state that PHAs or other eligible persons, and are notwithstanding the requirements of may elect to provide financial assistance ‘‘deeply woven into the fabric of Section 214, may elect not to to an individual or family before everyday life.’’ The commenters wrote affirmatively establish and verify verifying the eligibility of the individual that it would be a great hardship to such eligibility before providing financial or one family member. families to penalize these ineligible assistance to an individual or family (as This final rule also makes a correction persons. Other commenters wrote that discussed above, Section 214, and to § 5.508 of the November 29, 1996 the recommended interpretation of the HUD’s noncitizens regulations, provide interim rule. The 1996 Immigration Act opt-out provision would further HUD’s that no individual or family applying for permits responsible entities to verify the policy of ‘‘vest[ing] in local public financial assistance may receive such eligibility of individuals who declare housing agencies the maximum amount financial assistance prior to the themselves to be U.S. citizens or of responsibility in the administration of affirmative establishment and nationals. Although the preamble to the their housing programs.’’ verification of eligibility of at least the November 29, 1996 interim rule HUD Response. As noted above, individual or one family member). correctly referred to both U.S. citizens section 592 of the 1998 Act amended Section 592 of the 1998 Act was and nationals, § 5.508 of the interim the scope of the PHA opt-out provision.
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This final rule updates 24 CFR part 5, submit their documentation of eligible HUD Response. The commenters are subpart E to incorporate the immigration status for verification by correct that neither a resident alien card amendments made by section 592 of the the Immigration and Naturalization nor a Social Security Card is evidence 1998 Act. Specifically, the final rule Service (INS). Before the amendments of U.S. citizenship or U.S. nationality. removes § 5.501 (entitled ‘‘PHA election made by the 1996 Immigration Act, Therefore, HUD has removed the whether to comply with this subpart’’), Section 214 limited this more lenient references to these documents, as well which allowed PHAs to opt-out of treatment to senior noncitizens as the reference to a ‘‘registration card’’, compliance with the Section 214 receiving assistance on June 19, 1995 from § 5.508(b)(1). If HUD determines requirements. The final rule also (the effective date of HUD’s original that additional examples are necessary, amends § 5.512 (entitled ‘‘Verification of March 20, 1995 noncitizens rule). The HUD will more appropriately provide eligible immigration status’’) to state November 29, 1996 interim rule them through notice, handbook, or other that PHAs may elect to provide financial expanded the exemption to include non-regulatory guidance. assistance to an individual or family senior noncitizens receiving assistance C. Comments on Verification of Eligible before verifying the eligibility of the on September 30, 1996 (the date of Status: Timing of Procedure and individual or one family member. enactment of the 1996 Immigration Act) Proration of Assistance (Section 5.512) or applying for assistance on or after B. Comments on the Submission of that date. Two commenters objected to Comment: Verification of All Evidence of Eligible Status (Section this amendment, and wrote that the Household Members Should be 5.508) higher standard of documentation Required Before Admission. HUD’s Comment: Nondiscrimination should continue to be required of senior noncitizens regulations provide that Requirements Should be Codified. Two noncitizens who apply after September responsible entities may not make commenters suggested that HUD amend 30, 1996. assistance available to a family applying the interim rule to explicitly provide HUD Response. This regulatory for assistance until at least the eligibility that an entity administering a program amendment merely tracks the revision of one family member has been covered by Section 214 may not request made to section 214(d)(4) by the 1996 established, and assistance must be verification of citizenship based on race, Immigration Act. Accordingly, HUD prorated based on the number of national origin, or personal does not have the discretion to modify individuals in the family for whom characteristics, such as accent, language this provision in the manner suggested eligibility has been affirmatively spoken, or familial association with a by the commenters. established. noncitizen. Comment: Rule Should Specify Several commenters indicated that HUD Response. As § 5.524 makes Acceptable Evidence of Citizenship or proration of rent for newly admitted clear, all regulatory procedures in the Nationality. The 1996 Immigration Act families due to an inability to complete implementation of Section 214 must be allows responsible entities the verification of eligibility of all administered in accordance with all administering financial assistance under family members before admission is a applicable nondiscrimination and equal a Section 214 covered program to problem, both to the applicant and to opportunity requirements, including, require that individuals who declare the housing provider. They wrote that but not limited to, title VI of the Civil themselves to be U.S. citizens or families who have not yet moved in will Rights Act of 1964 (42 U.S.C. 2000d– nationals to verify the declaration choose not to pay a prorated rent. If 2000d–5) and the implementing through appropriate documentation. families are admitted with full subsidy regulations in 24 CFR part 1, section 504 Before this amendment, only after verification of eligibility of only of the Rehabilitation Act of 1973 (29 individuals who were not U.S. citizens one family member, the family and U.S.C. 794) and the implementing or nationals were required to present housing provider will both suffer losses regulations in 24 CFR part 8, the Fair documentation of their eligible if proration becomes required, since it is Housing Act (42 U.S.C. 42 U.S.C. 3601– immigration status. unlikely that the family will be able to 3619) and the implementing regulations Three commenters recommended that pay the higher rent and eviction will in 24 CFR part 100. Further, section VI HUD provide greater specificity follow. of this preamble reminds the public that regarding what documentation Three commenters suggested that this the Section 214 prohibitions on constitutes acceptable evidence of perceived difficulty might be resolved assistance to noncitizens must be citizenship and nationality. One of the by requiring verification of all implemented in the uniform manner commenters noted that two of the household members before admission. prescribed, without regard to race, documents listed as examples in § 5.508 The commenters wrote that this would national origin, or personal (a resident alien card and a Social not constitute an undue delay in the characteristics (e.g., accent language Security Card) do not constitute provision of assistance. According to spoken, or familial association with a adequate evidence of citizenship or two of these commenters, housing noncitizen). The individual regulations nationality. The commenter wrote that providers usually receive verification for the HUD programs subject to Section several of the other listed examples, within one to two weeks after 214 specify the fair housing and civil such as a ‘‘registration card’’ or ‘‘other submission of the appropriate rights requirements applicable to each appropriate documentation,’’ were too documentation. The commenters noted program. vague. One commenter suggested that that the regulations grant individuals Comment: Senior Noncitizens Should acceptable proof of citizenship should and families up to 30 days to submit the be Subject to Stricter Verification include a signed declaration of required documentation—a longer time Procedures. Section 214 provides that citizenship accompanied by proof that a period than what the commenters’ certain senior noncitizens (those 62 timely request for supporting experience indicates it takes to complete years of age or older) need only submit documentation has been made. the entire verification process. a signed declaration of eligible According to the commenter, this would HUD Response. Subsection immigration status and a proof of age ease the situation encountered by 214(d)(4)(B)(ii), as amended by the 1996 document for purposes of verifying their applicants who have difficulty obtaining Immigration Act, prohibits the delay, eligibility to receive assistance. All original birth certificates from distant denial, reduction, or termination of other noncitizens, however, must jurisdictions. assistance to an applicant or tenant
VerDate 06-MAY-99 15:12 May 11, 1999 Jkt 183247 PO 00000 Frm 00004 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR4.XXX pfrm03 PsN: 12MYR4 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25729 pending the completion of the express uncertainty regarding establish conditions for imposing a verification process. Assistance to § 5.514(c)(1)(iii), which provides that termination period longer than the newly admitted families may not be assistance to an applicant shall be statutory minimum 24 month sanction. prorated based on the inability of the denied, and a tenant’s assistance shall Subsection 214(d)(6), and HUD’s responsible entity to complete be terminated, if— implementing regulation at verification for all family members. (iii) The responsible entity determines that § 5.514(c)(1)(iii), provides that HUD The commenters are correct in noting a family member has knowingly permitted shall terminate assistance for a period of that assistance may need to be prorated another individual who is not eligible for ‘‘not less than 24 months.’’ if the verification process determines assistance to reside (on a permanent basis) in HUD Response. At this time, HUD is that one or more family members is not the public or assisted housing unit of the not amending 24 CFR part 5, subpart E eligible. HUD acknowledges that family member. Such termination shall be for to incorporate the recommendations families may be unable to pay the higher a period of not less than 24 months * ** made by the commenter. The rent resulting from proration. Several commenters asked for greater establishment of regulatory criteria for Nevertheless, the requirement that clarity regarding what constitutes the imposition of termination periods assistance be prorated based on the ‘‘knowingly’’ permitting an ineligible greater than 24 months would constitute number of individuals in the family for person to reside in an assisted unit on a substantive revision of HUD’s whom eligibility has been affirmatively a permanent basis. One of the noncitizens regulations. Accordingly, established is statutorily mandated by commenters suggested that a deliberate HUD would implement such changes the 1996 Immigration Act. intention to deceive the housing only after providing the public with Comment: Rent Should be provider (i.e., knowledge about the notice and the opportunity to comment. Retroactively Reduced Following ineligible status and intentionally HUD would not include the revisions Verification of Status for All Family permitting permanent residence in the suggested by the commenter in a final Members. Another commenter suggested unit), should be the basis for the rule issued for effect. Should HUD that, where assistance was initially imposition of sanctions. decide to provide for termination prorated because the status of all the HUD Response. HUD believes that periods of greater than 24 months, it family members had not been ‘‘knowingly’’ has the everyday meaning will issue a future rulemaking established, the rent should be reduced normally associated with the term. accompanied by a request for public retroactively to the date of admission Specifically, the word ‘‘knowingly,’’ as comment. following verification of the eligible used in this provision of the 1996 Comment: Time Period for Requesting status of all the family members. Immigration Act, means that a tenant Hearing Should Conform to Hearing HUD Response. As noted in the possesses knowledge that an ineligible Procedures Established by Responsible response the preceding comment, individual is residing (on a permanent Entity. One commenter recommended responsible entities may not prorate basis) in the unit. that the time period for requesting a assistance to a family before the Comment: What Constitutes hearing on a negative determination be completion of the verification process. ‘‘Termination’’ of Assistance Under consistent with the amount of time Section 5.514(c)(1)(iii)? As noted above, established by the responsible entity for D. Comments on Delay, Denial, HUD’s noncitizens regulations at 24 all terminations of assistance (such as Reduction, or Termination of Assistance CFR 5.514(c)(1)(iii) provide that, if a 10 days). (Section 5.514) family member knowingly permits an HUD Response. The regulatory Comment: Verification Should be ineligible individual to reside in an language of § 5.514 conforms to the Completed Before Admission. One assisted housing unit, the family language of the 1996 Immigration Act, commenter praised HUD’s member’s assistance must be which provides that the Secretary of interpretation that assistance to a tenant ‘‘terminated’’ for a period of not less HUD shall provide a ‘‘reasonable period, not be delayed, denied, reduced, or than 24 months. Several commenters not to exceed 30 days’’ to appeal an INS terminated until the completion of an questioned whether the effect of this eligibility determination. At this time, informal hearing when a timely request termination is that the formerly assisted HUD is not revising its noncitizens for such a hearing is made. This family is required to reapply for regulations to permit the establishment contrasted with the opinion of another assistance after the expiration of the of less than a 30-day period for commenter, who stated that, although it prescribed period (or immediately upon requesting an informal hearing. Such a was the intent of the Congress to not termination, with a required wait of the change would constitute a substantive delay assistance to current program prescribed period), or whether revision to the November 29, 1996 participants, no such authority exists assistance is to be automatically interim rule, and could not be regarding applicants. Accordingly, this reinstated after the prescribed period. implemented through a rule issued for commenter wrote all aspects of HUD Response. Termination of effect. In the event HUD determines that eligibility need to be verified before a assistance under § 5.514(c)(1)(iii) would responsible entities should be provided family is admitted. be no different than termination of with the flexibility to modify the 30-day HUD Response. HUD’s noncitizens assistance for any other reason under period for requesting a hearing, it will regulations track the statutory language the individual program requirements for implement the change using notice and of the 1996 Immigration Act. each of the HUD programs covered by comment rulemaking procedures. Specifically, subsection 214(d)(4)(B)(ii), Section 214. For example, recipients of as amended by the 1996 Immigration Section 8 tenant-based assistance who E. Comments on Deferral of Termination Act, prohibits the delay, denial, violate § 5.514(c)(1)(iii) are subject to of Assistance for Ineligible Families reduction, or termination of assistance the termination procedures described in (Section 5.518) to an applicant or tenant pending the 24 CFR part 982, subpart L (‘‘Family Comment: Requested Clarifications completion of the verification process. Obligations; Denial and Termination of Regarding Eligibility and Timing for Comment: What Constitutes Assistance’’). Temporary Deferral of Termination of ‘‘Knowingly’’ Permitting an Ineligible Comment: Maximum Period or Assistance. One commenter asked under Person to Reside in an Assisted Housing Termination Should Exceed 24 Months. what circumstances anyone would now Unit? Several commenters wrote to One commenter wrote that HUD should receive a deferral of termination of
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Another question since these individuals have eligible 605(b)) has reviewed this final rule raised was whether a family that chose status under the statute and their before publication and by approving it proration of assistance before November presence in a family would not be cause certifies that this rule will not have a 29, 1996 and that chooses deferral of for terminating assistance or deferring significant economic impact on a termination after that date is limited to termination any more than the presence substantial number of small entities. As a deferral of 18 months. of a citizen would be. explained in the preamble to the November 29, 1996 interim rule, the HUD Response. HUD believes that it HUD Response. The language of implementation of HUD’s noncitizen would be the exceptional case in which § 5.518(b)(3) exempting certain requirements have only a minimal a family would be eligible for deferral of categories of noncitizens from the 18- impact on small housing project owners, termination of assistance in 1999. As the month maximum deferral period tracks commenter notes the statute provides small mortgagees, and small housing the statutory language of the 1996 deferral of termination of assistance for agencies. The amendments made final Immigration Act. The language serves to families living and receiving assistance by this rule do not alter that previous remind responsible entities of the in Section 214 covered properties on or determination. This final rule does not statutory exemption. Accordingly, the before June 19, 1995. It is conceivable require the creation of new procedures language has been retained. that the verification process or appeals or impose significant additional costs on process may have significantly delayed VI. Nondiscrimination in the responsible entities. Rather, the a final eligibility determination such Implementation of Section 214 requirements of the final rule can be that a family receiving assistance on or satisfied through the use of existing before June 19, 1995 would now find HUD reiterates the statement made in procedures. For example, the final rule themselves faced with termination of the March 20, 1995 final rule and the prohibits responsible entities from assistance (due to lack of eligibility), November 29, 1996 interim rule that all making assistance available to a and would therefore be eligible for regulatory procedures in noncitizen until the necessary deferral of termination of assistance. implementation of Section 214 must be documentation establishing eligible Again, however, HUD believes that this administered in the uniform manner immigration status is verified. This would be the exception. prescribed without regard to race, requirement can be fulfilled by utilizing With respect to a family that is national origin, or personal the existing verification procedures. eligible for deferral of termination and characteristics (e.g., accent, language Likewise, current methods may be used chooses deferral of termination of spoken, or familial association with a to prorate the assistance provided to an assistance after November 29, 1996, the noncitizen). eligible mixed family receiving period of deferral of termination is VII. Findings and Certifications continued assistance. limited to 18 months. Executive Order 12866, Regulatory Environmental Impact F. Comments on Continued Full Planning and Review Assistance to Ineligible Family Members A Finding of No Significant Impact (Section 5.518) The Office of Management and Budget with respect to the environment was Comment: Rule Should be Clarified (OMB) reviewed this final rule under made at the interim rule stage in Regarding Continued Assistance Executive Order 12866, Regulatory accordance with HUD regulations in 24 Provided Before November 29, 1996. Planning and Review. OMB determined CFR part 50 that implement section One commenter wrote that it was not that this interim rule is a ‘‘significant 102(2)(C) of the National Environmental completely clear that ‘‘continued regulatory action,’’ as defined in section Policy Act of 1969 (42 U.S.C. 4223). assistance,’’ for purposes of families 3(f) of the Order (although not That finding continues to be applicable receiving housing assistance before economically significant, as provided in to this final rule and is available for November 29, 1996, means non-prorated section 3(f)(1) of the Order). Any public inspection between 7:30 a.m. and assistance. The commenter requested changes made to the final rule 5:30 p.m. weekdays in the Office of the that § 5.518(a)(2) be revised to clarify subsequent to its submission to OMB Rules Docket Clerk, Office of General this provision of the 1996 Immigration are identified in the docket file, which Counsel, Room 10276, Department of Act. In addition, this commenter wrote is available for public inspection in the Housing and Urban Development, 451 that the aggregate deferral period for a office of the Department’s Rules Docket Seventh Street, SW, Washington, DC. tenant who was granted a temporary Clerk, Room 10276, 451 Seventh Street, Executive Order 12612, Federalism deferral before November 29, 1996, is SW, Washington, DC 20410–0500. three years from the date the first Unfunded Mandates Reform Act The General Counsel, as the deferral was granted. Designated Official under section 6(a) of HUD Response. Section 5.518(a)(2) Title II of the Unfunded Mandates Executive Order 12612, Federalism, has provides, a family granted continued Reform Act of 1995 (Public Law 104–4; determined that the policies contained assistance before November 29, 1996 is approved March 22, 1995) (UMRA) in this final have no federalism entitled to receive non-prorated establishes requirements for Federal implications, and that the policies are assistance. A family granted continued agencies to assess the effects of their not subject to review under the Order. assistance after November 29, 1996 must regulatory actions on State, local, and This interim rule addresses receive prorated assistance. In response tribal governments, and the private immigration, a topic exclusively the to the commenter’s second comment, sector. This rule does not impose any province of the Federal government, and § 5.518(b)(3) provides that the Federal mandates on any State, local, or the effect is the direct result of the ‘‘aggregate deferral period for deferrals tribal governments, or on the private statute that imposes the restriction granted prior to November 29, 1996 sector, within the meaning of the against assistance to noncitizens, rather shall not exceed 3 years.’’ UMRA. than a result of HUD’s exercise of
VerDate 06-MAY-99 15:12 May 11, 1999 Jkt 183247 PO 00000 Frm 00006 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR4.XXX pfrm03 PsN: 12MYR4 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25731 discretion in promulgating a rule to (2) Thirty-day extension period. Any b. Revising paragraph (c)(1); implement the statute. extension of time, if granted, shall not c. Revising paragraph (e)(1); and exceed thirty (30) days. The additional d. Revising paragraph (f)(1), to read as List of Subjects in 24 CFR Part 5 time provided should be sufficient to follows: Administrative practice and allow the individual the time to obtain procedure, Aged, Claims, Drug abuse, § 5.514 Delay, denial, reduction or the evidence needed. The responsible termination of assistance. Drug traffic control, Grant programs— entity’s determination of the length of * * * * * housing and community development, the extension needed shall be based on Grant programs—Indians, Grant (b) Restrictions on delay, denial, the circumstances of the individual reduction or termination of assistance. programs—low and moderate income case. housing, Indians, Individuals with (1) Restrictions on reduction, denial or (3) Grant or denial of extension to be termination of assistance for applicants disabilities, Intergovernmental relations, in writing. The responsible entity’s and tenants. Assistance to an applicant Loan programs—housing and decision to grant or deny an extension or tenant shall not be delayed, denied, community development, Low and as provided in paragraph (h)(1) of this reduced, or terminated, on the basis of moderate income housing, Mortgage section shall be issued to the family by ineligible immigration status of a family insurance, Penalties, Pets, Public written notice. If the extension is member if: housing, Rent subsidies, Reporting and granted, the notice shall specify the (i) The primary and secondary recordkeeping requirements, Social extension period granted (which shall verification of any immigration security, Unemployment compensation, not exceed thirty (30) days). If the documents that were timely submitted Wages. extension is denied, the notice shall has not been completed; Accordingly, for the reasons stated in explain the reasons for denial of the (ii) The family member for whom the preamble, 24 CFR part 5 is amended extension. required evidence has not been as follows: * * * * * submitted has moved from the assisted 5. Section 5.510 is amended by dwelling unit; PART 5ÐGENERAL HUD PROGRAM revising paragraph (b) to read as follows: (iii) The family member who is REQUIREMENTS; WAIVERS determined not to be in an eligible § 5.510 Documents of eligible immigration immigration status following INS 1. The authority citation for 24 CFR status. part 5 continues to read as follows: verification has moved from the assisted * * * * * dwelling unit; Authority: 42 U.S.C. 3535(d), unless (b) Acceptable evidence of eligible (iv) The INS appeals process under otherwise noted. immigration status. Acceptable § 5.514(e) has not been concluded; evidence of eligible immigration status Subpart EÐRestrictions on Assistance (v) Assistance is prorated in shall be the original of a document to Noncitizens accordance with § 5.520; or designated by INS as acceptable (vi) Assistance for a mixed family is 2. The authority citation for subpart E evidence of immigration status in one of continued in accordance with §§ 5.516 continues to read as follows: the six categories mentioned in and 5.518; or (vii) Deferral of termination of Authority: 42 U.S.C. 1436a and 3535(d). § 5.506(a) for the specific immigration status claimed by the individual. assistance is granted in accordance with § 5.501 [Removed] 6. Section 5.512 is amended by: §§ 5.516 and 5.518. 3. Remove § 5.501. a. Revising paragraph (a); (2) Restrictions on delay, denial, 4. Section 5.508 is amended by b. Adding new paragraph (b); and reduction or termination of assistance revising paragraphs (b)(1), (b)(2), (h)(2) c. Redesignating existing paragraphs pending fair hearing for tenants. In and (h)(3) to read as follows: (b) through (d) as paragraphs (c) through addition to the factors listed in (e), respectively to read as follows: paragraph (b)(1) of this section, § 5.508 Submission of evidence of assistance to a tenant cannot be delayed, citizenship, or eligible immigration status. § 5.512 Verification of eligible immigration denied, reduced or terminated until the status. * * * * * completion of the informal hearing (b) * * * (a) General. Except as described in described in paragraph (f) of this (1) For U.S. citizens or U.S. nationals, paragraph (b) of this section and § 5.514, section. the evidence consists of a signed no individual or family applying for (c) Events causing denial or declaration of U.S. citizenship or U.S. assistance may receive such assistance termination of assistance. (1) General. nationality. The responsible entity may prior to the verification of the eligibility Assistance to an applicant shall be request verification of the declaration by of at least the individual or one family denied, and a tenant’s assistance shall requiring presentation of a United States member. Verification of eligibility be terminated, in accordance with the passport or other appropriate consistent with § 5.514 occurs when the procedures of this section, upon the documentation, as specified in HUD individual or family members have occurrence of any of the following guidance. submitted documentation to the events: (2) For noncitizens who are 62 years responsible entity in accordance with (i) Evidence of citizenship (i.e., the of age or older or who will be 62 years § 5.508. declaration) and eligible immigration of age or older and receiving assistance (b) PHA election to provide assistance status is not submitted by the date under a Section 214 covered program on before verification. A PHA that is a specified in § 5.508(g) or by the September 30, 1996 or applying for responsible entity under this subpart expiration of any extension granted in assistance on or after that date, the may elect to provide assistance to a accordance with § 5.508(h); evidence consists of: family before the verification of the (ii) Evidence of citizenship and (i) A signed declaration of eligible eligibility of the individual or one eligible immigration status is timely immigration status; and family member. submitted, but INS primary and (ii) Proof of age document. * * * * * secondary verification does not verify * * * * * 7. Section 5.514 is amended by: eligible immigration status of a family (h) * * * a. Revising paragraph (b); member; and
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(A) The family does not pursue INS immigration status, as set forth in Specifically, the responsible entity appeal or informal hearing rights as paragraphs (c)(1) and (2) of this section. must: provided in this section; or * * * * * (A) For Housing covered programs: (B) INS appeal and informal hearing 9. Section 5.518 is amended by Make a determination that one of the rights are pursued, but the final appeal revising paragraphs (a), (b)(3) and (b)(5) two conditions specified in paragraph or hearing decisions are decided against to read as follows: (b)(2) of this section continues to be met the family member; or (note: affordable housing will be (iii) The responsible entity determines § 5.518 Types of preservation assistance determined to be available if the that a family member has knowingly available to mixed families and other vacancy rate is five percent or greater), permitted another individual who is not families. the owner’s knowledge and the tenant’s eligible for assistance to reside (on a (a) Continued assistance. (1) General. evidence indicate that other affordable permanent basis) in the public or A mixed family may receive continued housing is available; or assisted housing unit of the family housing assistance if all of the following (B) For Section 8 or Public Housing member. Such termination shall be for conditions are met (a mixed family covered programs: Make a a period of not less than 24 months. assisted under a Housing covered determination of the availability of This provision does not apply to a program must be provided continued affordable housing of appropriate size family if the ineligibility of the assistance if the family meets the based on evidence of conditions which ineligible individual was considered in following conditions): when taken together will demonstrate calculating any proration of assistance (i) The family was receiving an inadequate supply of affordable provided for the family. assistance under a Section 214 covered housing for the area in which the project * * * * * program on June 19, 1995; is located, the consolidated plan (if (e) Appeal to the INS. (1) Submission (ii) The family’s head of household or applicable, as described in 24 CFR part of request for appeal. Upon receipt of spouse has eligible immigration status 91), the responsible entity’s own notification by the responsible entity as described in § 5.506; and knowledge of the availability of that INS secondary verification failed to (iii) The family does not include any affordable housing, and on evidence of confirm eligible immigration status, the person (who does not have eligible the tenant family’s efforts to locate such responsible entity shall notify the family immigration status) other than the head housing. of the results of the INS verification, and of household, any spouse of the head of (ii) The responsible entity must also: the family shall have 30 days from the household, any parents of the head of (A) Notify the tenant family in date of the responsible entity’s household, any parents of the spouse, or writing, at least 60 days in advance of notification, to request an appeal of the any children of the head of household the expiration of the deferral period, INS results. The request for appeal shall or spouse. that termination will be deferred again be made by the family communicating (2) Proration of continued assistance. (provided that the granting of another that request in writing directly to the A family entitled to continued deferral will not result in aggregate INS. The family must provide the assistance before November 29, 1996 is deferral periods that exceeds the responsible entity with a copy of the entitled to continued assistance as maximum deferral period). This time written request for appeal and proof of described in paragraph (a) of this period does not apply to a family which mailing. section. A family entitled to continued includes a refugee under section 207 of assistance after November 29, 1996 shall * * * * * the Immigration and Nationality Act or receive prorated assistance as described (f) Informal hearing. (1) When request an individual seeking asylum under in § 5.520. for hearing is to be made. After section 208 of that Act, and a notification of the INS decision on (b) * * * determination was made that other appeal, or in lieu of request of appeal to (3) Time limit on deferral period. If affordable housing is not available; or the INS, the family may request that the temporary deferral of termination of (B) Notify the tenant family in responsible entity provide a hearing. assistance is granted, the deferral period writing, at least 60 days in advance of This request must be made either within shall be for an initial period not to the expiration of the deferral period, 30 days of receipt of the notice exceed six months. The initial period that termination of financial assistance described in paragraph (d) of this may be renewed for additional periods will not be deferred because either section, or within 30 days of receipt of of six months, but the aggregate deferral granting another deferral will result in the INS appeal decision issued in period for deferrals provided after aggregate deferral periods that exceed accordance with paragraph (e) of this November 29, 1996 shall not exceed a the maximum deferral period (unless section. period of eighteen months. The the family includes a refugee under aggregate deferral period for deferrals section 207 of the Immigration and * * * * * granted prior to November 29, 1996 8. Section 5.516 is amended by Nationality Act or an individual seeking shall not exceed 3 years. These time asylum under section 208 of that Act), revising the introductory text of periods do not apply to a family which paragraph (c) to read as follows: or a determination has been made that includes a refugee under section 207 of other affordable housing is available. the Immigration and Nationality Act or § 5.516 Availability of preservation * * * * * assistance to mixed families and other an individual seeking asylum under 10. Section 5.526 is revised to read as families. section 208 of that Act. follows: * * * * * * * * * * (c) Assistance available to other (5) Determination of availability of § 5.526 Protection From liability for families in occupancy. Temporary affordable housing at end of each responsible entities and State and local deferral of termination of assistance may deferral period. (i) Before the end of government agencies and officials. be available to families receiving each deferral period, the responsible (a) Protection from liability for assistance under a Section 214 covered entity must satisfy the applicable responsible entities. Responsible entities program on June 19, 1995, and who requirements of either paragraph are protected from liability as set forth have no members with eligible (b)(5)(i)(A) or (B) of this section. in Section 214(e) (42 U.S.C 1436a(e)).
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(b) Protection from liability for State and local government agencies and officials. State and local government agencies and officials shall not be liable for the design or implementation of the verification system described in § 5.512, as long as the implementation by the State and local government agency or official is in accordance with prescribed HUD rules and requirements. Dated: April 30, 1999. Andrew Cuomo, Secretary. [FR Doc. 99–11917 Filed 5–11–99; 8:45 am] BILLING CODE 4210±32±P
VerDate 06-MAY-99 15:12 May 11, 1999 Jkt 183247 PO 00000 Frm 00009 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR4.XXX pfrm03 PsN: 12MYR4 eDt 6MY9 32 a 1 99Jt134 O000Fm001Ft41 ft41 :F\M1MP.X fm7PsN:12MYP2 pfrm07 E:\FR\FM\12MYP2.XXX Sfmt4717 Fmt4717 Frm00001 PO00000 Jkt183247 13:24May11, 1999 VerDate 06-MAY-99 federal register May 12,1999 Wednesday Rule Program FormulaAllocation;Proposed Public HousingDrugElimination: 24 CFRPart761 Development Housing andUrban Department of Part V 25735 25736 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Proposed Rules
DEPARTMENT OF HOUSING AND SUPPLEMENTARY INFORMATION: characteristics would be avoided under URBAN DEVELOPMENT I. Background a formula system of funding. Third, the timing of funding availability under a 24 CFR Part 761 Section 586 of the Quality Housing formula process will be more consistent and Work Responsibility Act of 1998 and regular than under a competitive (Pub. L. 105–276, 112 Stat. 2461, [Docket No. FR±4451±P±02] process. Fourth, a formula will relieve approved October 21, 1998) (Public the administrative burden on PHAs and Housing Reform Act) makes certain RIN 2577±AB95 HUD, by eliminating the competitive amendments to the Public and Assisted NOFA process. For these reasons, HUD Public Housing Drug Elimination Housing Drug Elimination Act of 1990, has determined that a formula approach Program Formula Allocation including authorizing HUD to make to PHDEP funding will provide a more renewable grants to public housing timely, predictable and equitable AGENCY: Office of the Assistant agencies (PHAs). HUD is to provide allocation of PHDEP funds. Secretary for Public and Indian preference in funding to these public Housing, HUD. housing agencies, but this preference Criticisms of Funding Formula does not preclude selection by the ACTION: Proposed rule. Although many of the commenters Secretary of other meritorious public supported the idea of formula funding, SUMMARY: This proposed rule would housing agencies that need funding to the formula itself was criticized on amend HUD regulations to replace the address urgent or serious crime several points. Among the criticisms competitive distribution of HUD’s problems. was that the formula was difficult to On February 18, 1998 (64 FR 8210), Public and Indian Housing Drug understand; that it used incomplete or HUD published an Advance Notice of Elimination Program (PHDEP) funds invalid data; that the same bedroom mix Proposed Rulemaking (ANPR) to solicit with a formula allocation funding factor was used more than once; that the comments on possible methods and system. The purpose of this amendment weights assigned to the formula’s elements of a need based formula and is to provide a more timely, predictable components were not justified, and that performance criteria. Further, HUD and equitable allocation of PHDEP the results were not replicable. welcomed any formula methods for funds. The competitive distribution of This rule proposes to address these consideration that housing agencies or funding through the Assisted Housing criticisms by using a greatly simplified other interested members of the public component of the Drug Elimination formula for the allocation of PHDEP may have devised. Public comments Program would not be affected by this funding. The amount that will be made received in response to this notice were rule. available to an applicant qualifying for considered in the development of this funding will be based upon the DATES: Comment Due Date: July 12, proposed rule on formula funding for 1999. applicant’s share of the total number of PHDEP, and are discussed in the units of all applicants that qualify for ADDRESSES: Interested persons are following section. funding, with a maximum award of $35 invited to submit comments to the Rules II. Public Comment on the ANPR million and a minimum award of Docket Clerk, Office of the General $25,000. Counsel, Room 10276, Department of HUD received 60 comments on the Housing and Urban Development, 451 ANPR. The commenters addressed the Minimum Amount of Funding Seventh Street, SW, Washington, DC options for PHDEP funding, and offered several recommendations on how Several commenters addressed the 20410–0500. Communications should issue of the minimum amount of refer to the above docket number and funding may be allocated. This proposed rule takes into consideration formula funding. Some favored title. Facsimile (FAX) responses are not maintaining the $50,000 minimum acceptable. A copy of each response will the comments received on the ANPR, as discussed below. available under the competitive system; be available for public inspection and some favored the suggested $25,000 copying during regular business hours Opposition to Formula Funding minimum; and others supported a (7:30 a.m. to 5:30 p.m. Eastern Time at Several commenters opposed the minimum without specifying an the above address). change to formula allocation. Their amount. FOR FURTHER INFORMATION CONTACT: concern was that providing funding to This rule proposes to go forward with Bertha M. Jones, Program Analyst, a somewhat greater number of the $25,000 minimum amount of Community Safety and Conservation applicants under a formula would funding. The certainty of funding over Division, Office of Public and Indian reduce the amount that was previously five years is proposed to compensate for Housing, Department of Housing and made available to individual applicants any problems resulting from the drop in Urban Development, 451 Seventh Street, who successfully competed for funding. minimum funding. The great majority of SW, Washington, DC 20410, telephone HUD remains convinced that formula beneficiaries of the minimum funding (202) 708–1197 x.4237; or Tracy C. allocation for this program is the better amount is expected to be small Outlaw, National Office of Native method for allocating PHDEP funds. applicants that were not previously American Programs, Department of First, formula allocation of funding for funded and that would be able to Housing and Urban Development, 1999 a period of years eliminates the undertake meaningful activities with the Broadway, Suite 3390, Denver, CO uncertainty of competitive funding and minimum amount. 80202, telephone (303) 675–1600 (these permits the development and Establish Two Pools of PHDEP Funding are not toll-free numbers). Hearing or implementation of long range plans. speech-impaired individuals may access Second, as many commenters pointed Several commenters suggested that this number via TTY by calling the toll- out, success in funding competitions is PHDEP funding be divided into two free Federal Information Relay Service often related to the ‘‘creative writing’’ pools, one to be allocated according to at 1–800–877–8339. Also, please see ability of an applicant, an applicant’s a formula, and the other awarded on the HUD’s website at http://www.hud.gov/ capacity to hire a professional grants basis of a competition. pih/legis/titlev.html for additional writer, and the subjective preferences of HUD does not support such a system PHDEP information. reviewers. These unfavorable because it would substantially
VerDate 06-MAY-99 16:40 May 11, 1999 Jkt 183247 PO 00000 Frm 00002 Fmt 4701 Sfmt 4701 E:\FR\FM\12MYP2.XXX pfrm03 PsN: 12MYP2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Proposed Rules 25737 compromise the savings in Secretary may prescribe. The Secretary may (Congressional Record of October 8, 1998, administrative burden to PHAs and adjust the amount of any grant received or S.11842) HUD that would be available under a renewed under this paragraph to take into account increases or decreases in amounts The new language of ADAA section formula system. appropriated for these purposes or such other 5125(b), as revised by Public Housing III. Changes in This Proposed Rule factors as the Secretary determines to be Reform Act section 586(e)(6), addresses appropriate. the manner in which the categories of This rule proposes to amend the Drug (2) Eligibility and Preference—The eligible DEP applicants (PHAs, RMCs, Elimination Program (DEP) regulations Secretary may not provide assistance under NAHASDA recipients, consortia, and at 24 CFR part 761 to implement Public this chapter to an applicant that is a public owners of federally assisted low income Housing Reform Act section 586. In housing agency unless— housing) are to be funded. PHAs are particular, it would amend the way that (A) the agency will use the grants to continue or expand activities eligible for divided into two categories for funding public housing drug elimination funds purposes. The first category consists of are distributed, as explained in the assistance under this chapter, as in effect immediately before the effective date under PHAs that will ‘‘use the grants to following discussion. section 503(a) of the Quality Housing and continue or expand activities eligible for Statutory Changes to DEP Funding and Work Responsibility Act of 1998, in which assistance’’ under the drug elimination Eligibility case the Secretary shall provide preference to program. The requirement that funds such applicant; except that preference under must be used to ‘‘continue or expand’’ Section 586(e) of the Public Housing this subparagraph shall not preclude activities indicates that PHAs in this Reform Act amends section 5125 of the selection by the Secretary of other category must have previously received Anti-Drug Abuse Act of 1988 (ADAA) meritorious applications that address urgent DEP funding, or they would not have (the Public and Assisted Housing Drug or serious crime problems nor be construed any activities that could be continued or Elimination Program is authorized to require continuation of activities determined by the Secretary to be unworthy expanded. HUD has determined that under sections 5121 through 5130 of of continuation; or PHAs that successfully competed for ADAA). Before being amended by (B) the agency is in the class established PHDEP funding under at least one of the section 586(e), section 5125(b) provided under paragraph (3). Notices of Funding Availability for that HUD ‘‘shall approve applications (3) PHA’s Having Urgent or Serious Crime Federal Fiscal Years (FFYs) 1996, 1997 under this chapter based exclusively Problems—The Secretary shall, by and 1998 would have activities to on’’ a list of four factors. This language regulations issued after notice and continue or expand and would placed strict limitations on the manner opportunity for public comment, set forth constitute the first category of PHAs that in which HUD could distribute drug criteria for establishing a class of public housing agencies that have urgent or serious qualify for funding. Further, revised elimination funds. Section 586(e) crime problems. The Secretary may reserve a section 5125(b)(2)(A) states that PHAs in redesignates paragraphs (b) through (d) portion of the amount appropriated to carry this category are to be provided a of section 5125 as paragraphs (c) out this chapter in each fiscal year only for preference for funding. How HUD will through (e), respectively, and amends grants for public housing agencies in such fund these ‘‘preference PHAs’’ is the limiting language in redesignated class, except that any amounts from such explained below in the discussion of the paragraph (c) to provide that HUD portion reserved that are not obligated to funding formula proposed by this rule. ‘‘shall approve applications under agencies in the class shall be made available The second category of PHAs that subsection (b) that are not subject to a only for agencies that are subject to a preference under paragraph (2)(A). qualify for funding is covered by an preference under subsection (b)(2)(A) on (4) INAPPLICABILITY TO FEDERALLY exception to the preference. This the basis of thresholds or criteria such ASSISTED LOW-INCOME HOUSING—The exception is also found in section as’’ followed by the same four factors. provisions of this subsection shall not apply 5125(b)(2)(A), in the language which Section 586 adds both structure and to federally assisted low-income housing. states, ‘‘except that preference under flexibility to the funding process of the In Senate colloquy before passage of this subparagraph shall not preclude drug elimination program. By replacing the Public Housing Reform Act, Senator selection by the Secretary of other the tightly controlling parameters of Mack noted that the amendments made meritorious applications that address ‘‘based exclusively on’’ with the to the Public and Assisted Housing Drug urgent or serious crime problems’’. The expansive ‘‘on the basis of thresholds or Elimination Act of 1990 represent a funding formula discussed below would criteria such as’’, section 586 provides significant improvement in the program. define what PHAs fall into this ‘‘needs’’ HUD with greater flexibility in the way The Senator stated: category and the amount of funding DEP funds are distributed. Section 586 each would qualify to receive. also introduces non-competitive, The amendments will provide renewable RMCs and NAHASDA recipients renewable grants as a way of grants for agencies that meet performance standards established by HUD. In addition, would also qualify for ‘‘needs’’ funding distributing drug elimination funds. The housing authorities with urgent or serious under the exception language of section new subsection (b) added to ADAA crime needs are protected and will be 5125(b)(2)(A), on the basis of section 5125 by Public Housing Reform assured an equitable amount of funding. ‘‘meritorious applications that address Act section 586 reads as follows: ** * [T]he intent of these provisions is to urgent or serious crime problems’’. The (b) One-Year Renewable Grants— provide more certain funding for agencies with clear needs for funds and to assure that determination of how NAHASDA (1) In General—An eligible applicant that both current funding recipients and other recipients and RMCs qualify for needs is a public housing agency may apply for a agencies with more urgent or serious crime funding and the amounts they would 1-year grant under this chapter that, subject problems are appropriately assisted by the receive are explained under the formula to the availability of appropriated amounts, program. The provisions will also reduce the funding discussion, below. shall be renewed annually for a period of not administrative costs of the current A consortium of eligible applicants more than 4 additional years, except that application process which entails a would qualify for at least the amount of such renewal shall be contingent upon the substantial paperwork burden for agencies funding for which its individual Secretary finding, upon an annual or more and HUD. Under the terms of the frequent review, that the grantee agency is amendments, HUD can establish a fixed members would qualify on a preference performing under the terms of the grant and funding mechanism in which the relative or a needs basis. Consortia are more applicable laws in a satisfactory manner and needs of housing authorities are addressed fully discussed under a separate meets such other requirements as the with a greater amount of certainty. heading in this preamble, below.
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HUD is seeking comment in particular more than 1250 units). If fewer than five with its PHA Plan, submitted pursuant on methods and the desirability of PHAs have data for a given size category to 24 CFR part 903, as a qualification for providing more of a financial incentive within a State, then the average of PHAs DEP funding. Similarly, as a for consortia. for a given size category within the qualification for DEP funding, a Federally assisted low-income census region will be used. NAHASDA recipient must include a housing is specifically excluded from The use of a funding cut-off point in DEP plan with its Indian Housing Plan the provisions of revised section 5125(b) the ranking also addresses the (IHP), submitted pursuant to subpart C of ADAA, by section 5125(b)(4). preference requirement for previously of 24 CFR part 1000. As for RMCs, a Assisted housing DEP funding will funded (in FFYs 1996, 1997 or 1998) qualification for funding is that an RMC continue to be made available on a PHAs. These PHAs will be funded must submit a PHDEP plan to its PHA. competitive basis under periodic regardless of any ranking, providing The PHA must then submit, with its NOFAs published in the Federal them with the preference of assured PHA Plan, the RMC’s PHDEP plan. The Register. funding. Renewal of funding under minimum requirements for the contents section 5125(b)(1) of ADAA for Proposed PHDEP Formula Funding of a PHDEP plan are contained in a new preference PHAs is contingent only § 761.21. The PHDEP plan serves as the This rule proposes to distribute all upon ‘‘the Secretary finding, upon an application for PHDEP funding, and an PHDEP funding in a noncompetitive annual or more frequent review, that the otherwise qualified recipient that does manner through the use of a funding grantee agency is performing under the not submit a PHDEP plan as required formula. The new language in revised terms of the grant and applicable laws will not be funded. ADAA section 5125(c), discussed above, in a satisfactory manner and meets such HUD specifically solicits comments provides HUD with the flexibility to other requirements as the Secretary may on ways to further streamline the follow this formula approach. The prescribe.’’ Of course, as section PHDEP plan and performance reporting. funding formula process satisfies the 5125(b)(2)(A) of ADAA also provides, HUD is continuing to develop model section 5125(c) requirement that HUD the preference shall not be ‘‘construed outcome measures with specific, ‘‘approve applications under subsection to require continuation of activities measurable goals for PHDEP-funded (b) that are not subject to a preference determined by the Secretary to be activities, including the overall under subsection (b)(2)(A) on the basis unworthy of continuation’’. reduction of violent crime and drug use. of thresholds or criteria such as’’ the In addition to addressing the AHDEP applicants will continue to four listed factors. The manner in which preference requirement and determining apply in accordance with the eligible applicants qualify for funding what ‘‘needs’’ applicants will qualify for requirements of NOFAs published in through the formula process is sufficient funding, a formula would determine the the Federal Register. to satisfy the new, more expansive amount each applicant that qualifies for Recipients who qualify and receive ‘‘such as’’ requirement which replaced funding would receive. The proposed funding will be reviewed at least the exclusive reliance upon the four formula at § 761.13 would distribute annually as grantees to determine if they listed ADAA factors. PHDEP funding based upon a qualified meet the performance requirements The application of a funding cut-off applicant’s (an applicant that qualifies proposed in a new § 761.23. A grantee point, or threshold, to the ranking of on the basis of preference or need) share that fails to satisfy the performance eligible applicants derived through the of the total number of units of all requirements of this section may be formula process also satisfies the eligible applicants that qualify for subject to the sanctions listed in requirement of the ‘‘needs’’ exception in funding, with a maximum award of $35 § 761.30(f)(2). section 5125(b)(2)(A), that the selection million and a minimum award of Consortia ‘‘of other meritorious applications that $25,000. The amount an applicant that address urgent or serious crime qualifies for funding would receive in This rule would also establish the problems’’ not be precluded. This rule any given FFY would vary in proportion requirements for the eligibility and provides that non-preference PHAs, to the amounts appropriated annually funding of consortia. The rule permits NAHASDA recipients, and RMCs in the for the DEP, but would not exceed the eligible applicants to join together and top 50% (the cut-off point or threshold) established maximum or minimum form a consortium to apply under of the unit-weighted distribution of an amounts. PHDEP, whether or not each member index of a rolling average rate of violent The Department specifically requests would individually qualify for funding crimes of the community have needs comment on whether the proposed as a preference PHA or a needs recipient that qualify for funding. Needs in the formula funding is appropriate for in the top 50% of the formula ranking. top 50% are above average needs, and NAHASDA recipients, and will consider To qualify for funding, the consortium this broad approach to addressing implementing alternative methods of members must prepare and submit a ‘‘urgent or serious crime problems’’ will funding this category of eligible consortium DEP plan that meets the assure the broad distribution of PHDEP applicants. Also, please see the requirements of a DEP plan contained in funding. Needs in the bottom 50% are discussion under the heading, ‘‘Funding § 761.21. The act of two or more eligible below average and, therefore, difficult to of NAHASDA Recipients,’’ below in this applicants joining together to form a characterize as ‘‘urgent or serious’’. preamble. consortium, and identifying related The crime rate used in this needs crime problems and eligible activities to determination formula is the rate, from DEP Application and Plan Requirement address those problems pursuant to a the most recent years feasible, of FBI To qualify for funding, an eligible consortium PHDEP plan, qualifies the violent crimes per 10,000 residents of applicant must still meet the ADAA consortium for PHDEP funding to the the community (or communities). If this section 5125(a) requirement of extent the individual applicants qualify. information is not available for a submitting a plan for addressing the The consortium’s DEP plan must particular applicant’s community, HUD problem of drug-related or violent crime include a written agreement, signed by will use the average of data from in and around the recipient’s housing. an authorized representative of each recipients of the same or a comparable This rule addresses the plan consortium member, that designates a State and size category of PHA (less requirement by providing, at § 761.15, lead applicant for purposes of grant than 500 units, 500 to 1249 units, and that a PHA must include a DEP plan funding and administration, and as a
VerDate 06-MAY-99 13:24 May 11, 1999 Jkt 183247 PO 00000 Frm 00004 Fmt 4701 Sfmt 4702 E:\FR\FM\12MYP2.XXX pfrm07 PsN: 12MYP2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Proposed Rules 25739 central point of contact, and describes separate pool to fund NAHASDA recipients may be permitted to qualify, the activities and responsibilities that recipients. The lack of full FBI data on short of requiring the submission and each consortium member is bound to Indian Country and the difficulty of verification of extensive data, because it undertake. Each member must submit formulating appropriate comparable is HUD’s goal to streamline the funding the consortium plan with its PHA plan data make it difficult to fund process for all categories of PHDEP or IHP, as appropriate. NAHASDA recipients on the same basis applicants. HUD will make the determination of as PHAs. Rather than including IV. Findings and Certifications the amount of funding the consortium NAHASDA recipients in the same as a whole will receive upon first funding pool with PHAs, HUD would Paperwork Reduction Act Statement receipt and favorable review of a make separate DEP funding available for consortium’s plan. The amount of NAHASDA recipients. The amount of The proposed information collection funding made available to the funding available would be set at a level requirements contained in this rule, and consortium will be the total of the that is significantly greater percentage of the additional PHDEP requirements at amounts that each individual member the total amounts made available than 24 CFR part 761 not affected by this would otherwise qualify to receive, on the average of the amounts received by rule, including the changeover in the either a preference or needs basis, under Indian tribes, IHAs, or tribally reporting requirements under § 761.35 the funding formula. The Department designated housing entities (TDHEs) in from a hardcopy format to an electronic specifically requests comment on FFYs 1996, 1997 and 1998. The increase format, have been submitted to the methods and the desirability of under such a formulation would be in Office of Management and Budget providing more of a financial incentive keeping with the overall increase in (OMB) for review under section 3507(d) for consortia. HUD funding that took place when of the Paperwork Reduction Act of 1995 Native American housing assistance was (44 U.S.C. Chapter 35). Funding of NAHASDA Recipients consolidated under NAHASDA. Estimate of the total reporting and An option HUD wishes to present for HUD welcomes suggestions on the recordkeeping burden that will result comment is whether to establish a basis on which additional NAHASDA from the collection of information:
REPORTING AND RECORDKEEPING BURDEN
Est. avg. time Section reference Number of Annual freq. of for require- Est. annual parties requirement ment (hours) burden (hrs.)
761.17 ...... 600 1 16 9,600 761.21 ...... 1100 1 25 27,500 761.23 ...... 1100 1 8 8,800 761.25 ...... 7000 1 1 7,000 761.30 ...... 1100 1 16 17,600 761.35 ...... 1100 7 22 169,400
Total Reporting and Recordkeeping Burden (Hours) ...... 239,900
In accordance with 5 CFR technology, e.g., permitting electronic Additional information on these 1320.8(d)(1), HUD is soliciting submission of responses. information collection requirements comments from members of the public Interested persons are invited to may be obtained from the Reports and affected agencies concerning this submit comments regarding the Liaison Officer or from the HUD web collection of information to: information collection requirements in site at http://www.hud.gov/pih/ (1) Evaluate whether the proposed this proposal. Comments must be programs/ph/de/cscd.html. collection of information is necessary received within sixty (60) days from the Executive Order 12866 for the proper performance of the date of this proposal. Comments must functions of the agency, including refer to the proposal by name and The Office of Management and Budget whether the information will have docket number (FR–4451) and must be (OMB) has reviewed this advanced practical utility; sent to: notice of proposed rulemaking (ANPR) (2) Evaluate the accuracy of the Joseph F. Lackey, Jr., HUD Desk under Executive Order 12866, agency’s estimate of the burden of the Officer, Office of Management and Regulatory Planning and Review, issued proposed collection of information; Budget, New Executive Office Building, by the President on September 30, 1993. (3) Enhance the quality, utility, and Washington, DC 20503; Any changes made in this ANPR clarity of the information to be and subsequent to its submission to OMB collected; and Mildred Hamman, Reports Liaison are identified in the docket file, which (4) Minimize the burden of the Officer, Office of the Assistant Secretary is available for public inspection during collection of information on those who for Public and Indian Housing, regular business hours in the Office of are to respond; including through the Department of Housing & Urban the Rules Docket Clerk, Office of the use of appropriate automated collection Development, 451—7th Street, SW, General Counsel, Room 10276, U.S. techniques or other forms of information Room 4244, Washington, DC 20410. Department of Housing and Urban
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Development, 451 Seventh Street, SW, List of Subjects in 24 CFR Part 761 Housing Assistance and Self- Washington, DC 20410. Drug abuse, Drug traffic control, Grant Determination Act of 1996 (NAHASDA recipient) is added in alphabetical order, Regulatory Flexibility Act programs—housing and community development, Grant programs—Indians, and the definition of Resident The Secretary, in accordance with the Grant programs—low and moderate Management Corporation (RMC) is Regulatory Flexibility Act (5 U.S.C. income housing, Indians, Public revised, to read as follows: 605(b)), has reviewed and approved this housing, Reporting and recordkeeping § 761.10 Definitions. proposed rule, and in so doing certifies requirements. The definitions Department, HUD, that this rule will not have a significant Catalog of Domestic Assistance and Public Housing Agency (PHA) are economic impact on a substantial Numbers defined in 24 CFR part 5. number of small entities. The proposed rule begins the rulemaking process to The Catalog of Domestic Assistance * * * * * implement changes for the distribution numbers for the Public Housing Drug Recipient of assistance under the of Public Housing Drug Elimination Elimination Program is 14.854. Native American Housing Assistance Program funds under the Quality Accordingly, for the reasons stated in and Self-Determination Act of 1996 Housing and Work Responsibility Act of the preamble, part 761 of title 24 of the (NAHASDA recipient) shall have the 1998. A significant economic impact on Code of Federal Regulations is amended same meaning as recipient provided in a substantial number of small entities is as follows: section 4 of the Native American not expected because under this Housing Assistance and Self- PART 761ÐDRUG ELIMINATION Determination Act of 1996 (25 U.S.C. proposal, all small entities previously PROGRAMS funded will continue to be funded at 4101 et seq.). comparable levels. Although HUD has 1. The authority citation for 24 CFR * * * * * determined that this proposed rule part 761 continues to read as follows: Resident Management Corporation would not have a significant economic Authority: 42 U.S.C. 3535(d) and 11901 et (RMC), for purposes of the Public impact on a substantial number of small seq. Housing Program, means the entity that proposes to enter into, or that enters entities, HUD welcomes comments 2. In part 761, all references to ‘‘drug- into, a management contract with a PHA regarding any less burdensome related crime’’ are revised to read ‘‘drug- under 24 CFR part 964 in accordance alternatives to this rule that will meet related and violent crime’’ and all with the requirements of that part. HUD’s objectives as described in this references to ‘‘Indian housing preamble. The rule will have no adverse authorities (IHAs)’’ are revised to read * * * * * or disproportionate economic impact on ‘‘NAHASDA recipients’’. 6. The heading of subpart B is revised small businesses. 3. In § 761.1, the introductory text is to read as follows: revised to read as follows: Environmental Impact Subpart BÐGrant Funding § 761.1 Purpose and scope. In accordance with 40 CFR 1508.4 of This part 761 contains the regulatory 7. A new § 761.13 is added to read as the regulations of the Council on follows: Environmental Quality and 24 CFR requirements for the Assisted Housing 50.19(c)(2) of the HUD regulations, this Drug Elimination Program (AHDEP) and § 761.13 Amount of funding. the Public Housing Drug Elimination rule amends an existing document, the (a) PHDEP formula funding. (1) Program (PHDEP). The purposes of regulations at 24 CFR part 761, which as Funding share formula. The amount of these programs are to: a whole would not fall within an funding made available each FFY to an exclusion, but the amendment by itself * * * * * applicant that qualifies for funding in would do so. Therefore, the actions 4. Section 761.5, is revised to read as accordance with § 761.15(a) is based proposed in this document are follows: upon the applicant’s share of the total determined not to have the potential of § 761.5 Public housing; encouragement of number of units of all applicants that having a significant impact on the resident participation. qualify for funding, with a maximum quality of the human environment and For the purposes of the Public award of $35 million and a minimum further review under the National Housing Drug Elimination Program, the award of $25,000. Environmental Policy Act is not elimination of drug-related and violent (2) Consortium funding. The amount necessary and no FONSI is needed. crime within public housing of funding made available to a Executive Order 12612, Federalism developments requires the active consortium will be the total of the involvement and commitment of public amounts that each individual member The General Counsel, as the housing residents and their would otherwise qualify to receive Designated Official under section 6(a) of organizations. To enhance the ability of under the PHDEP funding formula in Executive Order 12612, Federalism, has PHAs to combat drug-related and accordance with paragraph (a)(1) of this determined that this rule will not have violent crime within their section. substantial direct effects on States or developments, Resident Councils (RCs), (3) Adjustments to funding. The their political subdivisions, or the Resident Management Corporations amount of funding made available each relationship between the Federal (RMCs), and Resident Organizations FFY to an applicant in accordance with Government and the States, or on the (ROs) will be permitted to undertake paragraphs (a)(1) and (a)(2) of this distribution of power and management functions specified in this section may be adjusted as follows: responsibilities among the various part, notwithstanding the otherwise (i) An applicant must submit a PHDEP levels of government. No programmatic applicable requirements of 24 CFR part plan that meets the requirements of or policy changes will result from this 964. § 761.21, as required by § 761.15(a)(5), rule that would affect the relationship 5. In § 761.10, the introductory text is each FFY year to receive that FFY’s between the Federal Government and revised, the definition of Recipient of funding. An applicant that does not State and local governments. assistance under the Native American submit a PHDEP plan for a FFY as
VerDate 06-MAY-99 16:03 May 11, 1999 Jkt 183247 PO 00000 Frm 00006 Fmt 4701 Sfmt 4702 E:\FR\FM\12MYP2.XXX pfrm01 PsN: 12MYP2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Proposed Rules 25741 required will not receive that FFY’s (4) Consortium of eligible applicants. § 761.17 Eligible and ineligible activities funding. Eligible applicants may join together for funding. (ii) Ineligible activities, described at and form a consortium to apply for (a) Eligible activities. One or more of § 761.17(b), are not eligible for funding. funding, whether or not each member the eligible activities described in 42 Activities proposed for funding in an would individually qualify for PHDEP U.S.C. 11903 and in this § 761.17(a) are applicant’s PHDEP plan that are funding under paragraphs (a)(2) or (a)(3) eligible for funding under PHDEP or determined to be ineligible will not be of this section. The act of two or more AHDEP, as further explained or limited funded, and the applicant’s funding for eligible applicants joining together to in paragraph (b) of this section and, for that FFY may be reduced accordingly. form a consortium, and identifying AHDEP, in separate annual Notices of (iii) In accordance with § 761.15(a)(6), related crime problems and eligible Funding Availability (NOFAs). All an applicant that does not meet the activities to address those problems personnel funded by these programs in performance requirements of § 761.23 pursuant to a consortium PHDEP plan, accordance with an eligible activity may not be funded, in whole or in part. qualifies the consortium for PHDEP must meet, and demonstrate compliance (iv) Any amounts that become funding of an amount as determined with, all relevant Federal, State, tribal, available because of adjustments to an under § 761.13(a)(2). or local government insurance, applicant’s funding will be distributed (5) PHDEP plan requirement. (i) licensing, certification, training, to every other applicant that qualifies PHAs. To receive PHDEP funding, a bonding, or other similar law for funding in accordance with PHA that qualifies to receive PHDEP enforcement requirements. paragraphs (a)(1) and (a)(2) of this funding must include a PHDEP plan (1) Employment of security personnel, section. that meets the requirements of § 761.21 as provided in 42 U.S.C. 11903(a)(1), (b) AHDEP funding. Information with its PHA Plan submitted pursuant with the following additional concerning funding made available to 24 CFR part 903. requirements: (i) Security guard personnel. (A) under AHDEP for a given FFY will be (ii) NAHASDA recipients. To receive Contract security personnel funded by contained in Notices of Funding PHDEP funding, a NAHASDA recipient this program must perform services not Availability (NOFAs) published in the that qualifies to receive PHDEP funding usually performed by local law Federal Register. must include a PHDEP plan that meets enforcement agencies on a routine basis. 8. Section 761.15 is revised to read as the requirements of § 761.21 with its (B) The applicant, the cooperating follows: Indian Housing Plan (IHP) submitted local law enforcement agency, and the pursuant to subpart C of 24 CFR part § 761.15 Qualifying for funding. provider (contractor) of the security 1000. (a) Qualifications for PHDEP funding. personnel are required, as a part of the (1) Eligible applicants. The following (iii) RMCs. To receive PHDEP security personnel contract, to enter into are eligible applicants for PHDEP funding, an RMC that qualifies to and execute a written agreement that funding: receive PHDEP funding must submit a describes the following: (i) A PHA; PHDEP plan that meets the (1) The activities to be performed by (ii) A NAHASDA recipient; requirements of § 761.21 to its PHA. the security personnel, their scope of (iii) An RMC; and That PHA may submit, with its PHA authority, and how they will coordinate (iv) A consortium of PHAs. Plan submitted pursuant to 24 CFR part their activities with the local law (2) Preference PHAs. A PHA that 903, the RMC’s PHDEP plan. enforcement agency; successfully competed for PHDEP (iv) Consortia. To receive PHDEP (2) The types of activities that the funding under at least one of the PHDEP funding, the consortium members must security personnel are expressly NOFAs for FFY 1996, FFY 1997 or FFY prepare and submit a consortium prohibited from undertaking. 1998 qualifies to receive PHDEP PHDEP plan that meets the (ii) Employment of HA police. (A) If funding. requirements of § 761.21, including the additional HA police are to be employed (3) Needs qualification for funding. A additional requirements that apply to for a service that is also provided by a PHA that does not qualify to receive consortia. Each member must submit local law enforcement agency, the PHDEP funding under paragraph (a)(2) the consortium plan with its PHA plan, applicant must provide a cost analysis of this section, a NAHASDA recipient, submitted pursuant to 24 CFR part 903, that demonstrates the employment of or an RMC must be in the top 50% of or IHP, submitted pursuant to subpart C HA police is more cost efficient than the unit-weighted distribution of an of 24 CFR part 1000, as appropriate. obtaining the service from the local law index of a rolling average rate of violent (6) An otherwise qualified recipient enforcement agency. crimes of the community, as computed PHA, NAHASDA recipient, RMC or (B) Additional HA police services to for each Federal Fiscal Year (FFY) to consortium may not be funded if HUD be funded under this program must be qualify for funding. The crime rate used determines, on a case-by-case basis, that over and above those that the existing in this needs determination formula is it does not meet the performance HA police, if any, provides, and the the rate, from the most recent years requirements of § 761.23. tribal, State or local government is feasible, of FBI violent crimes per (b) Qualifications for AHDEP funding. contractually obligated to provide under 10,000 residents of the community (or Under AHDEP, eligible applicants are its Cooperation Agreement with the communities). If this information is not owners of federally assisted low-income applying HA (as required by the HA’s available for a particular applicant’s housing, as the term Federally assisted Annual Contributions Contract). An community, HUD will use the average of low-income housing is defined in applicant seeking funding for this data from recipients of a comparable § 761.10. Notices of Funding activity must first establish a baseline by State and size category of PHA (less Availability (NOFAs) published in the describing the current level of services than 500 units, 500 to 1249 units, and Federal Register will contain specific provided by both the local law more than 1250 units). If fewer than five information concerning funding enforcement agency and the HA police, PHAs have data for a given size category requirements and eligible and ineligible if any (in terms of the kinds of services within a State, then the average of PHAs applicants and activities. provided, the number of officers and for a given size category within the 9. A new § 761.17 is added to read as equipment and the actual percent of census region will be used. follows: their time assigned to the developments
VerDate 06-MAY-99 13:24 May 11, 1999 Jkt 183247 PO 00000 Frm 00007 Fmt 4701 Sfmt 4702 E:\FR\FM\12MYP2.XXX pfrm07 PsN: 12MYP2 25742 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Proposed Rules proposed for funding), and then (iii) Funding is not permitted for any clubs, handcuffs, or mace in the course demonstrate that the funded activity physical improvements that would of their duties under this program; will represent an increase over this result in the displacement of persons. (C) The type of initial tenant patrol baseline. (iv) Funding is not permitted for the training and continuing training the (C) The applicant and the cooperating acquisition of real property. members receive from the local law local law enforcement agency are (4) Employment of investigating enforcement agency (training by the required to enter into and execute a individuals, as provided in 42 U.S.C. local law enforcement agency is written agreement that describes the 11903(a)(4). For purposes of PHDEP, the required before putting the tenant patrol following: following provisions in paragraphs into effect). (1) The activities to be performed by (a)(4)(i) and (a)(4)(ii) of this section (iii) Tenant patrol members must be the HA police, their scope of authority, apply: advised that they may be subject to and how they will coordinate their (i) If one or more investigators are to individual or collective liability for any activities with the local law be employed for a service that is also actions undertaken outside the scope of enforcement agency; provided by a local law enforcement their authority and that such acts are not (2) The types of activities that the HA agency, the applicant must provide a covered under a HA’s or RMC’s liability police are expressly prohibited from cost analysis that demonstrates the insurance. (iv) Grant funds may not be used for undertaking. employment of investigators is more any type of financial compensation for (2) Reimbursement of local law cost efficient than obtaining the service voluntary tenant patrol participants. enforcement agencies for additional from the local law enforcement agency. However, the use of program funds for security and protective services, as (ii) The applicant, the cooperating a grant coordinator for volunteer tenant provided in 42 U.S.C. 11903(a)(2), with local law enforcement agency, and the foot patrols is permitted. the following additional requirements: investigator(s) are required, before any (6) Drug prevention, intervention, and (i) Additional security and protective investigators are employed, to enter into treatment programs, as provided in 42 services to be funded must be over and and execute a written agreement that U.S.C. 11903(a)(6). above those that the tribal, State, or describes the following: (7) Funding resident management local government is contractually (A) The nature of the activities to be corporations (RMCs), resident councils obligated to provide under its performed by the investigators, their (RCs), and resident organizations (ROs). Cooperation Agreement with the scope of authority, and how they will For purposes of the Public Housing applying HA (as required by the HA’s coordinate their activities with the local Program, funding may be provided for Annual Contributions Contract). An law enforcement agency; PHAs that receive grants to contract application seeking funding for this (B) The types of activities that the with RMCs and incorporated RCs and activity must first establish a baseline by investigators are expressly prohibited ROs to develop security and drug abuse describing the current level of services from undertaking. prevention programs involving site (in terms of the kinds of services (5) Voluntary tenant patrols, as residents, as provided in 42 U.S.C. provided, the number of officers and provided in 42 U.S.C. 11903(a)(5). For 11903(a)(7). equipment, and the actual percent of purposes of PHDEP, the following (8) Youth sports. Sports programs and their time assigned to the developments provisions in paragraphs (a)(5)(i) sports activities that serve primarily proposed for funding) and then through (a)(5)(iv) of this section apply: youths from public or other federally demonstrate that the funded activity (i) The provision of training, assisted low-income housing projects will represent an increase over this communications equipment, and other and are operated in conjunction with, or baseline. related equipment (including uniforms), in furtherance of, an organized program (ii) Communications and security for use by voluntary tenant patrols or plan designed to reduce or eliminate equipment to improve the collection, acting in cooperation with officials of drugs and drug-related problems in and analysis, and use of information about local law enforcement agencies is around such projects, as provided in 42 drug-related or violent criminal permitted. Grantees are required to U.S.C. 11903(a)(8). activities in a public housing obtain liability insurance to protect (9) Eliminating drug-related and community may be eligible items if used themselves and the members of the violent crime in PHA-owned housing, exclusively in connection with the voluntary tenant patrol against potential under the Public Housing Program, as establishment of a law enforcement liability for the activities of the patrol. provided in 42 U.S.C. 11903(b). substation on the funded premises or The cost of this insurance will be (b) Ineligible activities. For purposes scattered site developments of the considered an eligible program expense. of PHDEP, funding is not permitted: applicant. Funds for activities under (ii) The applicant, the cooperating (1) For activities not included under this section may not be drawn until the local law enforcement agency, and the paragraph (a) of this section; grantee has executed a contract for the members of the tenant patrol are (2) For costs incurred before the additional law enforcement services. required, before putting the tenant effective date of the grant agreement; (3) For the costs related to screening (3) Physical improvements to enhance patrol into effect, to enter into and or evicting residents for drug-related security, as provided in 42 U.S.C. execute a written agreement that crime. However, investigators funded 11903(a)(3). For purposes of PHDEP, the describes the following: under this program may participate in following provisions in paragraphs (A) The nature of the activities to be judicial and administrative proceedings; (a)(3)(i) through (a)(3)(iv) of this section performed by the tenant patrol, the (4) For previously funded activities apply: patrol’s scope of authority, and how the determined by HUD on a case-by-case (i) An activity that is funded under patrol will coordinate its activities with basis to be unworthy of continuation. any other HUD program shall not also the local law enforcement agency; 10. Section 761.20 is revised to read be funded by this program. (B) The types of activities that a as follows: (ii) Funding is not permitted for tenant patrol is expressly prohibited physical improvements that involve the from undertaking, to include but not § 761.20 Selection requirements. demolition of any units in a limited to, the carrying or use of (a) PHDEP selection. Every PHA, development. firearms or other weapons, nightsticks, NAHASDA recipient, RMC and
VerDate 06-MAY-99 13:24 May 11, 1999 Jkt 183247 PO 00000 Frm 00008 Fmt 4701 Sfmt 4702 E:\FR\FM\12MYP2.XXX pfrm07 PsN: 12MYP2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Proposed Rules 25743 consortium that meets the requirements established for each category of funded partnerships—in particular, firm of § 761.15 in a FFY will be selected for activities, including drug prevention, commitments by organizations funding in that FFY and, subject to drug intervention, drug treatment, providing funding, services, or other in- meeting the performance requirements tenant patrols, and physical kind resources for PHDEP-funded of § 761.23, for four additional FFYs. improvements. The plan under this activities (e.g., memorandum of (b) AHDEP selection. HUD will section serves as the application for agreement, letter of firm commitment). publish specific Notices of Funding PHDEP funding, and an otherwise The partnership agreement must cover Availability (NOFAs) in the Federal qualified recipient that does not submit the applicable funding period. Register to inform the public of the a PHDEP plan as required will not be (5) MTCS reporting. Grantees must availability of AHDEP grant amounts funded. For AHDEP funding, NOFAs maintain a level of compliance with under this part 761. The NOFAs will published in the Federal Register may MTCS reporting requirements that is provide specific guidance with respect provide additional information on plan satisfactory to HUD. to the grant process, including requirements for purposes of this (b) Planning and reporting identifying the eligible applicants; section. Plans must meet the requirements. (1) Planning consistency. deadlines for the submission of grant requirements of this section before grant PHDEP funded activities must be applications; the limits (if any) on funds are distributed. HUD will review consistent with the most recent HUD- maximum grant amounts; the the submitted plans for a determination approved PHA Plan or Indian Housing information that must be submitted to of whether they meet the requirements Plan, as appropriate. AHDEP funded permit HUD to score each of the of this section. activities must be consistent with the selection criteria; the maximum number (b) Additional requirements for most recent Consolidated Plan under 24 of points to be awarded for each consortia. In addition to meeting the CFR part 91 for the community. selection criterion; the contents of the requirements of paragraph (a) of this (2) Demonstration of coordination plan for addressing drug-related and section, to receive funding under this with other law enforcement efforts. Each violent crime that must be included part, a consortium’s plan must include grantee must demonstrate to HUD that with the application; the listing of any a written agreement, signed by an it consulted with local law enforcement certifications and assurances that must authorized representative of each authorities and other local entities in be submitted with the application; and consortium member, that designates a the preparation of its plan for the process for ranking and selecting lead applicant for purposes of grant addressing the problem of drug-related applicants. NOFAs will also include any funding and administration, and as a and violent crime under § 761.21. additional information, factors, and central point of contact, and describes Furthermore, a grantee must requirements that HUD has determined the activities and responsibilities that demonstrate to HUD that its grant- to be necessary and appropriate to each consortium member is bound to funded activities are coordinated with provide for the implementation and undertake. other anti-crime and anti-drug administration of AHDEP under this 11. A new § 761.23 is added to read programs, such as Operation Safe Home, part 761. as follows: Operation Weed and Seed, and the Safe 10. A new § 761.21 is added to read Neighborhoods Action Program as follows: § 761.23 Grantee performance operating in the community, if requirements. applicable. § 761.21 Plan requirement. (a) Basic grantee requirements. (1) (3) Compliance with reporting (a) General requirement. To receive Compliance with civil rights requirements. Grantees must provide funding under this part, each PHDEP requirements. Grantees must be in periodic reports consistent with this qualified recipient or AHDEP applicant compliance with all fair housing and part at such times and in such form as must submit to HUD a plan for civil rights laws, statutes, regulations, is required by HUD. addressing the problem of drug-related and executive orders as enumerated in (4) Reporting on drug-related and and violent crime in and around the 24 CFR 5.105(a). Federally recognized violent crime. Grantees must report any housing covered by the plan. If the plan Indian tribes must comply with the Age change or lack of change in crime covers more than one development, it Discrimination Act of 1975 and the statistics—especially drug-related crime does not have to address each Indian Civil Rights Act. and violent crime—or other relevant development separately if the same (2) Adherence to the grant agreement. indicators drawn from the applicant’s or activities will apply to each The grant agreement between HUD and grantee’s evaluation and monitoring development. The plan must address the grantee incorporates the grantee’s plan, IHP or PHA Plan. The grantee each development separately only application and plan for the must also indicate, if applicable, how it where program activities will differ implementation of grant-funded is adequately addressing any from one development to another. The activities. recommendations emanating from other plan must include a description of the (3) Compliance with ‘‘baseline’’ anti-crime and anti-drug programs, such planned activity or activities, a funding requirement. Grantees may not as Operation Safe Home, Operation description of the role of plan partners use grant funds to reimburse law Weed and Seed, and the Safe and their contributions to carrying out enforcement agencies for ‘‘baseline’’ Neighborhoods Action Program, the plan, a budget and timetable for community safety services. Grantees operating in the community and is implementation of the activities, and the must adhere to 24 CFR 761.17(a)(2)(i), taking appropriate actions, in view of funding source for each activity, reimbursement of local law enforcement available resources, such as post- identifying in particular all activities to agencies for additional security and enforcement measures, to take full be funded under this part. In addition, protective services. In addition, grantees advantage of these programs. the plan must set measurable must provide to HUD a description of (c) Performance requirements. (1) performance goals and interim the baseline of services for the unit of Timely obligation and expenditure of milestones for the PHDEP-supported general local government in which the grant funds. The HA must obligate and activities and describe the system for jurisdiction of the agency is located. expend funds in compliance with all monitoring and evaluating these (4) Partnerships. Grantees must funding notifications, regulations, activities. Measurable goals must be provide HUD with evidence of notices, and grant agreements. In
VerDate 06-MAY-99 13:24 May 11, 1999 Jkt 183247 PO 00000 Frm 00009 Fmt 4701 Sfmt 4702 E:\FR\FM\12MYP2.XXX pfrm07 PsN: 12MYP2 25744 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Proposed Rules addition, the HA must obligate at least measurable goals for PHDEP-funded Indian Organizations and Indian Owned 50 percent of funds under a particular activities with respect to the overall Economic Enterprises. grant within 12 months of the execution reduction of violent crime and drug use. (f) Intergovernmental Review. The of the grant agreement, and must (d) Other requirements. HUD reserves requirements of Executive Order 12372 expend at least 25 percent of funds the right to add additional performance (3 CFR, 1982 Comp., p. 197) and the under a particular grant within 12 factors consistent with this rule and regulations issued under the Order in 24 other related statutes and regulations on months of the execution of the grant CFR part 52, to the extent provided by a case-by-case basis. agreement. Federal Register notice in accordance (2) Operational monitoring and (e) Sanctions. A grantee that fails to satisfy the performance requirements of with 24 CFR 52.3, apply to these evaluation system. The grantee must programs. demonstrate that it has a fully this section may be subject to the (g) Environmental review. Grants operational system for monitoring and sanctions listed in § 761.30(f)(2). 12. In § 761.40, paragraphs (e), (f) and under this part 761 are categorically evaluating its grant-funded activities. A (g) are revised to read as follows: excluded from review under the monitoring and evaluation system must National Environmental Policy Act of collect quantitative evidence of the § 761.40 Other Federal requirements. 1969 (NEPA) (42 U.S.C. 4321), in number of persons and units served, * * * * * accordance with 24 CFR 50.19(b)(4), including youth served as a separate (e) Indian preference. For purposes of (b)(12), or (b)(13). If grant funds will be category, types of services provided, and PHDEP, NAHASDA recipients are used to cover the cost of any non- the impact of such services on the subject to the Indian Civil Rights Act (24 exempt activities, HUD will perform an persons served. Also, the monitoring U.S.C. 1301), and the provisions of environmental review to the extent and evaluation system must collect section 7(b) of the Indian Self- required by 24 CFR part 50, prior to quantitative and qualitative evidence of Determination and Education grant awards. the impact of grant-funded activities on Assistance Act (25 U.S.C. 450e(b)). the public housing or other housing, the These provisions require that, to the Dated: April 21, 1999. community and the surrounding greatest extent feasible, preference and Deborah Vincent, neighborhood. opportunities for training and General Deputy Assistant Secretary for Public (3) Reduction of violent crime and employment be given to Indians, and and Indian Housing. drug use. The grantee must demonstrate that preference in the award of [FR Doc. 99–11918 Filed 5–11–99; 8:45 am] that it has established, and is attaining, subcontracts and subgrants be given to BILLING CODE 4210±33±P
VerDate 06-MAY-99 13:24 May 11, 1999 Jkt 183247 PO 00000 Frm 00010 Fmt 4701 Sfmt 4702 E:\FR\FM\12MYP2.XXX pfrm07 PsN: 12MYP2 eDt 6MY9 32 a 1 99Jt134 O000Fm001Ft41 ft41 :F\MA2Y.0 fm7PsN:12MYN2 pfrm07 E:\FR\FM\A12MY3.002 Sfmt4717 Fmt4717 Frm00001 PO00000 Jkt183247 13:27May11, 1999 VerDate 06-MAY-99 federal register May 12,1999 Wednesday Program; Notice Public HousingDrugElimination Notice ofFundingAvailabilityforthe Withdrawing andReissuingFY1999 Development Housing andUrban Department of Part VI 25745 25746 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Notice
DEPARTMENT OF HOUSING AND speech-impaired individuals may access Available Funds. Approximately URBAN DEVELOPMENT this number via TTY by calling the toll- $242,750,000 is available during FY 99 free Federal Information Relay Service for PHDEP grants. [Docket No. FR±4451±N±03] at 1–800–877–8339. Eligible Applicants. Public Housing Notice Withdrawing and Reissuing FY SUPPLEMENTARY INFORMATION: Authorities (PHAs), Tribes, or Tribally 1999 Notice of Funding Availability for Designated Housing Entities (TDHEs) on Background the Public Housing Drug Elimination behalf of the Tribe. Application Deadline. June 16, 1999. Section 586 of the Quality Housing Program Match. None and Work Responsibility Act of 1998 AGENCY: Office of the Assistant (Pub.L. 105–276, 112 Stat. 2461, II. Application Due Date, Application Secretary for Public and Indian approved October 21, 1998) (Public Kits, Address for Submitting Housing, HUD. Housing Reform Act) made important Applications, Further Information and ACTION: Notice Withdrawing and changes to PHDEP, including Technical Assistance Reissuing FY 1999 Notice of Funding authorizing the Secretary to make Application Due Date. Applications Availability (NOFA) for the FY 1999 renewable grants. An Advance Notice of (an original and two copies) are due on Public Housing Drug Elimination Proposed Rulemaking published in the or before 6:00 pm local time on June 16, Program (PHDEP). Federal Register of February 18, 1999 1999 at the address shown below. (64 FR 8210) announced HUD’s SUMMARY: The Department of Housing For Application Kits. To receive a intention to develop, through proposed and Urban Development (HUD) is copy of the Public Housing Drug rulemaking, a formula allocation withdrawing the FY 1999 NOFA for the Elimination Program (PHDEP) funding for PHDEP. Elsewhere in this Public Housing Drug Elimination application kit please call the issue of the Federal Register HUD has Program (PHDEP) published in the SuperNOFA Information Center at 1– published a proposed rule on PHDEP Federal Register of February 26, 1999 800–HUD–8929. Persons with hearing formula allocation. (64 FR 9745) and reissuing a NOFA that or speech impairments may call the requests less information. Elsewhere in Depending on the outcome of the Center’s TTY number at 1–800–483– this issue of the Federal Register is proposed rulemaking on a formula 2209. When requesting an application HUD’s proposed rule to implement the allocation of PHDEP funds, HUD may kit, please refer to the Public Housing distribution of PHDEP funding under a award FY 1999 funds by a Drug Elimination Program (PHDEP). non-competitive formula. The noncompetitive formula. However, at Please provide your name, address information requested by this notice this time, in order to reduce the (including zip code, and telephone will be used by HUD whether or not reporting burden required of applicants, number (including area code). Although funds are distributed competitively, and expedite processing of FY 1999 funding this Notice is the governing document will reduce the current reporting burden awards and avoid an interruption in the for FY 1999 PHDEP funding, the on applicants. This action is intended to funding process, HUD is withdrawing information in the application kit is prevent an interruption in the funding the FY 1999 Notice of Funding helpful to the extent the application kit process while issues related to the Availability (NOFA) for the FY 1999 is consistent with this Notice, and the proposed rule are resolved. Public Housing Drug Elimination blank forms contained in Section I of Program (PHDEP). Instead, HUD is the application kit, beginning on page I– DATES: Requested information should be requesting the information described 19, should still be used. submitted by June 16, 1999. below to be submitted by June 16, 1999. Address For Submitting Applications. ADDRESSES: Submit an original and two The information solicited under this Submit an original and two identical copies of the information requested to Notice will not be a part of the copies of the application by the the local Field Office with delegated rulemaking record. application due date at the local Field public housing responsibilities: Office with delegated public housing Withdrawal of FY 1999 Notice of Attention: Director, Office of Public responsibilities: Attention: Director, Funding Availability (NOFA) for the Housing, or, in the case of the Tribes or Office of Public Housing, or, in the case HUD Public and Indian Housing Drug Tribally Designated Housing Entities of the Tribes or TDHEs, to the local Elimination Program (TDHEs), to the local HUD HUD Administrator, Area Office of Administrator, Area Office of Native Accordingly, the FY 1999 Public and Native American Programs (AONAP), as American Programs (AONAP), as Indian Housing Drug Elimination appropriate. For a listing of Field appropriate. For a listing of Field Program NOFA, published in the Offices, please see the application kit, or Offices, please see the application kit, or Federal Register of February 26, 1999 the Appendix published in the February the Appendix published in the February (64 FR 9745), is hereby withdrawn. 26, 1999 SuperNOFA at 64 FR 9767. 26, 1999 SuperNOFA at 64 FR 9767. For Further Information and Reissuance of FY 1999 Notice of FOR FURTHER INFORMATION CONTACT: Technical Assistance. Please call the Bertha M. Jones, Program Analyst, Funding Availability (NOFA) for the local HUD Field Office HUB with Community Safety and Conservation HUD Public and Indian Housing Drug delegated housing responsibilities for Division, Office of Public and Indian Elimination Program your housing agency, the Area Office of Housing, Department of Housing and Accordingly, the FY 1999 Public and Native American Programs (AONAPs) Urban Development, 451 Seventh Street, Indian Housing Drug Elimination with jurisdiction over your Tribe or SW, Washington, DC 20410, telephone Program NOFA is hereby reissued as Tribally Designated Housing Entity (202) 708–1197 x.4237; or Tracy C. follows: (TDHE), HUD’s Drug Information and Outlaw, National Office of Native Strategy Clearinghouse (DISC) at 1–800– I. Program Overview American Programs, Department of 952–2232; or Bertha M. Jones, Program Housing and Urban Development, 1999 Purpose of the Program. To provide Analyst, in the Community Safety and Broadway, Suite 3390, Denver, CO grants to eliminate drugs and drug- Conservation Division, Office of Public 80202, telephone (303) 675–1600 (these related crime in public housing and and Indian Housing, Department of are not toll-free numbers). Hearing or Indian communities. Housing and Urban Development, 451
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Seventh Street, SW, Room 4206, $25,000, the minimum award amount, with substantial drug-related crime in Washington, DC 20410, telephone (202) or $220 per unit for the applicant’s total and around their premises are strongly 708–1197, extension 4237; or Tracy C. unit count computed in accordance encouraged to apply. Outlaw, National Office of Native with section IV.(H) of this Notice, (D) Eligible/Ineligible Activities. American Programs, Department of below, with a maximum award amount Under statute, PHDEP grants may be Housing and Urban Development, 1999 of $35 million. used for seven types of activities Broadway, Suite 3390, Denver, CO (D) A timetable that shows the start including: Physical improvement 80202, telephone (303) 675–1600. (With and end date for each activity with specifically designed to enhance the exception of the ‘‘1–800’’ telephone intermediate achievement milestones security; Programs designed to reduce number, these are not toll-free for each activity. use of drugs in and around public or numbers.) (E) A description of the role of each Indian housing developments including partner, if any, who will be working III. Submission Requirements drug-abuse prevention, intervention, with the applicant during the grant referral, and treatment; Funding for non- In order to expedite its process for period to implement the activities profit public housing resident awarding FY 1999 funding, HUD is identified in the submission, including management corporations (RMCs), requesting that applicants submit the a description of subgrantees, if Resident Councils (RCs), and Resident following information. The blank forms applicable. The description must Organizations (ROs) to develop security contained in Section I of the application include the names of subgrantees, as and drug abuse prevention programs kit, beginning on page I–19, should still well as the relative roles and involving site residents; Employment of be used. Applicants who do not submit contributions of each subgrantee in security personnel; Employment of the information in response to this implementing the PHDEP grant personnel to investigate and provide notice will not be disadvantaged in the activities. evidence in administrative or judicial funding process for FY 1999. HUD will (F) A summary of the proposed proceeding; Reimbursement of local law publish another notice this Fiscal Year program activities in five (5) sentences enforcement agencies for additional with additional information on the or less. security and protective services; and funding process. Training, communications equipment, (A) The locations and unit counts of IV. Program Requirements and related equipment for use by the developments that are targeted for (A) General Requirements. Sections II FY 1999 PHDEP assistance. and VII of the General Section of the voluntary tenant patrols. Applicants (B) A plan for addressing the problem SuperNOFA published on February 26, may choose eligible activities that best of drug-related crime and the problems 1999 (64 FR 9618), continue to apply to fit their communities’ needs. associated with drug-related crime in this Notice. Following is a discussion by activity the developments targeted for funding, (B) Program Description. Funds are type of: what is fundable; what is not that describes each of the activities to be available for Public Housing Authorities fundable; and specific requirements. implemented at each of the targeted (PHAs), Tribes or Tribally Designated (1) Physical Improvements to Enhance developments and the particular Housing Entities (TDHEs) to develop Security. (a) Physical improvements problem that each activity is intended to and finance drug and drug-related crime specifically designed to enhance address (see sections IV.(D) and (E) of elimination efforts in their security may include: installing barriers, this Notice, below, for a description of developments. You may use funds for speed bumps, lighting systems, fences, eligible and ineligible activities). The enhancing security within your surveillance equipment (e.g., Closed applicant should describe how each developments, making physical Circuit Television (CCTV), computers activity fits in with the goals and improvements to enhance security; and/ and software, fax machines, cameras, objectives that the applicant could or developing and implementing monitors, and supporting equipment), achieve over a five-year period. The prevention, intervention and treatment bolts, locks, and landscaping or applicant should also set goals for each programs to stop drug use in public and reconfiguring common areas to year for each activity. There should also Indian housing communities. discourage drug-related crime. be a description of the quantitative and/ In FY 1999, HUD is requiring all (i) All physical improvements must be or qualitative measures that the applicants to establish measurable accessible to persons with disabilities. applicant will use to assess its progress baseline information and realistic goals For example, locks or buzzer systems toward achieving its goals for each for drug-related crime in Public Housing that are not accessible to persons with activity. Where quantitative measures and for all major PHDEP activities being restricted or impaired strength, will be used, the applicant must provide proposed. In addition, HUD is mobility, or hearing may not be funded baseline data that describes current developing a formula based system for by PHDEP. Defensible space conditions and that will be compared to use in awarding PHDEP grants. improvements must comply with civil conditions over the grant term as a (C) Eligible Applicants. Eligible rights requirements and cannot exclude measure of the applicant’s performance. applicants include PHAs, Tribes or or segregate people because of their Where only qualitative measures are TDHEs. (A Tribe can apply either in its race, color, or national origin from used, the applicant must describe why own name or through its TDHE. A benefits, services, or other terms or no quantitative data could be applied to TDHE cannot apply on behalf of a Tribe conditions of housing. All physical the activity in question. See also that is applying on its own behalf.) improvements must meet the specific plan requirements in section IV Resident Management Corporations accessibility requirements of 24 CFR of this Notice, below, regarding Housing (RMCs); and incorporated Resident part 8. Authority Police Departments. Councils (RCs) are eligible for funding (ii) Funding is permitted for the (C) A budget for each fiscal year of the from PHAs as sub-grantees. RMCs and purchase or lease of house trailers of grant period (may not exceed 24 ROs that were operating pursuant to 24 any type that are not designated as a months) which estimates amounts to be CFR part 950 are eligible for funding building if they are used for eligible expended for the activities set forth in from Tribes or TDHEs as subgrantees to community policing, educational, their submission. The budget shall develop security and substance abuse employment, and youth activities. A assume funding of the greater of prevention programs. Eligible applicants justification of purchase versus lease
VerDate 06-MAY-99 13:27 May 11, 1999 Jkt 183247 PO 00000 Frm 00003 Fmt 4701 Sfmt 4703 E:\FR\FM\A12MY3.003 pfrm07 PsN: 12MYN2 25748 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Notice must be supported by a cost-benefit For all activities involving education, reducing drugs and drug-related crime. analysis prior to purchase or lease. training and employment, you should Refer to Office of Management and (b) Ineligible Improvements. The document efforts to coordinate with Budget (OMB) Circular A–87, Cost following are ineligible for funding: Federal, Tribal, State and local Principles for State, Local and Indian (i) Physical improvements that employment training and development Tribal Governments. involve demolishing any units in a services, ‘‘welfare to work’’ efforts, or (d) Prevention. Prevention programs development; other new ‘‘welfare reform’’ efforts. should provide directly, or otherwise (ii) Physical improvements that would The current Diagnostic and Statistical make available, services designed to displace persons; Manual (DSM) of Mental Disorders of distribute substance/drug education (iii) Acquiring real property. the American Psychiatric Association information, to foster effective parenting (2) Programs to Reduce Drug Use dated May 1994, contains information skills, and to provide referrals for (Prevention, Intervention, Treatment, on substance abuse, dependency and treatment and other available support Structured Aftercare and Support structured aftercare. For more services in the housing development or Systems). (a) General Requirements and information about this reference, the community for housing authority Strategies. Any substance abuse contact: APPI, 1400 K. Street, NW, Suite families. prevention, intervention, treatment, and 1100, Washington, DC 20005 on 1(800) Prevention programs should provide aftercare program should use a 368–5777 or World Wide Web site at an effective prevention approach for residents that address the individual ‘‘continuum of care’’ approach. A http://www.appi.org. Eligible activities may include: resident and his or her relationship to ‘‘continuum of care’’ approach includes (i) Substance abuse prevention, family, peers, and the community. Your not just treating the addiction or intervention, and referral programs; prevention programs activities should dependency but providing aftercare, (ii) Programs of local social, faith- identify and change the causal factors mentoring, and support services such as based and/or other organizations that present in housing authorities that lead day care, family counseling, education, provide treatment services (contractual to drug-related crime thereby lowering training, employment development or otherwise) for dependency/remission; the risk of drug usage. Components of opportunities, and other activities. and an effective approach may include, but You should develop a substance (iii) Structured aftercare/support are not limited to, wellness and abuse/sobriety (remission)/treatment system programs. educational training; substance abuse (dependency) strategy to adequately (b) Activities must be ‘‘in and sobriety, refusal and restraint skills plan your substance abuse prevention, around’’. PHDEP funding is permitted training programs; or drug, substance intervention, treatment, and structured for programs that reduce/eliminate abuse/dependency and family aftercare efforts. In many cases, you may drug-related crime ‘‘in and around’’ the counseling. These may already be want to include education, training, and premises of the housing authority/ available in the community of your employment opportunities for residents; development(s). HUD has defined the housing developments and should be and support Welfare to Work initiatives. term ‘‘in and around’’ to mean within, included to the maximum extent When undertaking these activities, you or adjacent to, the physical boundaries possible in your proposed program of should be leveraging your PHDEP of a public or Indian housing activities. resources with other Federal, State, development. This ensures that program The following eligible activities under local and Tribal resources. For example, funds and activities are targeted to a prevention program are discussed in your program may include providing benefit, as directly as possible, public more detail below: educational space and other infrastructure for these and Indian housing developments and opportunities; family and other support efforts with several public agencies their residents. services; youth services; and economic providing staff and other resources at (c) Eligible cost. (i) Funding is and educational opportunities for limited or no cost. Your strategy must permitted for reasonable, necessary, and resident adult and youth activities. incorporate existing community justified purchasing or leasing (i) Educational Opportunities. The resources and you must document how (whichever is documented as the most causes and effects of illegal drug/ they will be used in your program. The cost effective) of vehicles for substance abuse must be taught in a strategy should also document how transporting adult and youth residents culturally appropriate and structured community resources will be provided for education, job training, and off-site setting. You may contract (in on-site, or how participants will be treatment programs directly related to accordance with 24 CFR 85.36) to referred and transported to treatment reducing drugs and drug-related crime. provide such knowledge and skills programs that are not on-site. The cost reasonableness can be through training programs. The A community-based approach also determined by a comparison of the professionals contracted to provide requires you to develop a culturally number of participants in and these services are required to base their appropriate strategy. Curricula, anticipated costs of these programs services on your needs assessment and activities, and staff should address the compared to the purchase or lease cost program plan. These educational cultural issues of the local community, of the vehicles. If these costs are opportunities may be a part of resident which requires your application to included in your program, your plan meetings, youth activities, or other indicate your familiarity and facility must include a description of why the gatherings of public and Indian housing with the language and cultural norms of expenses are necessary. The primary use residents. the community. As applicable, your of such vehicles must correspond with (ii) Family and Other Support strategy should address cultural their intended purposes under your Services. ‘‘Supportive services’’ are competencies associated with Hispanic, grant. services that allow housing authority African-American, Asian, Native (ii) Funding is permitted for families to have access to prevention, American or other racial or ethnic reasonable, necessary and justified educational and employment communities. program costs, such as meals and opportunities. Supportive services may Your activities should focus resources beverages incurred only for training, include: child care; employment directly to housing authority residents education and employment activities, training; computer skills training; and families. and youth services directly related to remedial education; substance abuse
VerDate 06-MAY-99 13:27 May 11, 1999 Jkt 183247 PO 00000 Frm 00004 Fmt 4701 Sfmt 4703 E:\FR\FM\A12MY3.004 pfrm07 PsN: 12MYN2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Notice 25749 counseling; help in getting a high school Any economic and educational included, but are not limited to, the equivalency certificate; and other opportunities for residents and youth following: services to reduce drug-related crime. activities should be consistent with (1) Formal referral arrangements to (iii) Youth Services. ‘‘Educating and ‘‘welfare to work’’ and related Federal, other treatment programs in cases where enabling America’s youth to reject Tribal, State and local government the resident is able to obtain treatment illegal drugs’’ is Goal #1 of the Office of efforts for employment training, costs from sources other than this National Drug Control Policy (ONDCP) education and employment program. top five goals in the Nation’s Drug opportunities related to ‘‘welfare to (2) Family/youth counseling. Control Strategy. Activities that target work’’ goals. Establishing or referring (3) Linkages to educational and youth further this goal. Youth drug and adults and youth to computer learning vocational training and employment crime prevention programs must centers, employment service centers counseling. include, but are not limited to, groups (coordinated with Federal, Tribal, State (4) Coordination of services from and composed of young people ages 16 and local employment offices), and to appropriate local substance abuse/ through 18. Your youth drug and crime micro-business centers are eligible. treatment agencies, HIV-related service prevention activities should be Limited educational scholarships are agencies, mental health and public coordinated by adults but have housing permitted under this section. No one health programs. authority youth actively involved in individual award may exceed $500.00, (v) As applicable, you must develop a organizing youth leadership, sports, and there is a total maximum working partnership with the Single recreational, cultural and other scholarship program cap of $10,000. State Agency or local, Tribal or State activities. Eligible youth services may Educational scholarship FY 1999 license provider or authority with include: youth sports; youth leadership PHDEP funds must be obligated and substance abuse program(s) skills training; cultural and recreational expended during the term of your grant. coordination responsibilities to activities. These youth services provide You should develop and document a coordinate, develop and implement an alternative to drugs and drug-related scholarship strategy; the financial and your substance dependency treatment criminal activity for public housing and management controls that will be used; program. Native American youth. Youth and projected outcomes. (vi) You must use counselors leadership skills training may include (e) Intervention. The aim of (contractual or otherwise) that meet any training in leadership, peer pressure intervention is to identify or detect applicable Federal, State, Tribal, and reversal, resistance or refusal skills, life residents with substance abuse issues, local government licensing, bonding, skills, goal planning, parenting skills, assist them in modifying their behavior, training, certification and continuing and other relevant topics. Youth and in getting early treatment, and training re-certification requirements. leadership training should be designed structured aftercare. (vii) You must get certification from to place youth in leadership roles (f) Substance Abuse/Dependency the Single State Agency or authority including: mentors to younger program Treatment. (i) Treatment funded under with substance abuse and dependency participants, assistant coaches, this program should be ‘‘in and around’’ programs coordination responsibilities managers, and team captains. Cultural the premises of the housing authority/ that your proposed program is and recreational activities may include development(s) you proposed for consistent with the State plan; and that ethnic heritage classes, art, dance, funding. In undertaking substance the service(s) meets all Federal, State, drama and music appreciation. abuse/dependency treatment programs, Tribal and local government medical The following are eligible youth you must establish a confidentiality licensing, training, bonding, and services activities: (1) Salaries and expenses for staff for policy regarding medical and disability certification requirements. youth sports programs and cultural related information. (viii) Funding is permitted for drug activities and leadership training; (ii) Funds awarded for substance treatment of housing authority residents (2) Sports and recreation equipment abuse/dependency treatment must be at local in-patient medical treatment to be used by participants; targeted towards developing and programs and facilities. PHDEP funding (3) Non-profit subgrantees that implementing, or expanding and for structured in-patient drug treatment provide scheduled organized sports improving sobriety maintenance, under PHDEP funds is limited to 60 competitions, cultural, educational, substance-free maintenance support days, and structured drug out-patient recreational or other activities, groups, substance abuse counseling, treatment, which includes individual/ including: Boys and Girls Clubs, referral treatment services, and short or family aftercare, is limited to 6 months. YMCAs, YWCAs, the Inner City Games, long range structured aftercare for If you are undertaking drug treatment Association of Midnight Basketball residents. programs, your program should provide, Leagues. (iii) Any drug program should address directly or indirectly, employment (4) Liability insurance costs for youth the following goals for residents: training, education and employment sports activities. (1) Increasing accessibility of opportunities related to ‘‘welfare to (iv) Economic and Educational treatment services; work.’’ Opportunities for Resident Adult and (2) Decreasing drug-related crime ‘‘in (ix) Funding is permitted for Youth. Any economic and educational and around’’ your housing authority/ detoxification procedures designed to activities should provide residents development(s) by reducing and/or reduce or eliminate the short-term opportunities for interaction with, or eliminating drug use.; and presence of toxic substances in the body referral to, established higher education, (3) Providing services designed for tissues of a patient. vocational institutions and/or private youth and/or adult drug abusers and (x) Funding is not permitted for sector businesses in the immediate recovering addicts (e.g., prenatal and maintenance drug programs. surrounding communities with the goal postpartum care, specialized family and Maintenance drugs are medications that of developing or building on the parental counseling, parenting classes, are prescribed regularly for a short/long residents’ skills to pursue educational, domestic or youth violence counseling). period of supportive therapy (e.g. vocational and economic goals and (iv) Approaches that have proven methadone maintenance), rather than become self-sufficient. effective with similar populations have for immediate control of a disorder.
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(3) Resident Management (i) The activities security guard records management for the daily Corporations (RMCs), Resident Councils personnel or the public housing activity and incident complaint forms (RCs), and Resident Organizations authority police department (HAPD) that appropriately ensures the (ROs). RMCs, and incorporated RCs and will perform; the scope of authority; confidentially of personal criminal ROs, may be a subcontractor to their written policies, procedures, and information. housing authorities, or Tribe/TDHE, to practices that will govern security (e) Management Informational develop security and substance abuse personnel or HAPD performance (i.e., a Systems (MIS) (computers, software, prevention programs for residents. Such policy manual and how security guard and associated equipment) and programs may include voluntary tenant personnel or the HAPD shall coordinate management personnel. Costs in patrol activities, substance abuse activities with your local law support of these activities are eligible education, intervention, and referral enforcement agency); for funding. programs, youth programs, and outreach (ii) The types of activities that your (5) Security Personnel Services. efforts. The elimination of drug-related approved security guard personnel or Contracting for, or direct housing crime within housing authorities/ the HAPD are expressly prohibited from authority employment of, security developments must have the active undertaking. personnel services in and around involvement and commitment of public (c) Policy Manual. Security guard housing development(s) is permitted and Indian housing residents and their personnel services and PHPDs must be under this program. However, contracts organizations. Active involvement guided by a policy manual that directs for security personnel services must be requires that residents be involved in the activities of its personnel and awarded on a competitive basis. the planning process and contains the policies, procedures, and (a) Eligible Services—Over and Above. implementation. general orders that regulate conduct and Security guard personnel funded by this To enhance the ability of housing describes in detail how jobs are to be program must perform services that are authorities, and Tribes/TDHEs, to performed. The policy manual must over and above those usually performed combat drug-related crime within their exist before incurring personnel costs by local municipal law enforcement developments, Resident Councils (RCs), for security services. To comply with agencies on a routine basis. Eligible Resident Management Corporations State police department standards and/ services may include patrolling inside (RMCs), and Resident Organizations or Commission on Accreditation Law buildings, providing personnel services (ROs) may undertake program Enforcement Agencies (CALEA), you at building entrances to check for proper management functions, notwithstanding must also ensure all security guard identification, or patrolling and the otherwise applicable requirements personnel and housing authority police checking car parking lots for appropriate of 24 CFR part 964. Sub-contracts with officers are trained in the following parking decals. the RMC/RC/RO must include the areas. These areas must also be covered (b) Employment of Residents. HUD amount of funding, applicable terms, in your policy manual: encourages you to employ qualified conditions, financial controls, payment (i) Use of force; resident(s) as security guard personnel, mechanism schedule, performance and (ii) Resident contacts; and/or to contract with security guard financial report requirements, special (iii) Enforcement of HA rules; personnel firms that demonstrate a conditions, including sanctions for (iv) Response criteria to calls; program to employ qualified residents violating the agreement, and monitoring (v) Pursuits; as security guard personnel. Since your requirements. Costs must not be (vi) Arrest procedures; program of eliminating drug-related incurred until a written contract is (vii) Reporting of crimes and crime should promote ‘‘welfare to executed. workload; work’’ an excellent way to implement (4) Employment of HA Security (viii) Feedback procedures to victims; this is to employ residents. Personnel. You may employ HA (ix) Citizens’ complaint procedures; (6) Employment of Personnel and security personnel. Employment of (x) Internal affairs investigations; Equipment for HUD Authorized security personnel is divided into two (xi) Towing of vehicles; Housing Authority Police Departments. categories: security personnel services, (xii) Authorized weapons and other Funding equipment and employment of and housing authority police equipment; housing authority police department departments. You are encouraged to (xiii) Radio procedures internally and (HAPD) personnel is permitted for involve police officials residing in with local police; housing authorities that already have public housing to partake in PHDEP (xiv) Training requirements; HAPDs. The following 12 housing security-related programs. The (xv) Patrol procedures; authorities are approved by HUD as following specific requirements apply to (xvi) Scheduling of meetings with being eligible under the FY 1999 PHDEP all employment of security personnel residents; for these activities: activities funded under PHDEP: (xvii) Reports to be completed; Baltimore Housing Authority and (a) Compliance. Security guard (xviii) Record keeping and position Community Development, Baltimore, personnel and public housing authority descriptions on all personnel; MD police departments must be in (xix) Post assignments; Boston Housing Authority, Boston, MA compliance with, all relevant Federal, (xx) Monitoring; Buffalo Housing Authority, Buffalo, NY State, Tribal or local government (xxi) Self-evaluation program Chicago Housing Authority, Chicago, IL insurance, licensing, certification, requirements; and Cuyahoga Metropolitan Housing training, bonding, or other law (xxii) First aid training. Authority, Cleveland, OH enforcement requirements. (d) Data Management. A daily activity Housing Authority of the City of Los (b) Law Enforcement Service and incident complaint form approved Angeles, Los Angeles, CA Agreement. You must enter into a law by the housing authority must be used Housing Authority of the City of enforcement service agreement with the by security personnel and officers for Oakland, Oakland, CA local law enforcement agency and if the collection and analysis of criminal Philadelphia Housing Authority, applicable, the contract provider of incidents and responses to service calls. Philadelphia, PA security. Your service agreement must Security guard personnel and HAPDs Housing Authority of the City of include: must establish and maintain a system of Pittsburgh, Pittsburgh, PA
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Waterbury Housing Authority, respond to crime and other public safety Cedric Brown, (202) 708–1197, Waterbury, CT incidents including: 911 extension 4057. Virgin Islands Housing Authority, communications, processing calls for (g) Authorized PHPDs can purchase or Virgin Islands service, routine patrol officer responses lease law enforcement clothing or District of Columbia Housing Authority, to calls for service, and investigative equipment. Eligible law enforcement Washington, DC follow-up of criminal activity. clothing or equipment may include (a) Notice PIH 98–16, issued March (e) If you are allocating funds for uniforms and protective vests; firearms/ 11, 1998, reinstated PIH 95–58 (PHA) housing authority public housing weapons and ammunition; police ‘‘Guidelines for Creating, Implementing authority police department officers, vehicles including cars, vans, buses; or and Managing Public Housing Authority you must have car-to-car (or other other equipment supporting PHPDs Police Departments in Public Housing vehicles) and portable-to-portable radio crime prevention and security mission. Authorities).’’ This Notice identifies communications links between public If you have not been identified by HUD prerequisites for creating HAPDs and housing authority police officers and as having an authorized PHPD, you are provides guidance to assist housing local law enforcement officers to assure not permitted to use PHDEP funds to authorities in making decisions about a coordinated and safe response to purchase any clothing or equipment for public housing security, analysis of crimes or calls for services. The use of use by local municipal police security needs, and performance scanners (radio monitors) is not departments and/or other law measures and outcomes. sufficient to meet the requirements of enforcement agencies. this section. If you do not have such (7) Reimbursement of Local Law (b) Housing authorities with their own links you must include in your plan a Enforcement Agencies for Additional HAPDs, but that are not included in the timetable for the implementation of (Supplemental—Over and Above Local list above, shall request (in writing) to such communications links. This Law Enforcement Baseline Services) be recognized by HUD as a HAPD. The activity is eligible for funding. If you Security and Protective Services. written request must be sent to the were a housing authority funded under Additional security and protective Office of the Deputy Assistant Secretary the FY 1994, 1995, 1996, 1997, and/or services are permitted if services are for Public and Assisted Housing 1998 PHDEP for public housing police over and above the local police Delivery, Public and Indian Housing, departments, you must include in your department’s current level of baseline Department of Housing and Urban plan what progress has been made in services. Housing authorities, Tribes, Development, Room 4204, 451 Seventh implementing its planned and TDHEs are required to identify the Street, SW, Washington, DC 20410. This communications links. level of local law enforcement services request must be approved by HUD (f) HAPDs funded under this program received and the increased level of before you submit your FY 1999 PHDEP that are not employing a community services to be received in their local application. policing concept must incorporate a Cooperation Agreement. (c)(i) HAPDs funded under this community policing concept in the (8) Employment of Investigators. program that are not nationally or state implementation of their policing Employment of, and equipment for, one accredited must submit a plan and activities. Community policing under or more individuals to investigate drug- timetable for such accreditation. PHDEP is defined as a method of related crime ‘‘in and around’’ the real Housing authorities may use either their providing law enforcement services property comprising your State accreditation program, if one partnership among residents, police, development(s) and providing evidence exists, or the Commission on schools, churches, government services, relating to such crime in any Accreditation for Law Enforcement the private sector, and other local, State, administrative or judicial proceedings is Agencies (CALEA) for this purpose. Use Tribal, and Federal law enforcement permitted. Under this section, of grant funds for HAPD accreditation agencies to prevent crime and improve reimbursable costs associated with the activities is permitted. the quality of life by addressing the investigation of drug-related crimes (ii) Housing authorities receiving conditions and problems that lead to (e.g., travel directly related to the grants for funding HAPDs are required crime and fear of crime. Community investigator’s activities, or costs to hire an HAPD accreditation specialist policing uses proactive measures associated with the investigator’s to manage the accreditation program. If including foot patrols, bicycle patrols, testimony at judicial or administrative you have a public housing police and motor scooters patrols. It also proceedings) may only be those directly department funded under the FY 1996, includes KOBAN activities where police incurred by the investigator. 1997, or 1998 PHDEP you must include officers operate out of police mini- (a) If you are a housing authority that in your plan what progress you made in stations, and other community-based employs investigators funded by this implementing your accreditation facilities in housing authorities program, you must demonstrate program and the projected date of providing human resource activities compliance with all relevant Federal, accreditation. HUD will monitor results with youth), and citizen contacts. This Tribal, State or local government of your plan and timetable. HAPDs not concept empowers police officers at the insurance, licensing, certification, meeting their timetables will be beat and zone level and residents in training, bonding, or other similar law ineligible for funding in FY 2000. neighborhoods to: enforcement requirements. (d) If you are allocating funds for this (i) Reduce crime and fear of crime; (b) Both you and the provider of the activity, you must describe the current (ii) Ensure the maintenance of order; investigative services are required to level of local law enforcement agency (iii) Provide referrals of residents, execute a written agreement that baseline services being provided to the victims, and homeless persons to social describes the following: housing authority/development(s) services and government agencies; (i) The activities that your proposed for assistance. Local law (iv) Ensure feedback of police actions investigators will perform, their scope of enforcement baseline services are to victims of crime; and (v) Promote a authority, reports to be completed, defined as ordinary and routine services law enforcement value system based on established investigative policies, provided to the residents as part of the the needs and rights of residents. procedures, and practices that will overall city and/or county-wide For additional information regarding govern their performance (i.e., a Policy deployment of police resources to KOBAN community policing contact Manual; and how your investigators will
VerDate 06-MAY-99 13:27 May 11, 1999 Jkt 183247 PO 00000 Frm 00007 Fmt 4701 Sfmt 4703 E:\FR\FM\A12MY3.008 pfrm07 PsN: 12MYN2 25752 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Notice coordinate their activities with local, themselves and the members of the for activities to eliminate drug-related State, Tribal, and Federal law voluntary tenant patrol against potential crime in housing owned by a public enforcement agencies); and prohibited liability for the activities of the patrol housing agency that is not public activities. under this program. The cost of this housing assisted under the United (ii) The activities the housing insurance is negligible. States Housing Act of 1937 and is not authority/Tribal investigators are (c) If you are funding voluntary tenant otherwise federally assisted. For expressly prohibited from undertaking. patrol activities, you, your local law example, housing that receives tenant (c) Your investigator(s) may use enforcement agency, and the tenant subsidies under Section 8 is federally PHDEP funds to purchase or lease any patrol, before expending grant funds, are assisted and would not qualify, but law enforcement clothing or equipment, required to execute a written agreement housing that receives only State, Tribal, such as vehicles, uniforms, ammunition, that includes: or local assistance would qualify if it firearms/weapons, or vehicles; (i) The nature of the activities to be meets the following two requirements: including cars, vans, buses, protective performed by your voluntary tenant (a) The housing is located in a high vests, and any other supportive patrol, the patrol’s scope of authority, intensity drug trafficking area equipment. assignment, policies, procedures, and designated pursuant to Section 1005 of (d) Your investigator(s) shall report on practices that will govern the voluntary the Anti-Drug Abuse Act of 1988 (see drug-related crime in your tenant patrol’s performance and how the Appendix A); and developments. You must establish, patrol will coordinate its activities with (b) The PHA owning the housing implement and maintain a system of the law enforcement agency; demonstrates, on the basis of records management that ensures (ii) The activities the voluntary tenant information submitted, that the drug- confidentiality of criminal records and patrol is expressly prohibited from related crime at the housing authority information. Housing authority- undertaking and that the carrying or use project has a detrimental affect in or approved activity forms must be used of firearms, weapons, nightsticks, clubs, around the housing. for collection, analysis and reporting of handcuffs, or mace is prohibited; The High Intensity Drug Trafficking activities by your investigators. You are (iii) Required initial and on-going Areas (HIDTAs) are areas identified as encouraged to develop and use voluntary tenant patrol training having problems that adversely impact Management Information Systems (MIS) members will receive from the local law the rest of the country. (Computers, software, hardware, and enforcement agency; (Please note that (E) Ineligible Activities. PHDEP associated equipment) and hire training by HUD-approved trainers and/ funding is not permitted for any of the management personnel for crime and or the local law enforcement agency is activities listed below. workload reporting in support of your required before putting a voluntary (1) Costs incurred before the effective crime prevention and security activities. tenant patrol into effect); and date of your grant agreement (Form (e) You may not expend funds and (iv) Voluntary tenant patrol members HUD–1044), including, but not limited funds will not be released by the local will be subject to individual or to, consultant fees related to the HUD Field Office/AONAP until you collective liability for any actions development of your application or the have met the requirements of section undertaken outside the scope of their actual writing of your application. IV.(6)(d) of this Notice. authority (described in paragraph (ii) (2) The purchase of controlled (9) Voluntary Tenant Patrols. HUD above) and that such acts are not substances for any purpose. Controlled believes the elimination of drug-related covered under your housing authority substance shall have the meaning crime within and around the housing liability insurance. provided in section 102 of the authority/development(s) requires the (d) PHDEP grant funds must not be Controlled Substance Act (21 U.S.C. active involvement and commitment of used for any type of financial 802). residents and their organizations. compensation, such as full-time wages (3) Compensation of informants, Members of tenant patrols must be or salaries for voluntary tenant and/or including confidential informants. volunteers and must be residents of the patrol participants. Funding for housing These should be part of the baseline housing authority’s development(s). authority personnel or resident(s) to be services provided and budgeted by local Voluntary tenant patrols are expected to hired to coordinate this activity is law enforcement agencies. patrol in your development(s) proposed permitted. Excessive staffing is not (4) Direct purchase or lease of for assistance, and to report illegal permitted. clothing or equipment, vehicles activities to appropriate housing (10) Evaluation of PHDEP Activities. (including cars, vans, and buses), authority staff, and local, State, Tribal, Funding is permitted to contractually uniforms, ammunition, firearms/ and Federal law enforcement agencies, hire organizations and/or consultant(s) weapons, protective vests, and any other as appropriate. to conduct an independent assessment supportive equipment for use in law (a) Training equipment, uniforms for and evaluation of the effectiveness of enforcement or military enforcement use by voluntary tenant patrols acting in your PHDEP program. You should except for HAPDs and investigator cooperation with officials of local law include in your plan and budget activities listed in this program enforcement agencies is permitted. All contracting with an independent survey requirements section. costs must be reasonable, necessary and organization to conduct an annual (5) Construction of facility space in a justified. Bicycles, motor scooters, all resident survey in your targeted building or unit, and the costs of season uniforms and associated developments/areas. The amount of retrofitting/modifying existing buildings equipment to be used, exclusively, by funding proposed for conducting owned by the housing authorities and the members of your voluntary tenant assessments or evaluations should be TDHEs for purposes other than: patrol are eligible items. Voluntary necessary, reasonable, and justified. community policing mini-station tenant patrol uniforms and equipment However, even if adequately justified, operations, adult/youth education, must be identified with your specific HUD would not expect that this cost employment training facilities, and drug housing authority/development(s) should exceed ten (10) percent of the abuse treatment activities. identification and markings. total grant amount requested. (6) Organized fund raising, (b) Housing authorities are required to (11) High Intensity Drug Trafficking advertising, financial campaigns, obtain liability insurance to protect Areas (HIDTAs). Funding may be used endowment drives, solicitation of gifts
VerDate 06-MAY-99 16:10 May 11, 1999 Jkt 183247 PO 00000 Frm 00008 Fmt 4701 Sfmt 4703 E:\FR\FM\12MYN2.XXX pfrm02 PsN: 12MYN2 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Notice 25753 and bequests, rallies, marches, category of PHDEP-supported activities, PHA-owned or Native American rental community celebrations, stipends and other than law enforcement, grantees housing, a long-term vacancy unit, as similar expenses. will report the results achieved using defined in 990.102 or 24 CFR 950.102 (7) Court costs and attorneys fees program or activity goals that are (as revised May 1, 1996), is still related to screening or evicting residents specific and measurable to the extent included in the count. If you are an for drug-related crime are not allowable. practicable. applicant for Native American housing (8) PHDEP grant funds cannot be In addition, all grantees shall be developments, you must certify that the transferred to any Federal agency. required, as indicated by written notice targeted units were covered by an ACC (9) Costs to establish councils, from HUD, to participate in HUD- on September 30, 1997. resident associations, resident sponsored training activities. HUD will (c) Use the number of units counted organizations, and resident corporations issue a separate notice containing the as Formula Current Assisted Stock for are not allowable. details for meeting performance Fiscal Year 1999 as defined in 24 CFR (10) Indirect costs are not allowable. reporting requirements. (11) Supplant existing positions/ (H) Computing Unit Counts. Unit 1000.316. activities. For purposes of the PHDEP, counts are to be computed as follows: (I) MTCS Compliance. PHAs, to supplanting is defined as ‘‘taking the (1) PHAs. (a) The unit count includes receive funding, must be in compliance place of or to supersede’’. rental, Turnkey III Homeownership, and with HUD Notice PIH 99–2, Reporting (12) Alcohol-exclusive activities and Section 23 leased housing bond- Requirements for Multifamily Tenant programs are not eligible for funding financed projects. Eligible units are Characteristics System (MTCS) (Form under this program, although activities those that are under management and HUD–50058). and programs may address situations of fully developed, and must be covered by multiple abuse involving controlled an Annual Contributions Contract (ACC) Authority substances and alcohol. PHDEP is during the period of grant award. In Chapter 2, Subtitle C, Title V of the limited to only controlled substances. determining unit count for PHA-Owned Anti-Drug Abuse Act of 1988 (42 U.S.C. (F) Commingling of Funds. Housing Rental Housing, a long-term vacancy 11901 et. seq), as amended by section authorities must not co-mingle funds of unit as defined in 24 CFR 990.102 is 581 of the National Affordable Housing multiple HUD programs including: included in the count. Act of 1990 (Pub.L. 101–625, approved Comprehensive Improvement (b) PHAs preparing PHDEP November 28, 1990) (NAHA), section Assistance Program (CIAP); applications are required to confirm/ 161 of the Housing and Community Comprehensive Grant Program (CGP); validate the unit count with the local Development Act of 1992 (Pub.L. 102– Economic Development and Supportive Field Office (Office of Public Housing) 550, approved October 28, 1992) (HCDA Services (EDSS); Tenant Opportunity before they submit their applications. 1992), and section 586 of the Quality Program (TOP); Indian Housing Block Confirmation/Validation may be given if Housing and Work Responsibility Act of Grant (IHBG); Housing Opportunity for the unit count to be used is the same as 1998 (Pub.L. 105–276, 112 Stat. 2461, People Everywhere (HOPE) projects; the unit count reflected on a PHA’s most approved October 21, 1998) (Public Family Investment; Elderly Service recently approved Operating Budget Housing Reform Act). Coordinator; and Operating Subsidy. (Form HUD–52564) and/or subsidy (G) Reports and Closeout. In calculation (Form HUD–52723) Paperwork Reduction Act Statement accordance with 24 CFR 761.35, submitted for that program. Field grantees are required to submit a PHDEP Offices that have PHAs that are not The information collection Semi-Annual Performance Report and required to submit either of these forms requirements contained in this Notice the Semi-Annual Financial Status may confirm/validate the PHDEP unit have been approved by the Office of Report (SF–269A) to the appropriate count if it is the same as the most Management and Budget under the HUD Field Office. HUD will require recently submitted Form HUD–51234. Paperwork Reduction Act of 1995 (44 grantees to transmit reports Field Offices in validating the unit U.S.C. 3501–3520), and assigned OMB electronically to facilitate providing count shall not include Non-Federally control number 2577–0124. An agency more meaningful performance Assisted Housing units located in High may not conduct or sponsor, and a information to comply with the Intensity Drug-Trafficking Areas. person is not required to respond to, a requirements of the Government (2) Tribes and TDHEs. (a) The unit collection of information unless the Performance and Results Act (GPRA) count includes rental, Turnkey III and collection displays a valid control and to provide greater assurance that the Mutual Help Homeownership units number. program activities undertaken are which have not been conveyed to a Catalog of Federal Domestic Assistance. The effective in reducing drugs and drug- homebuyer, and Section 23 lease Catalog of Federal Domestic Assistance related crime in areas targeted by housing bond-financed projects. Such number for the Public and Indian Housing Drug Elimination Program is 14.854. PHDEP. HUD will require grantees to units must be counted as Current report the number of grant-funded, full- Assisted Stock under the Indian Dated: May 6, 1999. time equivalent positions for law Housing Block Grant Program. Deborah Vincent, enforcement and security services, and (b) Eligible units are those units General Deputy Assistant Secretary for Public PHDEP-supported activities for which are under management and fully and Indian Housing. residents broken out by youth, adults, developed. However, you should note [FR Doc. 99–11919 Filed 5–11–99; 8:45 am] families, and communities. For each that in determining the unit count for BILLING CODE 4210±33±P
VerDate 06-MAY-99 13:27 May 11, 1999 Jkt 183247 PO 00000 Frm 00009 Fmt 4701 Sfmt 4703 E:\FR\FM\A12MY3.010 pfrm07 PsN: 12MYN2 eDt 6MY9 33 a 1 99Jt134 O000Fm001Ft41 ft41 :F\M1MR.X fm7PsN:12MYR5 pfrm07 E:\FR\FM\12MYR5.XXX Sfmt4717 Fmt4717 Frm00001 PO00000 Jkt183247 13:30May11, 1999 VerDate 06-MAY-99 federal register May 12,1999 Wednesday Nationals ofHaiti;InterimFinalRule Adjustment ofStatusforCertain 8 CFRPart3etal. Immigration andNaturalizationService Justice Department of Part VII 25755 25756 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations
DEPARTMENT OF JUSTICE (112 Stat. 2681), into law. Division A, have remained without parents in the United Title IX of that statute, the Haitian States since arrival; Immigration and Naturalization Service Refugee Immigration Fairness Act of (4) Haitian national children who became 1998 (HRIFA), contained a provision in orphaned subsequent to arrival in the United 8 CFR Parts 3, 212, 240, 245, 274a, and section 902 which allows certain States; and 299 (5) Haitian children who were abandoned nationals of Haiti to adjust their status by their parents or guardians prior to April [INS No. 1963±98; AG Order No. 2221±99] to that of lawful permanent resident. 1, 1998, and have remained abandoned since Many aspects of section 902 of HRIFA such abandonment. RIN 1115±AF33 are similar to corresponding aspects of For the last three ((3)–(5)) of these section 202 of the Nicaraguan Adjustment of Status for Certain classes, the applicant must have been a Nationals of Haiti Adjustment and Central American Relief Act of 1997 (NACARA), enacted child at the time of his or her arrival in the United States, and on December 31, AGENCY: Immigration and Naturalization as title II of the District of Columbia 1995, but not necessarily at the time of Service, Justice, and Executive Office for Appropriations Act, 1998, Pub. L. 105– his or her adjustment of status. In Immigration Review, Justice. 100 (111 Stat. 2160, 2193). In drafting both the supplementary information and addition, certain family members of ACTION: Interim rule with request for HRIFA beneficiaries are also eligible for comments. the regulatory text contained in this implementing regulation, the adjustment of status under HRIFA. SUMMARY: This interim rule implements Department of Justice (Department) has What Are the Benefits of HRIFA? section 902 of the Haitian Refugee intentionally replicated much of the An alien seeking adjustment of status Immigration Fairness Act of 1998 rule which implemented NACARA, under HRIFA is not subject to a number (HRIFA) by establishing procedures for taking into consideration the of the limitations on adjustment of certain nationals of Haiti who have been Department’s experience in status that would otherwise be residing in the United States to become administering that statute. Wherever lawful permanent residents of this beneficial for purposes of clarity, the applicable under section 245 of the Act. First, a HRIFA applicant is not country. This rule allows them to obtain Department has endeavored to point out required to have been inspected and lawful permanent resident status those aspects of HRIFA which differ admitted or paroled into the United without applying for an immigrant visa from corresponding aspects of States. at a United States consulate abroad, and NACARA. Second, a HRIFA applicant is not waives many of the usual requirements How Does Section 902 of HRIFA Affect subject to any of the barriers to for this benefit. Haitian Nationals? adjustment contained in section 245(c) DATES: Effective date: This interim rule of the Act (e.g., the bars against aliens is effective June 11, 1999. Section 902 of HRIFA provides that the Attorney General shall adjust the who have accepted or continued in Comment date: Comments must be unauthorized employment, aliens who submitted on or before July 12, 1999. status of certain Haitian nationals who are physically present in the United remained in the United States longer ADDRESSES: Please submit written States to that of lawful permanent than authorized, and aliens admitted as comments, original and two copies, to resident. In order to be eligible for crewmen, in transit without visa, or Richard A. Sloan, Director, Policy benefits under HRIFA, an applicant under the visa waiver pilot program). Directives and Instructions Branch, must: Consequently, an alien who would Immigration and Naturalization Service, • otherwise be ineligible under section 425 I Street NW, Room 5307, Be a national of Haiti who was present 245(c) may apply for adjustment under in the United States on December 31, 1995; Washington, DC 20536. To ensure • HRIFA. proper handling, please reference INS Have been physically present in the United States for a continuous period Third, HRIFA applicants are not No. 1963–98 on your correspondence. beginning not later than December 31, 1995, subject to the immigrant visa preference Comments are available for public and ending not earlier than the date the system requirements contained in inspection at the above address by application for adjustment is filed (not sections 201 and 202 of the Act. Hence, calling (202) 514–3048 to arrange for an counting any absence or absences totaling neither the worldwide quota restrictions appointment. 180 days or less in the aggregate); nor the per-country quota restrictions • Properly file an application for FOR FURTHER INFORMATION CONTACT: For adjustment before April 1, 2000; apply. matters relating to the Immigration and • Be admissible to the United States under Fourth, applicants need not Naturalization Service—Suzy Nguyen, all provisions of section 212(a) of the demonstrate that they are not Adjudications Officer, Office of Immigration and Nationality Act (the Act), inadmissible under paragraphs (4), (5), Adjudications, Immigration and other than those provisions specifically (6)(A), (7)(A), and (9)(B) of section Naturalization Service, 425 I Street NW, excepted by HRIFA; and 212(a) of the Act in order to adjust • Room 3214, Washington, DC 20536, Fall within one of the five classes of status under section 902 of Public Law telephone (202) 514–5014; For matters persons described in section 902(b)(1) of 105–277. Accordingly, HRIFA allows an HRIFA. relating to the Executive Office for otherwise-qualified applicant to adjust Immigration Review—Margaret M. The five classes described in section status under HRIFA notwithstanding Philbin, General Counsel, Executive 902(b)(1) are: inadmissibility for likelihood of Office for Immigration Review, 5107 (1) Haitian nationals who filed for asylum becoming a public charge, for failure to Leesburg Pike, Suite 2400, Falls Church, before December 31, 1995; obtain a labor certification, for failure to VA 22041, telephone (703) 305–0470. (2) Haitian nationals who were paroled meet certain requirements applicable to into the United States prior to December 31, SUPPLEMENTARY INFORMATION: foreign-trained physicians, for failure to 1995, after having been identified as having meet certain standards for foreign Background a credible fear of persecution, or paroled for emergent reasons or reasons deemed strictly health-care workers, for entering or On October 21, 1998, the President in the public interest; remaining in the country illegally, for signed a Fiscal Year 1999 Omnibus (3) Haitian national children who arrived violating documentary requirements Appropriations Act, Pub. L. 105–277 in the United States without parents and relating to entry as an immigrant, or for
VerDate 06-MAY-99 13:30 May 11, 1999 Jkt 183247 PO 00000 Frm 00002 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR5.XXX pfrm07 PsN: 12MYR5 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25757 accruing more than 180 days of United States pursuant to such an Normally, an alien may make such a unlawful presence prior to the alien’s authorization is not counted toward the demonstration by submitting a last departure or removal. 180-day cumulative period. photocopy of a Government-issued Fifth, unlike those seeking to adjust (2) If the Service has granted parole document. If the alien is not in status under other provisions of law, a authorization under the provisions of 8 possession of such document, but HRIFA applicant who has been paroled CFR 245.15(t)(2) to an alien for the believes that a copy of the document is into the United States and is now in purpose of traveling to the United States already contained in the Service file exclusion or removal proceedings before in order to apply for adjustment of relating to him or her, he or she may an Immigration Court is not barred from status under HRIFA, then the period of submit a statement as to name and filing an application for adjustment of time from the date the alien’s request for location of the issuing Government status under the provisions of HRIFA parole authorization is filed at the agency, the type of document and the while in such proceedings. Nebraska Service Center until the alien date on which it was issued. Because the applicant is required to What Are the HRIFA Requirements is paroled into the United States establish presence in the United States Regarding Presence in the United pursuant to that authorization in not on December 31, 1995, if the States? counted toward the 180-day cumulative documentation submitted relates to a period. Under the terms of HRIFA, an eligible date prior to December 31, 1995, the principal applicant must have been (3) If the Service has granted parole applicant bears the additional burden of present in the United States on authorization under the provisions of 8 establishing either that he or she did not December 31, 1995. The physical CFR 245.15(t)(2) to an alien for the depart after the date on which presence presence requirement contained in purpose of traveling to the United States has been established, or that (if he or HRIFA differs from the one contained in in order to apply for adjustment of she did depart) he or she returned to the section 202 of NACARA in two key status under HRIFA, then the period of United States on or prior to December aspects. First, the date from which time from the date on which HRIFA was 31, 1995. Doing so is analogous to presence is required is December 31, enacted (October 21, 1998) until 30 days proving continuity of presence, and if 1995, instead of December 1, 1995. from the effective date of this regulation required, the applicant can meet this Second, HRIFA requires that an alien is not counted toward the 180-day initial burden by using the methods seeking adjustment as a principal cumulative period. The Department is described below for proving continuity applicant have been physically present making this provision in order to allow of presence. While there are no in the United States on the specific date an applicant for such parole particular criteria for establishing ‘‘non- of December 31, 1995, while NACARA authorization time to file the application departure,’’ or departure and return, the allowed the applicant to have with the Nebraska Service Center. applicant should be prepared to resolve commenced physical presence at any any doubts that may arise in this regard. How Can a HRIFA Applicant Prove time on or prior to December 1, 1995. The Department solicits comments from HRIFA also requires that eligible Physical Presence in the United States? interested parties on issues related to applicants must have maintained Section 902(b)(1) of HRIFA requires this matter. continuous physical presence in the that an applicant must prove presence The Department believes that the United States since December 31, 1995. in the United States on December 31, evidentiary alternatives for establishing However, HRIFA provides for an 1995, but the statute is silent as to the continuity of presence will also provide exception to the requirement of methods by which an applicant may sufficient opportunities for qualified continuous physical presence under demonstrate his or her presence in the applicants to establish physical which an eligible alien who was present United States on that date. In this rule, presence in the United States on in the United States on December 31, the Department is providing that a December 31, 1995, without 1995, is permitted to have been outside HRIFA applicant may prove such encouraging fraudulent applications. the United States for a total of up to 180 presence in the United States through However, in order to ensure that no days in the aggregate since that date, group of eligible aliens is precluded submission of evidence demonstrating and prior to the date of his or her from establishing eligibility for HRIFA that on or before December 31, 1995, he adjustment of status to lawful benefits, the Department is soliciting or she: permanent resident, without risk of public comments on the need for any interrupting his or her continuous (1) was admitted to the United States in an additional methods of establishing physical presence. Except as otherwise immigrant or nonimmigrant classification; commencement of physical presence in provided, however, if an alien has been (2) was paroled into the United States; the United States and suggestions as to outside the United States for more than (3) was placed in exclusion proceedings what those additional methods should under section 236 of such Act (as in effect 180 days since December 31, 1995, the prior to April 1, 1997); be. Commenters are encouraged to alien is not eligible for adjustment (4) was placed in deportation proceedings explain which classes of aliens would under HRIFA. under section 242 or 242A of such Act (as in benefit from the proposal, and how the Furthermore, the Department is effect prior to April 1, 1997); proposal could be implemented without providing, by regulation, for three (5) applied for any benefit under the Act severely compromising the integrity of additional circumstances under which by means of an application establishing his the adjudicative process. an alien may be outside the United or her presence in the United States; A HRIFA applicant also must States without that time affecting his or (6) was issued other documentation by demonstrate that he or she was her eligibility for adjustment of status State and local authorities (such as school, continuously physically present in the under HRIFA: hospital, police, and public assistance United States since December 31, 1995. (1) If the Immigration and records), demonstrating the alien’s presence See HRIFA section 9021(b)(2). As in the in the United States on or prior to December Naturalization Service (Service) has 31, 1995; or case of the physical presence granted an alien an Authorization for (7) in the case of an applicant seeking requirement just discussed, however, Parole of an Alien into the United States classification as a child under section the HRIFA statute is silent as to the (Form I–512), then the periods of time 902(b)(1)(C) of HRIFA, a transcript from a methods by which an applicant can during which an alien is absent from the qualified private or religious school. demonstrate that presence. This interim
VerDate 06-MAY-99 13:30 May 11, 1999 Jkt 183247 PO 00000 Frm 00003 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR5.XXX pfrm07 PsN: 12MYR5 25758 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations rule provides that a HRIFA applicant purview of the adjudicating authority What Provisions of the Statute Pertain may demonstrate continuity of physical (i.e., the Service or EOIR). It shall be the Exclusively to Haitian Children in the presence in the United States through responsibility of the applicant to obtain United States? the submission of one or more and submit copies of the records of any Section 902(b)(1)(C) of HRIFA documents issued by any governmental other government agency which the describes three groups of children who or non-governmental authority. Such applicant desires to be considered in may adjust status to that of lawful documentation must bear the name of support of his or her application. permanent resident. Membership in all the applicant, have been dated at the How Does an Applicant Establish three groups is limited to those persons time it was issued, and bear the seal or Eligibility As an Alien Who Applied for who were children both at the time of signature of the issuing authority (if the Asylum or Was Paroled into the United arrival in the United States and on documentation is normally signed or States Prior to December 31, 1995? December 31, 1995. Furthermore, all sealed), issued on letterhead stationery, three groups require the occurrence of or otherwise authenticated. In some Section 902(b)(1)(A) of HRIFA some qualifying event or events: for cases, a single document may suffice to pertains to applicants who filed for subsection (C)(i), the qualifying events establish continuity for the entire post- asylum before December 31, 1995, and are the arrival in the United States December 31, 1995, period. In other section 902(b)(1)(B) of HRIFA pertains without parents and the continuation of cases, the alien may need to submit a to applicants who were paroled into the such situation since arrival; for number of documents. For example, a United States prior to December 31, college transcript or an employment 1995, either after having been identified subsection (C)(ii), it is becoming an record may show that an applicant as having a credible fear of persecution, orphan subsequent to arrival; and for attended school or worked in the United or for emergent reasons or reasons subsection (C)(iii), it is the States throughout the entire post- deemed strictly in the public interest. abandonment by parents or guardians December 31, 1995, period. On the other The universe of persons falling into prior to April 1, 1998, and the hand, an applicant would need to these two categories is both narrowly continuation of such abandonment. submit a number of monthly rent defined in scope and fully identifiable What Is Meant by the Terms ‘‘Child’’ receipts or electric bills to establish the in Service records. The issue is one of and ‘‘Parent?’’ same continuity of presence. While the locating the Service record that pertains HRIFA mandates that, as used in Department neither requires nor wants to the particular applicant. In order to HRIFA, the term ‘‘child’’ shall have the the applicant to submit documentation facilitate locating his or her record, an same meaning as that provided in the to show presence on every single day applicant who applied for asylum prior since December 31, 1995, there should to December 31, 1995, should submit a text above subparagraph (A) of section be no significant chronological gaps in copy of the first page of the Form I–589, 101(b)(1) of the Act. That text defines a the documentation either. Generally, a Application for Asylum and child as ‘‘an unmarried person under gap of 3 months or less in Withholding of Deportation, filed at that twenty-one years of age.’’ HRIFA, documentation is not considered time, or a copy of the receipt for such however, does not provide a definition significant. However, if the adjudicating filing issued by the Service. In the case of the term ‘‘parent.’’ In determining officer or immigration judge is satisfied of an alien who was included as a how this term should be defined for as to the continuity of the applicant’s dependent in the asylum application purposes of HRIFA, the Department presence in the United States, he or she filed by a spouse or parent, a copy of the looked at the statutory definition of that may accept considerably larger gaps in first page of that spouse or parent’s term contained in section 101(b)(2) of documentation. Conversely, if the application, or a copy of the filing the Act, which states: adjudicating officer or immigration receipt, will be sufficient, even if the (2) The term ‘‘parent’’, ‘‘father’’, or judge has reason to doubt the relationship has since been altered ‘‘mother’’ means a parent, father, or applicant’s claim, he or she may require through death, divorce, or the mother only where the relationship additional documentation. Furthermore, individual attaining the age of 21 years. exists by reason of any of the if the applicant is aware of documents If the applicant has lost both the receipt circumstances set forth in (1) above, already contained in his or her Service and his or her copy of the application except that, for purposes of paragraph file that establish physical presence, he which was filed, he or she may submit (1)(F) (other than the second proviso or she may merely list those documents, a statement giving as much information therein) in the case of a child born out giving the type and date of the as possible about the date on which the of wedlock described in paragraph documents. Examples of such application was filed and the location of (1)(D) (and not described in paragraph documents might include a written copy the Service office to which it was (1)(C)), the term ‘‘parent’’ does not of a sworn statement given to a Service submitted. include the natural father of the child if officer, the transcript of a formal Likewise, if the applicant was paroled the father has disappeared or abandoned hearing, or a Record of Deportable/ into the United States prior to December or deserted the child or if the father has Inadmissible Alien (Form I–213). 31, 1995, after having been identified as in writing irrevocably released the child having a credible fear of persecution, or for emigration and adoption. How Will the Department Evaluate the paroled for emergent reasons or reasons The circumstances giving rise to a Evidence Submitted? deemed strictly in the public interest, he parental relationship set forth in section In all cases, any doubts as to the or she should submit a photocopy of the 101(b)(1) are as follows: existence, authenticity, veracity, or parole document (Form I–94, Arrival- (A) A child born in wedlock; accuracy of the documentation shall be Departure Record) issued at the time. If (B) A stepchild, whether or not born resolved by the official government the parole document was lost or is out of wedlock, provided the child had record, with Service and EOIR records otherwise not available, the applicant not reached the age of eighteen years at having precedence over the records of may submit a statement explaining what the time the marriage creating the status other agencies. Furthermore, happened to the document and giving as of stepchild occurred; determinations as to the weight to be much information as possible about the (C) A child legitimated under the law given any particular document or item date of parole and location of the of the child’s residence or domicile, or of evidence shall be solely within the Service office which issued the parole. under the law of the father’s residence
VerDate 06-MAY-99 13:30 May 11, 1999 Jkt 183247 PO 00000 Frm 00004 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR5.XXX pfrm07 PsN: 12MYR5 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25759 or domicile, whether in or outside the adjustment cases because HRIFA parent whose relationship to the child United States, if such legitimation takes mandates a separate standard for had been severed by the adoption place before the child reaches the age of consideration as an abandoned child. process is immaterial. eighteen years and the child is in the As previously noted, HRIFA provides In Haiti, a child who was born out of legal custody of the legitimating parent that the term child is limited to persons wedlock and not acknowledged by the or parents at the time of such who are both under age 21 and father or otherwise legitimated is legitimation; unmarried. Individuals who met the illegitimate. Such child is deemed (D) A child born out of wedlock, by, definition of child at the time of their under the Act to have only one parent, through whom, or on whose behalf a arrival in the United States must also the mother. However, under the Civil status, privilege, or benefit is sought by have met the definition on December 31, Code of Haiti, all children born out of virtue of the relationship of the child to 1995. Any such persons who attained wedlock and acknowledged by the its natural mother or to its natural father the age of 21 years or married prior to father are legitimate. Such children are if the father has or had a bona fide December 31, 1995, are not eligible for deemed under the Act to have two parent-child relationship with the classification as a child under any of the parents. person; three subcategories of section Finally, it should be noted that the (E) A child adopted while under the 902(b)(1)(C) of HRIFA. However, if term ‘‘parent’’ does not include foster age of sixteen years if the child has been otherwise eligible, they may seek parents or guardians. in the legal custody of, and has resided classification as an asylum applicant with, the adopting parent or parents for under section 902(b)(1)(A) of HRIFA, as How Does an Applicant Establish at least two years: Provided, That no parolee under section 902(b)(1)(B) of Eligibility as a Child Without Parents in natural parent of any such adopted HRIFA, or as a dependent under section the United States or As an Orphaned or child shall thereafter, by virtue of such 902(d)(1) of HRIFA. Abandoned Child? parentage, be accorded any right, An applicant who met the eligibility Children Without Parents in the United privilege, or status under this Act; or standard for adjustment of status as a States (F) A child, under the age of sixteen child under section 902(b)(1)(C) of at the time a petition is filed in his HRIFA would still be eligible for With regard to the specific behalf to accord a classification as an adjustment even if the individual has subcategories of section 902(b)(1)(C) of immediate relative under section 201(b), attained the age of 21 years or married HRIFA, the first pertains to children who is an orphan because of the death after December 31, 1995. Furthermore, if who arrived in the United States or disappearance of, abandonment or an applicant described in section without parents and have remained desertion by, or separation or loss from, 902(b)(1)(C) acquired a spouse or without parents in the United States. both parents, or for whom the sole or stepchild through a marriage occurring Since the term ‘‘without parents in the surviving parent is incapable of after December 31, 1995, such spouse or United States’’ is not defined in the Act, providing the proper care and has in stepchild may adjust status under the common meaning of the words will writing irrevocably released the child section 902(d)(1) of HRIFA, if otherwise prevail. If the applicant had any parents, for emigration and adoption; who has eligible, as a dependent of a principal as discussed above, in the United States been adopted abroad by a United States applicant. at the time of his or her arrival, or at any citizen and spouse jointly, or by an In general, it does not matter whether time since arrival, he or she is not unmarried United States citizen at least a principal applicant under section eligible for classification under this twenty-five years of age, who personally 902(b)(1)(C) was born in or out of subcategory. If even one of the saw and observed the child prior to or wedlock, has been legitimated, or is an applicant’s parents was living in the during the adoption proceedings; or adopted child or a stepchild. United States during this period, the who is coming to the United States for If a stepparent-stepchild relationship applicant is ineligible for classification adoption by a United States citizen and was created after the child turned 18, under this subcategory, regardless of spouse jointly, or by an unmarried that relationship is not recognized whether the applicant lived with or United States citizen at least twenty-five under the Act. Therefore, for purposes received any support from such parent. years of age, who have or has complied of adjustment of status under HRIFA, In order to establish eligibility under with the preadoption requirements, if any ‘‘qualifying event’’ involving such this subcategory, an applicant should any, of the child’s proposed residence: stepparent is immaterial. Likewise, if an establish that his or her parents were Provided, That the Attorney General is adoption took place after a child either deceased or physically outside satisfied that proper care will be reached the age of 16 years, no parent- the United States both at the time of the furnished the child if admitted to the child relationship exists under applicant’s arrival in the United States United States: Provided further, That no immigration law and any ‘‘qualifying and at all times since then. If the natural parent or prior adoptive parent event’’ involving such adoptive parent location of the applicant’s parents was of any such child shall thereafter, by is also immaterial. unknown at the time of arrival and at all virtue of such parentage, be accorded Where an applicant acquired a times since, the applicant must establish any right, privilege, or status under this stepparent through the marriage of his such facts through court records or other Act. or her parent, the applicant would have pertinent documents. In promulgating these regulations, the to establish a qualifying event relating to Children Who Became Orphans Department follows these definitions, each of the parents and stepparents. For Subsequent to Arrival with two notable exceptions. The first example, the deaths of a father and exception is that the discussion in stepmother, while tragic, do not make a Section 902(b)(1)(C)(ii) of HRIFA section 101(b)(1)(F) pertaining to the child an orphan if his or her mother and pertains to persons who became qualifications of the petitioning United stepfather are still alive. orphaned after their arrival in the States citizen prospective parents is On the other hand, if a child was United States. We recognize that section clearly irrelevant to HRIFA adjustment adopted prior to age 16, only a 101(b)(1)(F) of the Act describes cases. The second is that the discussion qualifying event which involved the orphans as children who became of a child becoming an orphan through adopting parent or parents is relevant. A orphaned through the death or abandonment does not pertain to HRIFA qualifying event which pertained to a disappearance of, abandonment or
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However, the The grounds of inadmissibility brought to the attention of local child Department believes that section specified in paragraphs (4) (public welfare agencies who would then assure 902(b)(1)(C)(ii) relates to a narrower charge), (5) (lack of labor certification), that the child is declared a ward of the definition of the term orphan, pertaining (6)(A) (illegal entry), (7)(A) (immigrant court. The relating agency and court only to those children who were not in possession of an immigrant visa records would establish such. However, orphaned through the death or or other valid entry document), and the regulations do not rule out the disappearance of, the separation or loss (9)(B) (unlawful presence) of section possibility of the applicant using other from, or desertion by, both parents (or, 212(a) of the Act do not apply to HRIFA in the case of a child born out of documentation in support of his or her claim. The Department solicits applicants. wedlock who has not been legitimated, An applicant who is inadmissible the sole parent). The Department comments from interested parties on this assumption. under any of the other grounds of reached this conclusion based on the inadmissibility listed in section 212 of fact that Congress chose to include What Weight is Given to Existing the Act is ineligible for adjustment of children who arrived in the United Service Records? status under HRIFA, unless he or she States without parents and children receives a waiver of that ground of who had been abandoned by parents or In general, as with all applications and petitions under immigration law, inadmissibility. guardians in the other two A HRIFA applicant who is eligible for subcategories, an action which would the burden of proof is on the applicant to prove eligibility for adjustment of an individual waiver of a ground of have been meaningless had Congress status under section 902 of HRIFA. In inadmissibility not exempted by HRIFA intended to use the broader definition of the case of many persons who arrived in may file an application for the waiver the term orphan for purposes of section the United States as children, evidence concurrently with his or her application 902(b)(1)(C)(ii). In order for an applicant pertaining to the applicant’s eligibility for adjustment of status. Adjustment of to be classified as an orphaned child is already contained in Service records. status may not be granted unless the under this subcategory, the application If Service records show the applicant waiver has first been approved. For the must be supported by: purpose of adjudicating applications for • arrived without parents, as an orphan, The death certificates of both of his or was brought to the Service as a benefits under HRIFA, the Director of or her parents, or the death certificate of subsequently abandoned child and the Nebraska Service Center has been the sole parent, showing that the death placed into (and remains in) some sort given the authority to adjudicate occurred after the date of the applicant’s of custody arrangement, there is a applications for waivers under sections arrival in the United States and prior to rebuttable presumption that the alien 212(e), 212(g), 212(h), and 212(i) of the his or her 21st birthday, or falls within the eligible class. The Act, as well as applications for • Evidence from a competent Department feels that such individuals permission to reapply for admission authority (such as a court or government are entitled to this rebuttable after deportation or removal, including agency having jurisdiction and authority presumption due to the verifiability of those filed in conjunction with requests to make decisions involving child the information in Service records. for parole from outside the United welfare) establishing the disappearance Other potential applicants for States. of, the separation or loss from, or classification under section 902(b)(1)(C) desertion by, both parents (or, in the of HRIFA may not have been placed into How Do the Provisions of HRIFA Affect case of a child born out of wedlock who a custody situation through the Service Dependents of Haitian Nationals? has not been legitimated, the sole program. For example, persons who The provisions of HRIFA at section parent) after the applicant’s arrival in were already over the age of 18 at the 902(d) address the eligibility the United States and prior to his or her time of their arrival in the United States, requirements for certain dependents of 21st birthday. persons who entered without inspection principal HRIFA beneficiaries. To and were never brought to the attention receive HRIFA benefits as a dependent Children Who Have Been Abandoned of the Service, and children who were of a HRIFA beneficiary, an alien must Section 902(b)(1)(C)(iii) of HRIFA abandoned subsequent to their arrival be: a national of Haiti; the spouse, child pertains to children who were without such abandonment being (i.e., under 21 years of age and abandoned by their parents or guardians reported to the Service, could all fall unmarried), or unmarried son or prior to April 1, 1998, and have within the purview of section daughter (i.e., 21 years of age or older) remained abandoned. The four key 902(b)(1)(C) of HRIFA. Such persons of a HRIFA principal beneficiary at the elements that an applicant must may still be able to qualify for time of the principal beneficiary’s establish are: that the abandonment adjustment of status, but must meet the adjustment of status to that of occurred prior to April 1, 1998; that the burden of proof without the benefit of permanent resident; and admissible to applicant was under 21 years of age and any presumption of eligibility. An the United States under section 212(a) unmarried at the time of such applicant for benefits under this of the Act, not including those abandonment; that the parents or provision must provide all reasonably provisions specifically excepted by guardians were the parties who took the available evidence of eligibility, HRIFA. The dependent’s relationship to action to abandon the applicant; and including pertinent death certificates, the HRIFA beneficiary must continue to that the relationship has not been re- police reports, child welfare agency exist at least through the time that the established since such abandonment. A reports, etc. Such documents must have dependent is granted adjustment of child who voluntarily left the home of been created at the time of the event in status. his or her parents would not fall within question, or within a reasonable time HRIFA dependents must be this category. An applicant seeking thereafter, and must bear any physically present in the United States consideration as an abandoned child appropriate signatures, seals, or other in order to apply. A spouse or child should submit evidence from court authenticating instruments. need not have been present on
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December 31, 1995, or during any Can a Haitian Who Is, or Has Been, purpose of adjudicating the application particular period since that date. Covered Under the Deferred Enforced for adjustment. The Board shall so Although an unmarried son or daughter Departure (DED) Program Established remand the case regardless of whether need not have been present in the by Order of the President on December the alien has already filed an United States on December 31, 1995, he 23, 1997, Apply for Adjustment of application for adjustment of status or she must establish that he or she has Status Under HRIFA? under HRIFA. Further, if an alien has a been physically present in the United Yes, if he or she is otherwise eligible pending motion to reopen or motion to States for a continuous period for adjustment of status under section reconsider filed with the Board on or commencing not later than December 902 of HRIFA. before May 12, 1999, the Board shall 31, 1995, not counting absences reopen and remand the proceedings to What Happens If an Applicant Is the Immigration Court for the sole aggregating 180 days or fewer. Unlike Already in Exclusion, Deportation, or purpose of adjudicating an application section 202 of NACARA, section 902 of Removal Proceedings, or Has a Motion for adjustment of status under section HRIFA does not specify a deadline by To Reopen or Motion to Reconsider 902 of HRIFA. which the dependent’s application for Pending Before the Immigration Court If upon remand the Immigration Court adjustment of status must be filed. or the Board of Immigration Appeals denies the application, or the alien fails Many qualifying dependents of (Board)? to file an application for adjustment HRIFA principal applicants may be able Persons who have proceedings under section 902 of HRIFA, the to receive HRIFA benefits in their own pending before the Immigration Court or Immigration Court shall return the case right. However, some persons who do the Board, or persons who have a to the Board by certification. This will not meet the HRIFA standards will only pending motion to reopen or reconsider allow the Board to consider the denial be able to qualify as a dependent of a filed on or before May 12, 1999, may of the HRIFA application as well as all HRIFA beneficiary. Examples of apply for adjustment of status under other outstanding issues from the previously pending appeal or motion. otherwise eligible persons who can only section 902 of HRIFA, but these cases Neither the alien nor the Service shall qualify as dependents include: a spouse shall remain with the court holding be required to file another Notice of or child who arrived in the United jurisdiction over the pending proceedings. Appeal to the Board of Immigration States after December 31, 1995; a spouse Appeals of Decision of Immigration or child who arrived before December Proceedings Pending Before the Judge (Form EOIR–26), or to pay an 31, 1995, but has been absent for an Immigration Court appeal filing fee, because the aggregate of more than 180 days since If an alien (other than an arriving Immigration Court’s certification of the that date; and an unmarried son or alien who has not been paroled into the denial to the Board will automatically daughter who came to the United States United States) is in exclusion, transfer the Immigration Court’s prior to December 31, 1995, but neither deportation, or removal proceedings decision to the Board. entered as a parolee nor filed for asylum before the Immigration Court, or if an May an Alien Who Is in Proceedings before that date. alien has a motion to reopen or motion Before an Immigration Court or the to reconsider filed on or before May 12, Board of Immigration Appeals Apply How Are Dependents Who Do Not Meet 1999, pending before the Immigration HRIFA Requirements Affected? for Adjustment of Status Before the Court, jurisdiction over an application Service? A family member who is unable to for adjustment of status under section 902 of HRIFA shall lie with the Yes, under certain circumstances. An qualify for HRIFA adjustment of status alien who is in exclusion, deportation, on his or her own, or as a dependent, Immigration Court. The procedure for filing an application for adjustment or removal proceedings before the may eventually become eligible for under HRIFA is described below. If an Immigration Court or the Board may lawful permanent resident status under alien who is not clearly ineligible for move to have the proceeding other provisions of the Act. Examples of adjustment of status under section 902 administratively closed for the purpose such individuals would include a of HRIFA, and who has a pending of filing an application for adjustment dependent who is not a national of motion to reopen or motion to under HRIFA. Such administrative Haiti, a spouse or child whose reconsider, files an application for closure requires the consent of the relationship to the principal applicant is adjustment of status under section 902 Service, which will issue field guidance established after the principal applicant of HRIFA, the Immigration Court shall shortly regarding the circumstances is granted permanent resident status, reopen the alien’s proceedings for under which it will consent to such a and an unmarried son or daughter over consideration of the adjustment request. If the Service concurs in such the age of 21 who entered the United application. Applications shall be motion, the Immigration Court or the States after December 31, 1995. After subject to the filing requirements of 8 Board, as appropriate, will becoming a permanent resident, a CFR 3.11 and 3.31. A person would be administratively close the proceedings. HRIFA beneficiary could file a visa ‘‘clearly ineligible’’ if, for example, he Such closure will permit recalendaring petition to accord such a dependent was not a national of Haiti or he was not or reinstating of the closed proceedings if, for example, the alien fails to file an immigrant classification under section a child on December 31, 1995, and had application for adjustment of status 203(a)(2) of the Act, thereby enabling not filed for asylum or been paroled into under HRIFA before April 1, 2000, or the dependent who is not eligible for the United States prior to that date. the Service denies any application for HRIFA benefits to seek immigration to Proceedings Pending Before the Board adjustment of status filed by the alien the United States through the normal In the case of an alien who is not under HRIFA. Should the Service deny family-based immigration process. clearly ineligible for adjustment of the application, or the alien fail to file status under section 902 of HRIFA, and the application before April 1, 2000, the whose case is on appeal with the Board, Service will move to recalendar or the Board shall remand the proceedings reinstate the exclusion, deportation, or to the Immigration Court for the sole removal proceedings. The Immigration
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Court or the Board, as appropriate, will I–246), following the procedures set (8) If the applicant is a principal then recalendar or reinstate the forth in 8 CFR 241.6. If the application applicant or the unmarried son or proceedings. In the case of a HRIFA is referred to the Immigration Court, and daughter of a principal applicant, one or adjustment application denied by the the Service does not grant a stay of more of the documents described in 8 Service, the alien could seek execution of the final order, the alien CFR 245.15(f)(10) to establish continuity reconsideration of the denied must request that the Immigration Court of physical presence in the United adjustment application in such or Board specifically grant a stay of States since December 31, 1995; recalendared or reinstated proceedings. execution of the final order of removal. (9) If the applicant is a principal applicant or the unmarried son or What Happens If the Alien’s Exclusion, When Can an Application Be Filed? daughter of a principal applicant, a Deportation, or Removal Proceedings For principal applicants, the statement showing all departures from Have Already Been Administratively application period for HRIFA benefits and arrivals in the United States since Closed for Reasons Unrelated to begins June 11, 1999, and ends on December 31, 1995; HRIFA? March 31, 2000. (10) If the applicant is a principal Aliens who have had their cases For dependent applicants, the applicant, evidence that he or she falls administratively closed or continued application period for HRIFA benefits within one of the five groups of persons indefinitely with the consent of the begins June 11, 1999, and remains open eligible for HRIFA adjustment as Service after December 22, 1997, shall indefinitely. As previously noted, the described in 8 CFR 245.15(f)(12); apply for adjustment of status under requisite familial relationship between (11) If the alien is applying as the HRIFA with the Service. Such aliens the dependent applicant and the spouse, child, or unmarried son or may not seek reinstatement of their principal applicant must exist at the daughter of another HRIFA beneficiary, proceedings for the purpose of applying time the principal applicant becomes a evidence of the relationship (for for adjustment of status under HRIFA permanent resident, and must continue example, a marriage certificate); and with EOIR until the Service has at least until the dependent is granted (12) If the applicant acquired Haitian adjudicated the adjustment application. adjustment of status. nationality through naturalization in Should the Service deny the that country, a copy of his or her Haitian application, or the alien fail to file the What Forms and Other Documents naturalization certificate. application before April 1, 2000, the Should Be Filed? Must the Applicant Be Fingerprinted? Service will move to recalendar or Each applicant for HRIFA adjustment reinstate the proceedings and the of status benefits must file a separate Yes, if the applicant is 14 years of age proceedings will be recalendared or Application to Register Permanent or older. Upon receipt of the reinstated by the Immigration Court or Residence or Adjust Status (Form I– application, the Service will instruct the the Board, as appropriate. In the case of 485), accompanied by the required applicant regarding procedures for an application denied by the Service, application fee and supporting obtaining fingerprints through one of the alien could seek reconsideration of documents described below. HRIFA the Service’s Application Support the denied adjustment application in applicants should complete Part 2 Centers (ASCs) or authorized Designated such recalendared or reinstated (Application Type) of that form by Law Enforcement Agencies (DLEAs) proceedings. This procedure simplifies checking box ‘‘h—other’’ and writing chosen specifically for that purpose. the application process by directing all ‘‘HRIFA—Principal’’ or ‘‘HRIFA— Those instructions will direct the applications to one location and Dependent’’ next to that block. Each applicant to the ASC or DLEA nearest obviating the need to file motions to application must be accompanied by the the applicant’s home and advise the recalendar or reinstate proceedings. required initial evidence, as follows: applicant of the date(s) and time(s) fingerprinting services may be obtained. What Happens If an Applicant Is the (1) A birth certificate or other record Applicants should not submit Subject of a Final Order of Exclusion, of birth; fingerprint cards as part of the initial Deportation, or Removal? (2) A completed Biographic Information Sheet (Form G–325A) if the filing. An alien who is the subject of a final applicant is between 14 and 79 years of order of exclusion, deportation, or Is There a Fee for Filing This age; Application? removal, and who has never filed an (3) A report of medical examination; application for adjustment of status (4) Two photographs as described in HRIFA adjustment of status under section 902 of HRIFA with the the Form I–485 instructions; applications must be submitted with the Immigration Court, must file such (5) A copy of the applicant’s Arrival- fee required by 8 CFR 103.7(b)(1) for application with the Service. However, Departure Record (Form I–94) or other Form I–485 (currently $220 for if such alien has a motion to reopen or evidence of inspection and admission or applicants 14 years of age or older, and a motion to reconsider filed on or before parole into the United States, if $160 for applicants under age 14). In May 12, 1999, pending before an applicable; addition, if the applicant is 14 years of Immigration Court or the Board, then (6) If the applicant is at least 14 years age or older, he or she must submit the the application for adjustment must be of age, a local police clearance from fee of $25 to cover fingerprinting costs. filed with the Immigration Court or with each jurisdiction where the alien has If the application is submitted to the the Board, as appropriate. The mere resided for 6 months or longer since Nebraska Service Center, this $25 fee filing of an application for adjustment of arriving in the United States (although must accompany the application being status under section 902 of HRIFA with the regulation does allow this particular submitted to that Center. If the the Service or the referral of a denied requirement to be waived under certain application is submitted to an application to an Immigration Court circumstances); Immigration Court or the Board of does not stay the execution of the final (7) If the applicant is a principal Immigration Appeals, the fees must be order of removal. To request that applicant, one or more of the documents submitted to the appropriate local office execution of the final order be stayed by described in 8 CFR 245.15(f)(9) to of the Service in accordance with 8 CFR the Service, the alien must file an establish presence in the United States 3.31. An applicant who is deserving of Application for Stay of Removal (Form on December 31, 1995; the benefits of section 902 of HRIFA and
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If the application is adjudicated authorization. 8 CFR 103.7(c). without interview, a notice of the In all other cases, the Service will not decision will be mailed to the applicant. grant applications for work How and Where Should the When an interview is required, the authorization filed by HRIFA applicants Application Be Filed? application will be forwarded to the until the application for adjustment is If the applicant is not in exclusion, local Service office having jurisdiction approved or has been pending for 180 deportation, or removal proceedings over the applicant’s place of residence. days, whichever comes first. This before an Immigration Court or the The applicant will be notified of the approach is in keeping with section Board of Immigration Appeals, or if the date and time to appear for the 902(c)(3) of HRIFA, which mandates applicant has had his or her case interview. If an applicant fails to appear approval of employment authorization if administratively closed or continued for an interview, the application may be the adjustment application ‘‘is pending indefinitely, the application and denied in accordance with existing for a period exceeding 180 days,’’ and attachments must be submitted by mail regulations. has not been denied, and which to: USINS Nebraska Service Center, P.O. authorizes, but does not mandate, Box 87245, Lincoln, NE 68501–7245. Can an Applicant Be Authorized To approval of employment authorization if If the applicant is in proceedings Work While the Application is the application has been pending for pending before an Immigration Court or Pending? fewer than 180 days. the Board of Immigration Appeals, or if If the alien has already received work The Service will emphasize the the applicant has a motion to reopen or authorization under any other provision potential benefits of filing for motion to reconsider filed on or before of the Act, that work authorization will adjustment of status and employment May 12, 1999, pending before an not be affected by the filing of an authorization concurrently during Immigration Court or the Board, the application for adjustment of status public information sessions that the application and attachments must be under HRIFA or by the administrative Service will hold with local community submitted to the Immigration Court with closure of the exclusion, deportation, or groups. The Department believes that jurisdiction over the case or to the Board removal proceeding to pursue relief limiting employment authorization to if the Board has jurisdiction. In cases pursuant to HRIFA. Furthermore, an these circumstances and to before the Immigration Court or the applicant for adjustment under HRIFA circumstances in which 180 days have Board, the application fee should be is able to apply for, and be granted, an elapsed since the filing of the submitted to the Service pursuant to 8 extension of any such employment application will both: (1) Discourage CFR 3.31, as provided above. (If the authorization for which he or she fraudulent applications filed simply as motion to reopen or motion to remains eligible. a way to gain work authorization, and reconsider is filed after May 12, 1999, On December 14, 1998, the Service (2) permit employment more promptly jurisdiction over the application for published a notice in the Federal for those whose applications appear adjustment of status under HRIFA lies Register at 63 FR 68799 which provided likely to be granted. However, in with the Service, not with EOIR.) for an automatic extension until publishing this interim rule, the Applications for adjustment of status December 22, 1999, of the validity of Department solicits the views of under HRIFA may not be submitted to certain Employment Authorization interested parties on this topic. Documents (EADs) issued to Haitian any other Service location or to any Can an Alien Submit an Application for consular post. nationals pursuant to the Deferred Enforced Departure (DED) program. This Adjustment of Status If He or She Is Can Someone Else Sign the Application was done as a transitional measure to Outside the United States? if the Applicant Is a Child or a Person afford Haitian beneficiaries of DED the No. The statute and regulations Who Is Mentally Incompetent? opportunity to apply for a HRIFA-based require that an alien must be physically In accordance with 8 CFR 103.2(a)(2), EAD. In accordance with that notice and present in the United States in order to an application may be signed by a subsequent guidance to Service field properly file an application. However, a parent or legal guardian if the applicant offices, the EADs covered by the special provision at 8 CFR 245.15(t)(2) is under 14 years of age, and by a legal automatic extension include those allows an otherwise-eligible alien who guardian if the applicant is mentally bearing an expiration date of December is outside the United States to submit a incompetent. However, a person who is 22, 1998, or later, and either the request for parole authorization. This under age 14 is not precluded from notation ‘‘274a.12(A)(11)’’ under special provision is similar to the one signing the application if he or she is ‘‘provision of law’’ or the notation ‘‘A– contained in the implementing capable of understanding the 11’’ under ‘‘category.’’ regulations for NACARA. Because of the significance of the attestation. Any applicant for adjustment of status similarity in the two statutes, the under HRIFA who wishes to obtain Department has decided to treat the Will an Applicant Filing an Application initial employment authorization, or beneficiaries of NACARA and HRIFA in for Adjustment of Status With the continued employment authorization the same manner. These provisions, Service Under HRIFA Be Required To when his or her prior authorization however, cannot and do not create any Appear Before the Service for an expires, during the pendency of the additional parole authority, because a Interview? adjustment of status application, may parole can only be issued under the The decision whether to require an file an Application for Employment Attorney General’s discretionary interview is solely within the discretion Authorization (Form I–765) with the authority contained in section 212(d)(5) of the Service, which may elect to waive Service. of the Act. The provisions merely the interview of the applicant. The For those applicants whose cases are specify that the requests be filed with, interim regulations provide that the supported by evidence which can be and adjudicated by, the director of the Service may waive the interview if the verified through Service records, this designated service center. For NACARA application and supporting evidence, interim rule provides that employment applications, the designated service including Service records, verify that authorization may be granted upon center is the Texas Service Center; for the alien is either clearly eligible or filing of the application for adjustment HRIFA applications, it is the Nebraska
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Service Center. The regulatory authority prior to departure. While being deemed terminated as of the date of of the Director of the Nebraska Service inadmissible would not preclude the approval of the application for Center to adjudicate such requests will alien from being paroled into the United adjustment of status. expire on March 31, 2000. States, it would preclude the alien from What Happens if an Application is An alien requesting parole under this being admitted to the United States or Denied by the Service? special provision should attach being granted an adjustment of status, photocopies of the documents the alien unless the alien first applied for and If the Service finds that an applicant intends to file in support of his or her was granted permission to reapply for is ineligible for adjustment of status claim for eligibility for adjustment of admission into the United States. under HRIFA, the Service will advise status under HRIFA if the parole How Can Such an Alien Apply for him or her of its determination and of authorization is granted. Parole the applicant’s right to seek, and the authorization may be granted, as a Permission to Reapply for Admission into the United States? procedures for seeking, consideration of matter of discretion, if, upon review of the application by an immigration the application for parole authorization An alien needing such permission judge. Depending on the individual case and related documents, it is determined may file an Application for Permission circumstances, those procedures could that the application for adjustment of to Reapply for Admission Into the take one of three different routes as status is likely to be approved once it United States After Deportation or follows: has been properly filed. The alien Removal (Form I–212), in accordance (1) If exclusion, deportation, or would be allowed to file the application with the instructions on that form. Form removal proceedings had never been after being paroled into the country. I–212 may be filed prior to the alien’s commenced, the Service will issue a Accordingly, an alien who is otherwise departure. Persons needing such forms Notice to Appear, thereby initiating inadmissible must remain outside the may obtain them through the Service’s removal proceedings during which the United States until the request for Forms Center at 1–800–870–3676. applicant may renew his or her parole authorization is approved. If the What Documentation Will Be Issued If application for adjustment under HRIFA alien attempts to enter the United States the Adjustment Application Is before the Immigration Court. In such without the parole authorization, he or Approved? proceedings, an immigration judge shall she could be found inadmissible to, and adjudicate the renewed application. removed from, the United States. After processing is completed, a notice of the decision will be mailed to (2) If exclusion, deportation, or Can an Applicant Travel Outside the the HRIFA applicant. Applicants should removal proceedings had been initiated United States While the Application Is keep this notice for their records. If the and later administratively closed, the Pending? application has been approved, a Service will advise the alien of the Nothing in HRIFA authorizes the permanent resident card will be mailed Service’s denial of the HRIFA Service to allow an applicant to re-enter separately to the applicant. To obtain adjustment application and will move the United States without proper temporary evidence of lawful the Immigration Court, or the Board if documents. If an applicant plans to permanent resident status, the applicant at the time of administrative closure the leave the United States to go to any may present the original approval notice Board had jurisdiction over the case, to other country before a decision is made and his or her passport or other photo recalendar or reinstate the proceeding. on his or her HRIFA adjustment identification at his or her local Service The previously closed removal application, he or she should contact office. The local Service office will issue proceedings will then be recalendared the Service to request advance temporary evidence of lawful by the Immigration Court, or reinstated authorization for parole. If an applicant permanent resident status after verifying by the Board, as appropriate. leaves the United States without such the approval of the HRIFA adjustment of (3) If a final order of exclusion, advance authorization, action on his or status application. If the applicant is not deportation, or removal had been her HRIFA adjustment application may in possession of a passport in which issued, the Service, using Form I–290C, be terminated and the application may such temporary evidence may be Notice of Certification, will refer its be denied. An applicant may also endorsed, he or she should also submit decision to deny the HRIFA adjustment experience difficulty when returning to two photographs meeting Alien application to the Immigration Court, the United States if he or she does not Documentation, Identification, and which will adjudicate the application in have such advance authorization. Telecommunication System (ADIT) proceedings designed solely for the Furthermore, any absence from the specifications so that the Service may purpose of such adjudication. United States without an advance parole prepare and issue temporary evidence of What Happens If an Application Is authorization issued prior to the alien’s lawful permanent residence status. Denied by the Immigration Court? departure counts toward the 180-day Is There Any Special Action That an aggregate time period that the applicant If the Immigration Court denies the Applicant Who Had Been in Exclusion, is allowed to be outside the United HRIFA adjustment application of an Deportation, or Removal Proceedings States. alien in exclusion, deportation, or Must Take Once the Application Has removal proceedings before the What Is the Status of an Alien Who Is Been Approved? Immigration Court, the decision may be Under a Final Order of Exclusion, No. If the alien previously had been appealed to the Board along with and Deportation, or Removal and Who issued a final order of exclusion, under the same procedures as all other Departs From the United States? deportation, or removal, such order issues before the Immigration Court in Such alien would be a ‘‘self-deport’’ shall automatically be deemed canceled those proceedings. and would be subject to the as of the date of the approval of the If the Immigration Court denies the inadmissibility provisions of section application for adjustment of status. If HRIFA adjustment application of an 212(a)(9) of the Act. This is true the alien had been in exclusion, alien whose case was remanded to the regardless of whether the alien obtained deportation, or removal proceedings Immigration Court by the Board, the an Authorization for Parole of an Alien that were administratively closed, such Immigration Court shall certify the Into the United States (Form I–512) proceedings shall automatically be decision to the Board for review.
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If the Immigration Court denies the procedures applicable to aliens who file ‘‘significant regulatory action’’ under HRIFA adjustment application of an HRIFA adjustment applications in section 3(f) of Executive Order 12866, alien whose case was referred by the ongoing removal and deportation Regulatory Planning and Review. Service for a HRIFA-only inquiry, the proceedings. Accordingly, this regulation has been alien shall have the right to appeal the As for those aliens who, upon submitted to the Office of Management decision to the Board, subject to the reopening and remand by the Board to and Budget for review. requirements in 8 CFR parts 3 and 240 the Immigration Court, fail to file a governing appeals from Immigration HRIFA adjustment application with the Executive Order 12612 Courts to the Board, including the Immigration Court, the immigration The regulation will not have requirements of filing a Notice of judge will certify the case back to the substantial direct effects on the States, Appeal to the Board of Immigration Board for consideration of the on the relationship between the Appeals of Decision of Immigration previously pending appeal or motion. If, National Government and the States, or Judge (Form EOIR–26) and paying the prior to receiving a final order from the on the distribution of power and filing fee. Board, the alien subsequently requests a responsibilities among the various levels of government. Therefore, in What Happens If an Alien Fails To remand to file a HRIFA adjustment accordance with Executive Order 12612, Appear for a Hearing Before the application, the Board shall remand the it is determined that this rule does not Immigration Court on a HRIFA case to the Immigration Court, unless have sufficient federalism implications Adjustment Application? the alien is clearly ineligible for such relief. to warrant the preparation of a An alien must appear for all Federalism Assessment. scheduled hearings before an May an Applicant Who Receives a Immigration Court, unless his or her Final Determination by the Service, the Small Business Regulatory Enforcement appearance is waived by the Immigration Court, or the Board Fairness Act of 1996 Immigration Court. An alien who is in Denying His or Her Application of This rule is not a major rule as exclusion, deportation, or removal HRIFA Adjustment Appeal That defined by section 251 of the Small proceedings before the Immigration Decision to a Federal Court? Business Regulatory Enforcement Act of Court, and who fails to appear for a No. While the regulations provide for 1996. 5 U.S.C. 804. This rule will not hearing regarding a HRIFA adjustment various avenues for administrative result in an annual effect on the application, will be subject to the review of negative HRIFA economy of $100 million or more; a applicable statutory and regulatory in determinations, section 902(f) of HRIFA major increase in costs or prices; or absentia procedures (i.e., section 242B provides that ‘‘[a] determination by the significant adverse effects on of the Act as it existed prior to the Attorney General as to whether the competition, employment, investment, amendments of the Illegal Immigration status of any alien should be adjusted productivity, innovation, or on the Reform and Immigrant Responsibility under [HRIFA] is final and shall not be ability of United States-based Act of 1996 (IIRIRA) on September 30, subject to review by any court.’’ companies to compete with foreign- 1996, for deportation proceedings, and based companies in domestic and section 240 of the Act as amended by Good Cause Exception export markets. IIRIRA for removal proceedings). The Department’s implementation of this rule as an interim rule, with Executive Order 12988: Civil Justice What Rules of Procedure Apply in Reform HRIFA-Only Hearings Conducted on provision for post-promulgation public Cases Referred by the Service to the comment, is based upon the ‘‘good This interim rule meets the applicable Immigration Court? cause’’ exceptions found at 5 U.S.C. standards set forth in sections 3(a) and 553(b)(B). Section 902 of HRIFA became 3(b)(2) of Executive Order 12988. Although an alien who is placed effective immediately upon enactment Unfunded Mandates Reform Act of before the Immigration Court for a on October 21, 1998. Publication of this 1995 HRIFA-only hearing after referral on a rule as an interim rule will expedite Notice of Certification (Form I–290) to implementation of that section and This rule will not result in the the Immigration Court by the Service is allow Haitian nationals to apply for and expenditure by State, local, and tribal not specifically subject to the statutory obtain the benefits available to governments, in the aggregate, or by the and regulatory provisions governing applicants for adjustment of status private sector, of $100 million or more exclusion, deportation, and removal under HRIFA as soon as possible in in any 1 year, and will not significantly proceedings, the Department has light of the statutory application or uniquely affect small governments. inserted language in this interim rule deadline of March 31, 2000. Therefore, no actions were deemed reflecting the standards in section 240 of necessary under the provisions of the the Act for removal proceedings, Regulatory Flexibility Act Unfunded Mandates Reform Act of including the in absentia procedures. In accordance with 5 U.S.C. 605(b), 1995. Absent specific statutory direction in the Attorney General certifies that this Paperwork Reduction Act this area, the procedures of section 240 rule will not, if promulgated, have a of the Act were chosen because such significant adverse economic impact on The information collection procedures are similar to those from the a substantial number of small entities. requirement contained in this rule pre-IIRIRA section 242B of the Act and This rule allows certain Haitian (Form I–485, Supplement C) was indicate Congress’ most recent nationals to apply for adjustment of submitted to the Office of Management preference to have procedures dealing status; it has no effect on small entities and Budget (OMB) for emergency with failures to appear for immigration as that term is defined in 5 U.S.C. review and approval under 5 CFR proceedings. Use of the language from 601(6). 1320.13(a)(1)(i) and (a)(2)(iii). In a section 240 of the Act also ensures that notice published in the Federal Register the in absentia procedures used for Executive Order 12866 on April 2, 1999 at 64 FR 15990, the those in HRIFA-only proceedings are This rule is considered by the Immigration and Naturalization Service consistent with the in absentia Department of Justice to be a notified the public of the proposed
VerDate 06-MAY-99 13:30 May 11, 1999 Jkt 183247 PO 00000 Frm 00011 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR5.XXX pfrm07 PsN: 12MYR5 25766 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations information collection contained in PART 3ÐEXECUTIVE OFFICE FOR 5. Section 212.7 is amended by: Form I–485 Supplement C. The IMMIGRATION REVIEW a. Adding a new paragraph (a)(1)(iii); information collection requirement in b. Removing the word ‘‘or’’ at the end this application will be used to 1. The authority citation for part 3 continues to read as follows: of paragraph (b)(2)(ii); determine whether an alien applying for c. Removing the period at the end of adjustment of status under the Authority: 5 U.S.C. 301; 8 U.S.C. 1103, paragraph (b)(2)(iii) and inserting in its provisions of section 902 of Division A, 1252 note, 1252b, 1324b, 1362, 28 U.S.C. 509, place a ‘‘; or’’; and by Title IX of Public Law 105–277 is 510, 1746; sec. 2, Reorg. Plan No. 2 of 1950; 3 CFR, 1949–1953 Comp., p. 1002; section d. Adding a new paragraph (b)(2)(iv), eligible to become a permanent resident to read as follows: of the United States. The estimated total 203 of Pub. L. 105–100. number of respondents is 50,000 and 2. Section 3.1 is amended by revising § 212.7 Waiver of certain grounds of the amount of time estimated for an paragraph (b)(12) to read as follows: excludability. average respondent to respond is 30 § 3.1 General authorities. (a) * * * minutes for a total public burden of (1) * * * 25,000 hours. * * * * * (b) * * * (iii) Parole authorization applicant This information collection request (12) Decisions of Immigration Judges under § 245.15(l). An applicant for has been approved by OMB and has an on applications for adjustment of status parole authorization under § 245.15(l) of OMB Number of 1115–0229. The referred on a Notice of Certification this chapter who is inadmissible and emergency approval is only valid for (Form I–290C) to the Immigration Court seeks a waiver under section 212(h) or 180 days. Comments and suggestions in accordance with §§ 245.13(n)(2) and (i) of the Act must file an application on concerning the information collection 245.15(n)(3) of this chapter or remanded Form I–601 with the Director of the are encouraged and will be accepted to the Immigration Court in accordance Nebraska Service Center considering the until June 1, 1999. To obtain a copy of with §§ 245.13(d)(2) and 245.15(e)(2) of Form I–131. the collection instrument or to make this chapter. * * * * * comments on this information * * * * * (b) * * * collection you may contact Mr. Richard (2) * * * A. Sloan, (202) 514–3291, Director, PART 212ÐDOCUMENTARY (iv) The Nebraska Service Center, if Policy Directives and Instructions REQUIREMENTS: NONIMMIGRANTS; Branch, Immigration and Naturalization the alien is outside the United States WAIVERS; ADMISSION OF CERTAIN and seeking parole authorization under Service, U.S. Department of Justice, INADMISSIBLE ALIENS; PAROLE Room 5307, 425 I Street, NW, § 245.15(l)(2) of this chapter. Washington, DC 20536. 3. The authority citation for part 212 * * * * * continues to read as follows: List of Subjects PART 240ÐPROCEEDINGS TO Authority: 8 U.S.C. 1101, 1102, 1103, 1182, DETERMINE REMOVABILITY OF 8 CFR Part 3 1184, 1187, 1225, 1226, 1227, 1228, 1252; 8 CFR part 2. ALIENS IN THE UNITED STATES Administrative practice and 4. Section 212.2 is amended by: 6. The authority citation for part 240 procedure, Immigration, Organization a. Removing the words ‘‘An is revised to read as follows: and functions (Government agencies). applicant’’ and adding in their place the Authority: 8 U.S.C. 1103, 1182, 1186a, 8 CFR Part 212 words ‘‘Except as provided in paragraph 1224, 1225, 1226, 1227, 1251, 1252 note, (g)(3) of this section, an applicant’’ in 1252a, 1252b, 1362; sec. 202, Pub. L. 105– Administrative practice and the first sentence in paragraph (d); 100, 111 Stat. 2160, 2193; sec. 902, Pub. L. procedure, Aliens, Passports and visas, b. Removing the words ‘‘If the 105–277, 112 Stat. 2681; 8 CFR part 2. Immigration, Reporting and applicant’’ and adding in their place the recordkeeping requirements. words ‘‘Except as provided in paragraph § 240.1 [Amended] (g)(3) of this section, if the applicant’’ in 7. In § 240.1, paragraph (a)(1)(ii) is 8 CFR Part 240 the second sentence in paragraph (d); amended in the first sentence by Administrative practice and and by removing the words ‘‘and section 202 of procedure, Aliens, Immigration. c. Adding a new paragraph (g)(3), to Pub. L. 105–100’’ and adding in their read as follows: place the words ‘‘, section 202 of Pub. 8 CFR Part 245 L. 105–100, and section 902 of Pub. L. § 212.2 Consent to reapply for admission 105–277’’. Aliens, Immigration, Reporting and after deportation, removal, or departure at recordkeeping requirements. Government expense. § 240.11 [Amended] * * * * * 8 CFR Part 274a 8. In § 240.11, paragraph (a)(1) is (g) * * * amended in the first sentence by Administrative practice and (3) If an alien who is an applicant for removing the words ‘‘or section 202 of procedure, Aliens, Employment, parole authorization under § 245.15(l) of Pub. L. 105–100,’’ and adding in their Penalties, Reporting and recordkeeping this chapter requires consent to reapply place the words ‘‘section 202 of Pub. L. requirements. for admission after deportation, 105–100, or section 902 of Pub. L. 105– removal, or departure at Government 277,’’. 8 CFR Part 299 expense, or a waiver under section 212(g), 212(h), or 212(i) of the Act, he § 240.31 [Amended] Immigration, Reporting and or she may file the requisite Form I–212 9. Section 240.31 is amended in the recordkeeping requirements. or Form I–601 at the Nebraska Service first sentence by adding the phrase ‘‘, or Accordingly, chapter I of title 8 of the Center concurrently with the Form I– section 902 of Pub. L. 105–277’’ Code of Federal Regulations is amended 131, Application for Travel Document. immediately after the phrase ‘‘section as follows: * * * * * 202 of Pub. L. 105–100’’.
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§ 240.41 [Amended] Parent, father, or mother means a described in paragraphs (h), (i), (j) and 10. In § 240.41, paragraph (a) is parent, father, or mother only where the (k) of this section; amended in the first sentence by relationship exists by reason of any of (3) Admissibility. The alien is not removing the words ‘‘and section 202 of the circumstances set forth in inadmissible to the United States for Pub. L. 105–100’’ and adding in their paragraphs (A) through (E) of section permanent residence under any place the words ‘‘section 202 of Pub. L. 101(b)(1) of the Act. provisions of section 212(a) of the Act, 105–100, and section 902 of Pub. L. (b) Applicability of provisions of except as provided in paragraph (e) of 105–277’’. section 902 of HRIFA in general. Section this section; and 902 of Division A of Pub. L. 105–277, (4) Continuous physical presence. The PART 245ÐADJUSTMENT OF STATUS the Haitian Refugee Immigrant Fairness alien has been physically present in the TO THAT OF PERSON ADMITTED FOR Act of 1998 (HRIFA), provides special United States for a continuous period PERMANENT RESIDENCE rules for adjustment of status for certain beginning on December 31, 1995, and 11. The authority citation for part 245 nationals of Haiti, if they meet the other ending on the date the application for is revised to read as follows: requirements of HRIFA. adjustment is granted, except for the (1) Principal applicants. Section following periods of time: Authority: 8 U.S.C. 1101, 1103, 1182, 1255; 902(b)(1) of HRIFA defines five (i) Any period or periods of absence sec. 202, Pub. L. 105–100, 111 Stat. 2160, from the United States not exceeding 2193; sec. 902, Pub. L. 105–277, 112 Stat. categories of principal applicants who 2681; 8 CFR part 2. may apply for adjustment of status, if 180 days in the aggregate; and the alien was physically present in the (ii) Any periods of absence for which 12. Section 245.15 is added to read as the applicant received an Advance follows: United States on December 31, 1995: (i) An alien who filed for asylum Authorization for Parole (Form I–512) § 245.15 Adjustment of Status of Certain before December 31, 1995; prior to his or her departure from the Haitian Nationals under the Haitian Refugee (ii) An alien who was paroled into the United States, provided the applicant Immigrant Fairness Act of 1998 (HRIFA). United States prior to December 31, returned to the United States in (a) Definitions. As used in this 1995, after having been identified as accordance with the conditions of such section, the terms: having a credible fear of persecution, or Advance Authorization for Parole. (iii) Any periods of absence from the Abandoned and abandonment mean paroled for emergent reasons or reasons United States occurring after October that prior to a child’s 21st birthday both deemed strictly in the public interest; or 21, 1998, and before July 12, 1999, parents have willfully forsaken all (iii) An alien who at the time of provided the applicant departed the parental rights, obligations, and claims arrival in the United States and on United States prior to December 31, to the child, as well as all control over December 31, 1995, was unmarried and and possession of the child, without 1998. under 21 years of age and who: (d) Eligibility of dependents of a intending to transfer these rights to any (A) Arrived in the United States specific person(s). principal HRIFA beneficiary. A Haitian without parents in the United States and national who is the spouse, child, or Guardian means a person lawfully has remained without parents in the invested (by order of a competent unmarried son or daughter of a United States since his or her arrival; principal beneficiary eligible for Federal, State, or local authority) with (B) Became orphaned subsequent to the power, and charged with the duty, adjustment of status under the arrival in the United States; or provisions of HRIFA is eligible to apply of taking care of, including managing (C) Was abandoned by parents or the property, rights, and affairs of, a for benefits as a dependent, if the guardians prior to April 1, 1998, and has dependent alien meets the following child. remained abandoned since such Orphan and orphaned refer to the requirements: abandonment. involuntary detachment or severance of (1) Physical presence. The alien is (2) Dependents. Section 902(d) of a child from his or her parents prior to physically present in the United States HRIFA provides for certain Haitian the child’s 21st birthday due to any of at the time the application is filed; nationals to apply for adjustment of the following: (2) Proper application. The alien (1) The death of both parents; status as the spouse, child, or unmarried properly files an application for (2) The death of one parent and the son or daughter of a principal HRIFA adjustment of status as a dependent in irrevocable and written release of all beneficiary, even if the individual accordance with this section, including parental rights by the sole surviving would not otherwise be eligible for the evidence described in paragraphs (h) parent based upon the inability of that adjustment under section 902. The and (l) of this section; parent to provide proper care for the eligibility requirements for dependents (3) Admissibility. The alien is not child; are described further in paragraph (d) of inadmissible to the United States for (3) The desertion by both parents, as this section. permanent residence under any that phrase is defined in § 204.3(b) of (c) Eligibility of principal HRIFA provisions of section 212(a) of the Act, this chapter, or by the sole or surviving applicants. A Haitian national who is except as provided in paragraph (e) of parent; described in paragraph (b)(1) of this this section; (4) The disappearance of both parents, section is eligible to apply for (4) Existence of relationship at time of as that phrase is defined in § 204.3(b) of adjustment of status under the adjustment. The alien’s qualifying this chapter, or of the sole or surviving provisions of section 902 of HRIFA if relationship to the principal beneficiary parent; the alien meets the following existed at the time the principal (5 The loss from both parents, as that requirements: beneficiary was granted adjustment of phrase is defined in § 204.3(b) of this (1) Physical presence. The alien is status and continues to exist at the time chapter, or from the sole or surviving physically present in the United States the dependent alien is granted parent; or at the time the application is filed; adjustment of status; and (6) The separation from both parents, (2) Proper application. The alien (5) Continuous physical presence. If as that phrase is defined in § 204.3(b) of properly files an application for the alien is applying as the unmarried this chapter, or from the sole or adjustment of status in accordance with son or unmarried daughter of a surviving parent. this section, including the evidence principal HRIFA beneficiary, he or she
VerDate 06-MAY-99 13:30 May 11, 1999 Jkt 183247 PO 00000 Frm 00013 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR5.XXX pfrm07 PsN: 12MYR5 25768 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations must have been physically present in Service will instruct the applicant to as the Service has adjudicated the the United States for a continuous appear for fingerprinting as prescribed application for adjustment in period beginning not later than in § 103.2(e) of this chapter. The accordance with this section. December 31, 1995, and ending on the Director of the Nebraska Service Center (h) Application and supporting date the application for adjustment is shall have jurisdiction over all documents. Each applicant for granted, as provided in paragraphs (c)(4) applications filed with the Service for adjustment of status must file an and (j) of this section. adjustment of status under section 902 Application to Register Permanent (e) Applicability of grounds of of HRIFA, unless the Director refers the Residence or Adjust Status (Form I– inadmissibility contained in section applicant for a personal interview at a 485). An applicant should complete Part 212(a). (1) Certain grounds of local Service office as provided in 2 of Form I–485 by checking box ‘‘h— inadmissibility inapplicable to HRIFA paragraph (o)(1) of this section. other’’ and writing ‘‘HRIFA—Principal’’ applicants. Paragraphs (4), (5), (6)(A), (2) Filing of applications by aliens in or ‘‘HRIFA—Dependent’’ next to that (7)(A) and (9)(B) of section 212(a) of the pending exclusion, deportation, or block. Each application must be Act are inapplicable to HRIFA principal removal proceedings. An alien who is in accompanied by: applicants and their dependents. exclusion, deportation, or removal (1) Application fee. The fee for Form Accordingly, an applicant for proceedings pending before the I–485 prescribed in § 103.7(b)(1) of this adjustment of status under section 902 Immigration Court or the Board, or who chapter; of HRIFA need not establish has a pending motion to reopen or (2) Fingerprinting fee. If the applicant admissibility under those provisions in motion to reconsider filed with the is 14 years of age or older, the fee for order to be able to adjust his or her Immigration Court or the Board on or fingerprinting prescribed in § 103.7(b)(1) status to that of permanent resident. before May 12, 1999, must apply for of this chapter; (2) Availability of individual waivers. HRIFA benefits to the Immigration (3) Identifying information. If a HRIFA applicant is inadmissible Court or the Board, as provided in (i) A copy of the applicant’s birth under any of the other provisions of paragraph (p)(1) of this section, rather certificate or other record of birth as section 212(a) of the Act for which an than to the Service. However, an alien provided in paragraph (m) of this immigrant waiver is available, the whose proceeding has been section; applicant may apply for one or more of administratively closed (see paragraph (ii) A completed Biographic the immigrant waivers of (p)(4) of this section) may only apply for Information Sheet (Form G–325A), if the inadmissibility under section 212 of the HRIFA benefits with the Service as applicant is between 14 and 79 years of Act, in accordance with § 212.7 of this provided in paragraph (g)(1) of this age; chapter. section. (f) Time for filing of applications. (1) (3) Filing of applications with the (iii) A report of medical examination, Applications for HRIFA benefits by a Service by aliens who are subject to a as specified in § 245.5 of this chapter; principal HRIFA applicant. The final order of exclusion, deportation, or and application period begins on June 11, removal. An alien who is subject to a (iv) Two photographs, as described in 1999. To benefit from the provisions of final order of exclusion, deportation, or the instructions to Form I–485; section 902 of HRIFA, an alien who is removal, and who has not been denied (4) Arrival-Departure Record. A copy applying for adjustment as a principal adjustment of status under section 902 of the Form I–94, Arrival-Departure applicant must properly file an of HRIFA by the Immigration Court or Record, issued at the time of the application for adjustment of status the Board, may only apply for HRIFA applicant’s arrival in the United States, before April 1, 2000. benefits with the Service as provided in if the alien was inspected and admitted (2) Applications by dependent aliens. paragraph (g)(1) of this section. This or paroled; The spouse, minor child, or unmarried includes applications for HRIFA (5) Police clearances. If the applicant son or daughter of an alien who is benefits filed by aliens who have filed is 14 years of age or older, a police eligible for adjustment of status as a a motion to reopen or motion to clearance from each municipality where principal beneficiary under HRIFA may reconsider a final order after May 12, the alien has resided for 6 months or file an application for adjustment of 1999. longer since arriving in the United status under this section concurrently (i) Stay of final order of exclusion, States. If there are multiple local law with or subsequent to the filing of the deportation, or removal. The filing of an enforcement agencies (e.g., city police application of the principal HRIFA application for adjustment under and county sheriff) with jurisdiction beneficiary. An application filed by a section 902 of HRIFA with the Service over the alien’s residence, the applicant dependent may not be approved prior to shall not stay the execution of such final may obtain a clearance from either approval of the principal’s application. order unless the applicant has requested agency. If the applicant resides or (g) Jurisdiction for filing of and been granted a stay in connection resided in a State where the State police applications. (1) Filing of applications with the HRIFA application. An alien maintain a compilation of all local with the Service. The Service has who has filed a HRIFA application with arrests and convictions, a statewide jurisdiction over all applications for the the Service may file an Application for clearance is sufficient. If the applicant benefits of section 902 of HRIFA as a Stay of Removal (Form I–246) in presents a letter from the local police principal applicant or as a dependent accordance with section 241(c)(2) of the agencies involved, or other evidence, to under this section, except for Act and § 241.6 of this chapter. the effect that the applicant attempted to applications filed by aliens who are in (ii) Grant of stay. Absent evidence of obtain such clearance but was unable to pending immigration proceedings as the applicant’s statutory ineligibility for do so because of local or State policy, provided in paragraph (g)(2) of this adjustment of status under section 902 the director or immigration judge having section. All applications filed with the of HRIFA or significant negative jurisdiction over the application may Service for the benefits of section 902 of discretionary factors, a Form I–246 filed waive the local police clearance; HRIFA must be submitted by mail to: by a bona fide applicant for adjustment (6) Proof of Haitian nationality. If the USINS Nebraska Service Center, PO Box under section 902 of HRIFA shall be applicant acquired Haitian nationality 87245, Lincoln, NE 68501–7245. After approved and the removal of the other than through birth in Haiti, a copy proper filing of the application, the applicant shall be stayed until such time of the certificate of naturalization or
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In general, there should be section. 1995, and which lists the applicant as no chronological gaps in such (i) Evidence of presence in the United being physically present in the United documentation exceeding 90 days in States on December 31, 1995. An alien States; length, excluding periods when the seeking HRIFA benefits as a principal (vii) A certified copy of a Federal, applicant states that he or she was not applicant must provide with the State, or local governmental record physically present in the United States. application evidence establishing the which was created on or prior to Such documentation need not bear the alien’s presence in the United States on December 31, 1995, shows that the seal of the issuing authority. December 31, 1995. Such evidence may applicant was present in the United (2) Examples. Documentation consist of one of the following kinds of States at the time, and establishes that establishing continuity of physical documentation: the applicant sought in his or her own presence may include, but is not limited (1) Form I–94. A photocopy of the behalf, or some other party sought in the to: Form I–94, Arrival-Departure Record, applicant’s behalf, a benefit from the (i) School records; issued upon the alien’s arrival in the Federal, State, or local governmental (ii) Rental receipts; United States; agency keeping such record; and (iii) Utility bill receipts; (2) Form I–122. A photocopy of the (viii) A certified copy of a Federal, (iv) Any other dated receipts; Form I–122, Notice to Applicant for State, or local governmental record (v) Personal checks written by the Admission Detained for Hearing before which was created on or prior to applicant bearing a dated bank Immigration Judge, issued by the December 31, 1995, shows that the cancellation stamp; Service on or prior to December 31, applicant was present in the United (vi) Employment records, including 1995, placing the applicant in exclusion States at the time, and establishes that pay stubs; (vii) Credit card statements showing proceedings under section 236 of such the applicant submitted an income tax the dates of purchase, payment, or other Act (as in effect prior to April 1, 1997); return, property tax payment, or similar transaction; (3) Form I–221. A photocopy of the submission or payment to the Federal, State, or local governmental agency (viii) Certified copies of records Form I–221, Order to Show Cause, maintained by organizations chartered issued by the Service on or prior to keeping such record; or (6) Private or religious school by the Federal or State government, December 31, 1995, placing the transcripts. In the case of an applicant such as public utilities, accredited applicant in deportation proceedings seeking classification as a child under private and religious schools, and under section 242 or 242A of such Act section 902(b)(1)(C) of HRIFA, a banks; (as in effect prior to April 1, 1997); transcript from a private or religious (ix) If the applicant establishes that a (4) Other Service document. A school which: family unit was in existence and photocopy of any application or petition (i) Is registered with, or approved or cohabiting in the United States, for a benefit under the Immigration and licensed by, appropriate State or local documents evidencing presence of Nationality Act filed by or on behalf of authorities; another member of that same family the applicant on or prior to December (ii) Is accredited by the State or unit; and 31, 1995, which establishes his or her regional accrediting body, or by the (x) For applicants who have had presence in the United States, or a fee appropriate private school association; ongoing correspondence or other receipt issue by the Service for such or interaction with the Service, a list of the application or petition; (iii) Maintains enrollment records in types and dates of such correspondence (5) Other government documentation. accordance with State or local or other contact that the applicant Other documentation issued by a requirements or standards. knows to be contained or reflected in Federal, State, or local authority (j) Evidence of continuity of presence Service records. provided such other documentation in the United States since December 31, (3) Evidence relating to absences from bears the signature, seal, or other 1995. An alien seeking HRIFA benefits the United States since December 31, authenticating instrument of such as a principal applicant, or as the 1995. If the alien is applying as a authority (if the document normally unmarried son or daughter of a principal applicant, or as the unmarried bears such instrument), was dated at the principal applicant, must provide with son or daughter of a principal applicant, time of issuance, and bears a date of the application evidence establishing and has departed from and returned to issuance not later than December 31, continuity of the alien’s physical the United States since December 31, 1995. For this purpose, the term presence in the United States since 1995, the alien must provide with the Federal, State, or local authority December 31, 1995. (This requirement application an attachment on a plain includes any governmental, educational, does not apply to a dependent seeking piece of paper showing: or administrative function operated by HRIFA benefits as the spouse or minor (i) The date of the applicant’s last Federal, State, county, or municipal child of a principal applicant.) arrival in the United States before officials. Examples of such other (1) Evidence establishing presence. December 31, 1995; documentation include, but are not Evidence establishing the continuity of (ii) The date of each departure (if any) limited to: the alien’s physical presence in the from the United States since that arrival; (i) A State driver’s license; United States since December 31, 1995, (iii) The reason for each departure; (ii) A State identification card issued may consist of any documentation and in lieu of a driver’s license to a non- issued by any governmental or non- (iv) The date, manner, and place of driver; governmental authority, provided such each return to the United States. (iii) A county or municipal hospital evidence bears the name of the (k) Evidence establishing the alien’s record; applicant, was dated at the time it was eligibility under section 902(b) of
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HRIFA. An alien seeking HRIFA benefits (4) Orphaned child. If the alien is a adoption decree, or other relevant as a principal applicant must provide principal applicant who is or was a evidence. with the application evidence child who became orphaned subsequent (m) Secondary evidence. If the establishing that the alien satisfies one to arrival in the United States, the primary evidence required in paragraph of the eligibility standards described in applicant must provide with the (h)(3)(i), (l)(1) or (l)(2) of this section is paragraph (b)(1) of this section. application: unavailable, church or school records, (1) Applicant for asylum. If the alien (i) Evidence, such as Form I–94, or other secondary evidence pertinent to is a principal applicant who filed for showing the date, location, and manner the facts in issue, may be submitted. If asylum before December 31, 1995, the of his or her arrival in the United States; such documents are unavailable, applicant must provide with the and affidavits may be submitted. The application either: (ii) Either: applicant may submit as many types of (i) A photocopy of the first page of the (A) The death certificates of both secondary evidence as necessary to Application for Asylum and parents (or in the case of a child having establish birth, marriage, or other Withholding of Removal (Form I–589); only one parent, the death certificate of relevant event. Documentary evidence or the sole parent) showing that the death establishing that primary evidence is (ii) If the alien is not in possession of or deaths occurred after the date of the unavailable must accompany secondary a photocopy of the first page of the Form applicant’s arrival in the United States, evidence of birth or marriage in the I–589, a statement to that effect giving or home country. In adjudicating the the date of filing and the location of the (B) Evidence from a State, local, or application for adjustment of status Service office or Immigration Court at other court or governmental authority under section 902 of HRIFA, the Service which it was filed; having jurisdiction and authority to or immigration judge shall determine (2) Parolee. If the alien is a principal make decisions in matters of child the weight to be given such secondary applicant who was paroled into the welfare establishing the disappearance evidence. Secondary evidence may not United States prior to December 31, of, the separation or loss from, or be submitted in lieu of the 1995, after having been identified as desertion by, both parents (or, in the documentation specified in paragraphs having a credible fear of persecution, or case of a child born out of wedlock who (i) and (j) of this section. However, paroled for emergent reasons or reasons has not been legitimated, the sole subject to verification by the Service, if deemed strictly in the public interest, parent). the documentation specified in the applicant must provide with the (5) Abandoned child. If the alien is a paragraphs (i) and (j) is already application either: principal applicant who was abandoned contained in the Service’s file relating to (i) A photocopy of the Arrival- by parents or guardians prior to April 1, the applicant, the applicant may submit Departure Record (Form I–94) issued 1998, and has remained abandoned an affidavit to that effect in lieu of the when he or she was granted parole; or since such abandonment, the applicant actual documentation. (ii) If the alien is not in possession of must provide with the application: (n) Authorization to be employed in the original Form I–94, a statement to (i) Evidence, such as Form I–94, the United States while the application that effect giving the date of parole and showing the date, location, and manner is pending. (1) Application for the location of the Service port-of-entry of his or her arrival in the United States; employment authorization. An at which parole was authorized. and applicant for adjustment of status under (3) Child without parents. If the alien (ii) Evidence from a State, local, or section 902 of HRIFA who wishes to is a principal applicant who arrived in other court or governmental authority obtain initial or continued employment the United States as a child without having jurisdiction and authority to authorization during the pendency of parents in the United States, the make decisions in matters of child the adjustment application must file an applicant must provide with the welfare establishing such abandonment. Application for Employment application: (l) Evidence relating to applications Authorization (Form I–765) with the (i) Evidence, such as Form I–94, by dependents under section 902(d) of Service, including the fee as set forth in showing the date, location, and manner HRIFA. (1) Evidence of spousal § 103.7(b)(1) of this chapter. The of his or her arrival in the United States; relationship. If the alien is applying as applicant may submit Form I–765 either and the spouse of a principal HRIFA concurrently with or subsequent to the (ii) Evidence establishing the absence beneficiary, the applicant must provide filing of the application for HRIFA of the child’s parents, which may with the application a copy of their benefits on Form I–485. include either: certificate of marriage and copies of (2) Adjudication and issuance. (A) Evidence showing the deaths of, documents showing the legal Employment authorization may not be or disappearance or desertion by, the termination of all other marriages by the issued to an applicant for adjustment of applicant’s parents; or applicant or the other beneficiary. status under section 902 of HRIFA until (B) Evidence showing that the (2) Evidence of parent-child the adjustment application has been applicant’s parents did not arrive in the relationship. If the applicant is applying pending for 180 days, unless the United States with or before the as the child, unmarried son, or Director of the Nebraska Service Center applicant and that neither of the unmarried daughter of a principal verifies that Service records contain applicant’s parents subsequently arrived HRIFA beneficiary, and the principal evidence that the applicant meets the in the United States. Such evidence may beneficiary is not the applicant’s criteria set forth in section 902(b) or include, but is not limited to, biological mother, the applicant must 902(d) of HRIFA, and determines that documentation showing that the provide with the application evidence there is no indication that the applicant applicant’s parents have been to demonstrate the parent-child is clearly ineligible for adjustment of continuously employed outside the relationship between the principal status under section 902 of HRIFA, in United States, are deceased, beneficiary and the applicant. Such which case the Director may approve disappeared or abandoned the applicant evidence may include copies of the the application for employment prior to the applicant’s arrival, or were applicant’s parent’s marriage certificate authorization, and issue the resulting otherwise engaged in activities showing and documents showing the legal document, immediately upon such that they were not in the United States. termination of all other marriages, an verification. If the Service fails to
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The (ii) In the case of an otherwise-eligible of application for employment immigration judge having jurisdiction alien whose exclusion, deportation, or authorization, whichever comes later, over the exclusion, deportation, or removal proceedings have been the alien shall be eligible for interim removal proceedings shall have administratively closed for reasons not employment authorization in jurisdiction to accept and adjudicate specified in this section, the alien may accordance with § 274a.13(d) of this any application for adjustment of status only apply before the Service for chapter. Nothing in this section shall under section 902 of HRIFA during the adjustment of status under this section. preclude an applicant for adjustment of course of such proceedings. All (q) Approval of HRIFA applications. status under HRIFA from being granted applications for adjustment of status (1) Applications approved by the an initial employment authorization or under section 902 of HRIFA filed with Service. If the Service approves the an extension of employment an Immigration Court shall be subject to application for adjustment of status authorization under any other provision the requirements of §§ 3.11 and 3.31 of under the provisions of section 902 of of law or regulation for which the alien this chapter. HRIFA, the director shall record the may be eligible. (2) Motion to reopen or motion to alien’s lawful admission for permanent (o) Adjudication of HRIFA reconsider. If an alien who has a residence as of the date of such approval applications filed with the Service. (1) pending motion to reopen or motion to and notify the applicant accordingly. Referral for interview. Except as reconsider timely filed with an The director shall also advise the alien provided in paragraphs (o)(2) and (o)(3) immigration judge on or before May 12, regarding the delivery of his or her of this section, all aliens filing 1999, files an application for adjustment Permanent Resident Card and of the applications for adjustment of status of status under section 902 of HRIFA, process for obtaining temporary with the Service under this section must the immigration judge shall reopen the evidence of alien registration. If the be personally interviewed by an alien’s proceedings for consideration of alien had previously been issued a final immigration officer at a local office of the adjustment application, unless the order of exclusion, deportation, or the Service. If the Director of the alien is clearly ineligible for adjustment removal, such order shall be deemed Nebraska Service Center determines that of status under section 902 of HRIFA. canceled as of the date of the director’s an interview of the applicant is (3) Proceedings pending before the approval of the application for necessary, the Director shall forward the Board. Except as provided in paragraph adjustment of status. If the alien had case to the appropriate local Service (d)(4) of this section, in the case of an been in exclusion, deportation, or office for interview and adjudication. alien who either has a pending appeal removal proceedings that were (2) Approval without interview. Upon with the Board or has a pending motion administratively closed, such examination of the application, to reopen or motion to reconsider timely proceedings shall be deemed terminated including all other evidence submitted filed with the Board on or before May as of the date of approval of the in support of the application, all 12, 1999, the Board shall remand, or application for adjustment of status by relevant Service records and all other reopen and remand, the proceedings to the director. relevant law enforcement indices, the the Immigration Court for the sole (2) Applications approved by an Director may approve the application purpose of adjudicating an application immigration judge or the Board. If an without an interview if the Director for adjustment of status under section immigration judge or (upon appeal) the determines that: 902 of HRIFA, unless the alien is clearly Board grants an application for (i) The alien’s claim to eligibility for ineligible for adjustment of status under adjustment under the provisions of adjustment of status under section 902 section 902 of HRIFA. If the section 902 of HRIFA, the date of the of HRIFA is verified through existing immigration judge denies, or the alien alien’s lawful admission for permanent Service records; and fails to file, the application for residence shall be the date of such grant. (ii) The alien is clearly eligible for adjustment of status under section 902 (r) Review of decisions by the Service adjustment of status. of HRIFA, the immigration judge shall denying HRIFA applications. (1) Denial (3) Denial without interview. If, upon certify the decision to the Board for notification. If the Service denies the examination of the application, all consideration in conjunction with the application for adjustment of status supporting documentation, all relevant applicant’s previously pending appeal under the provisions of section 902 of Service records, and all other relevant or motion. HRIFA, the director shall notify the law enforcement indices, the Director (4) Administrative closure of applicant of the decision and of any determines that the alien is clearly exclusion, deportation, or removal right to renew the application in ineligible for adjustment of status under proceedings. (i) An alien who is in proceedings before the Immigration HRIFA and that an interview of the exclusion, deportation, or removal Court. applicant is not necessary, the Director proceedings, or who has a pending (2) Renewal of application for HRIFA may deny the application. motion to reopen or a motion to benefits in removal, deportation, or (p) Adjudication of HRIFA reconsider such proceedings filed on or exclusion proceedings. An alien who is applications filed in pending exclusion, before May 12, 1999, may request that not the subject of a final order of deportation, or removal proceedings. (1) the proceedings be administratively removal, deportation, or exclusion may Proceedings pending before an closed, or that the motion be renew his or her application for Immigration Court. Except as provided indefinitely continued, in order to allow adjustment under section 902 of HRIFA in paragraph (p)(4) of this section, the the alien to file such application with during the course of such removal, Immigration Court shall have sole the Service as prescribed in paragraph deportation, or exclusion proceedings. jurisdiction over an application for (g) of this section. If the alien appears (i) Initiation of removal proceedings. adjustment of status under this section to be eligible to file an application for In the case of an alien who is not filed by an alien who is in exclusion, adjustment of status under this section, maintaining valid nonimmigrant status deportation, or removal proceedings the Immigration Court or the Board and who had not previously been pending before an immigration judge or (whichever has jurisdiction) shall, with placed in exclusion, deportation, or
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Should the § 103.7(b)(1) of this chapter and in been administratively closed or alien fail to appear for such hearing, the accordance with the instructions on the continued indefinitely under paragraph immigration judge shall deny the form. If the alien is either in deportation (p)(4) of this section, the director shall application for adjustment under or removal proceedings, or subject to a make a request for recalendaring or section 902 of HRIFA. final order of deportation or removal, reinstatement to the Immigration Court (2) Stay pending review. When the the Form I–131 must be submitted to the that had administratively closed the Service refers a decision to the Director, Office of International Affairs; proceeding, or the Board, as Immigration Court on a Notice of otherwise the Form I–131 must be appropriate, when the application has Certification (Form I–290C) in submitted to the Director of the been denied. The Immigration Court or accordance with paragraph (r)(3) of this Nebraska Service Center, who shall have the Board will then recalendar or section, the referral shall not stay the jurisdiction over such applications. reinstate the prior exclusion, execution of the final order. Execution Unless the applicant files an advance deportation, or removal proceeding. of such final order shall proceed unless parole request prior to departing from (iii) Filing of renewed application. A a stay of execution is specifically the United States, and the Service principal alien may file a renewed granted by the immigration judge, the approves such request, his or her application for HRIFA benefits with the Board, or an authorized Service officer. application for adjustment of status Immigration Court either before or after (3) Appeal of Immigration Court under section 902 of HRIFA is deemed March 31, 2000, if he or she had filed decision. Once the immigration judge to be abandoned as of the moment of his his or her initial application for such issues his or her decision on the or her departure. Parole may only be benefits with the Service on or before application, either the alien or the authorized pursuant to the authority March 31, 2000. A dependent of a Service may appeal the decision to the contained in, and the standards principal applicant may file such Board. Such appeal must be filed prescribed in, section 212(d)(5) of the renewed application with the pursuant to the requirements for appeals Act. Immigration Court either before or after to the Board from an Immigration Court (2) Parole authorization for the March 31, 2000, regardless of when he decision set forth in §§ 3.3 and 3.8 of purpose of filing an application for or she filed his or her initial application this chapter. adjustment of status under section 902 for HRIFA benefits with the Service. (4) Rescission or reopening of the of HRIFA. (3) Aliens with final orders. In the decision of an Immigration Court. The case of an alien who is the subject of an decision of an Immigration Court under (i) An otherwise eligible applicant outstanding final order of exclusion, paragraph (s)(1) of this section denying who is outside the United States and deportation, or removal, the Service an application for adjustment under wishes to come to the United States in shall refer the decision to deny the section 902 of HRIFA for failure to order to apply for benefits under section application by filing a Notice of appear may be rescinded or reopened 902 of HRIFA may request parole Certification (Form I–290C) with the only: authorization for such purpose by filing Immigration Court that issued the final (i) Upon a motion to reopen filed an Application for Travel Document order for consideration in accordance within 180 days after the date of the (Form I–131) with the Nebraska Service with paragraph (s) of this section. denial if the alien demonstrates that the Center, at P.O. Box 87245, Lincoln, NE (s) Action on decisions referred to the failure to appear was because of 68501–7245. Such application must be Immigration Court by a Notice of exceptional circumstances as defined in supported by a photocopy of the Form Certification (Form I–290C). (1) General. section 240(e)(1) of the Act; or I–485 that the alien will file once he or Upon the referral by a Notice of (ii) Upon a motion to reopen filed at she has been paroled into the United Certification (Form I–290C) of a any time if the alien demonstrates that States. The applicant must include decision to deny the application, in he or she did not receive notice of the photocopies of all the supporting accordance with paragraph (r)(3) of this hearing in person (or, if personal service documentation listed in paragraph (f) of section, the immigration judge shall was not practicable, through service by this section, except the filing fee, the conduct a hearing, under the authority mail to the alien or to the alien’s medical report, the fingerprint card, and contained in § 3.10 of this chapter, to counsel of record, if any) or the alien the local police clearances. determine whether the alien is eligible demonstrates that he or she was in (ii) If the Director of the Nebraska for adjustment of status under section Federal or State custody and the failure Service Center is satisfied that the alien 902 of HRIFA. Such hearing shall be to appear was through no fault of the will be eligible for adjustment of status conducted under the same rules of alien. once the alien has been paroled into the procedure as proceedings conducted (t) Parole authorization for purposes United States and files the application, under part 240 of this chapter, except of travel. (1) Travel from and return to he or she may issue an Authorization for the scope of review shall be limited to the United States while the application Parole of an Alien into the United States a determination of the alien’s eligibility for adjustment of status is pending. If an (Form I–512) to allow the alien to travel for adjustment of status under section applicant for benefits under section 902 to, and be paroled into, the United 902 of HRIFA. During such proceedings, of HRIFA desires to travel outside, and States for a period of 60 days.
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(iii) The applicant shall have 60 days individuals. (1) Departure with advance adjusted under the provisions of section from the date of parole to file the authorization for parole. In the case of 902 of HRIFA. application for adjustment of status. If an alien who departed the United States the alien files the application for after having been issued an PART 274AÐCONTROL OF adjustment of status within that 60-day Authorization for Parole of an Alien into EMPLOYMENT OF ALIENS period, the Service may re-parole the the United States (Form I–512), and who alien for such time as is necessary for returns to the United States in 13. The authority citation for part adjudication of the application. Failure accordance with the conditions of that 274a continues to read as follows: to file such application for adjustment document, the physical presence in the Authority: 8 U.S.C. 1101, 1103, 1324a; 8 of status within 60 days shall result in United States requirement of section CFR part 2. the alien being returned to the custody 902(b)(1) of HRIFA is tolled while the of the Service and being examined as an alien is outside the United States § 274a.12 [Amended] arriving alien applying for admission. pursuant to the issuance of the Form I– 14. In § 274a.12, paragraph (c)(9) is Such examination will be conducted in 512. amended in the second sentence by accordance with the provisions of (2) Request for parole authorization removing the words ‘‘§ 245.13(j) of this section 235(b)(1) of the Act if the alien from outside the United States. In the chapter’’ and adding in their place the is inadmissible under section case of an alien who is outside the words ‘‘§§ 245.13(j) and 245.15(k) of this 212(a)(6)(C) or 212(a)(7) of the Act, or United States and submits an chapter’’. section 240 of the Act if the alien is application for parole authorization in § 274a.13 [Amended] inadmissible under any other grounds. accordance with paragraph (l)(2) of this (iv) Parole may only be authorized section, and such application for parole 15. In § 274a.13, paragraph (d) is pursuant to the authority contained in, authorization is granted by the Service, amended in the first sentence by and the standards prescribed in, section the physical presence requirement removing the words ‘‘in so far as it is 212(d)(5) of the Act. The authority of the contained in section 902(b)(1) of HRIFA governed by § 245.13(j) of this chapter’’ Director of the Nebraska Service Center is tolled from the date the application is to authorize parole from outside the and adding in their place the words received at the Nebraska Service Center United States under this provision shall ‘‘insofar as it is governed by §§ 245.13(j) until the alien is paroled into the United expire on March 31, 2000. and 245.15(k) of this chapter’’. States pursuant to the issuance of the (3) Effect of departure on an Form I–512. PART 299ÐIMMIGRATION FORMS outstanding warrant of exclusion, deportation, or removal. If an alien who (3) Departure without advance authorization for parole. In the case of 16. The authority citation for part 299 is the subject of an outstanding final continues to read as follows: order of exclusion, deportation, or an otherwise-eligible applicant who removal departs from the United States, departed the United States on or before Authority: 8 U.S.C. 1101, 1103; 8 CFR part with or without an advance parole December 31, 1998, the physical 2. authorization, such final order shall be presence in the United States provision of section 902(b)(1) of HRIFA is tolled 17. Section 299.1 is amended in the executed by the alien’s departure. The table by: execution of such final order shall not as of October 21, 1998, and until July preclude the applicant from filing an 12, 1999. a. Revising the entry for Form ‘‘I– Application for Permission to Reapply (v) Judicial review of HRIFA 290C’’, and by for Admission Into the United States adjustment of status determinations. b. Adding the entry for Form ‘‘I–485 After Deportation or Removal (Form I– Pursuant to the provisions of section Supplement C’’ in proper numerical 212) in accordance with § 212.2 of this 902(f) of HRIFA, there shall be no sequence, to read as follows: chapter. judicial appeal or review of any (u) Tolling the physical presence in administrative determination as to § 299.1 Prescribed forms. the United States provision for certain whether the status of an alien should be * * * * *
Form No. Edition date Title
*******
I±290C ...... 02±01±99 Notice of Certification.
*******
I±485 Supplement C ...... 04±01±99 HRIFA Supplement to Sup- plement C Form I±485 Instructions.
*******
18. Section 299.5 is amended in the table by adding the entry for Form ‘‘I–485 Supplement C’’ in proper numerical sequence, to read as follows:
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§ 299.5 Display of control numbers. * * * * * * *
Currently as- INS form No. INS form title signed OBM Control No.
*******
I±485 Supplement C ...... HRIFA Supplement to Form I±485 Instructions ...... 1115±0229
*******
Dated: May 6, 1999. Janet Reno, Attorney General. [FR Doc. 99–11954 Filed 5–11–99; 8:45 am] BILLING CODE 4410±10±U
VerDate 06-MAY-99 16:03 May 11, 1999 Jkt 183247 PO 00000 Frm 00020 Fmt 4701 Sfmt 4706 E:\FR\FM\12MYR5.XXX pfrm03 PsN: 12MYR5 eDt 6MY9 33 a 1 99Jt134 O000Fm001Ft41 ft41 :F\MA2Y.3 fm7PsN:12MYN3 pfrm07 E:\FR\FM\A12MY3.030 Sfmt4717 Fmt4717 Frm00001 PO00000 Jkt183247 13:33May11, 1999 VerDate 06-MAY-99 federal register May 12,1999 Wednesday Projects; Notice for AdolescentFamilyLifeDemonstration Announcement ofAvailabilityGrants Office ofPublicHealthandScience; Services Health andHuman Department of Part VIII 25775 25776 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Notices
DEPARTMENT OF HEALTH AND the fiscal year, funds will not be submitted to the Grants Management HUMAN SERVICES available to support new projects under Office at the above mailing address. In this announcement. In the event FY preparing the application, it is Office of Public Health and Science; 1999 funds are not available for new important to follow ALL instructions Announcement of Availability of care, prevention and combination care/ contained in the application kit. Grants for Adolescent Family Life prevention projects, applications will be FOR FURTHER INFORMATION CONTACT: The Demonstration Projects held for review and consideration in the OAPP Program Office at (301) 594–4004. following fiscal year, although the AGENCY: Office of Adolescent Pregnancy Staff is available to answer questions availability of funding in FY 2000 is Programs, Office of Population Affairs, and provide limited technical assistance uncertain. OPHS, HHS. in the preparation of grant applications. To ensure that there are adequate ACTION: Notice. SUPPLEMENTARY INFORMATION: Title XX applications which could be funded in of the Public Health Service Act, 42 SUMMARY: The Office of Adolescent the event the amendment is enacted, the U.S.C. 300z. et seq., authorizes the Pregnancy Programs (OAPP) requests Department is also publishing a separate Secretary of Health and Human Services applications for care, prevention and notice in the Federal Register to award grants for demonstration combination care/prevention grants announcing the availability of funds for projects to provide services to pregnant under the Adolescent Family Life (AFL) prevention demonstration projects. and nonpregnant adolescents, Demonstration Projects Program. These Such applications would be considered adolescent parents and their families. Title XX grants are for community-based for funding in the event the amendment (Catalog of Federal Domestic Assistance and community-supported described above is enacted. Number 93.995) Title XX authorizes demonstration projects to: (1) find If the amendment to the FY 1999 grants for three types of demonstration effective means of preventing pregnancy appropriation for Title XX is not projects: (1) projects which provide by encouraging adolescents to abstain enacted, funds will be available for ‘‘care services’’ only (i.e., services for from sexual activity through provision approximately 40 projects (25 care the provisions of care to pregnant of age-appropriate education on projects and 15 prevention projects), adolescents, adolescent parents and sexually and decision-making skills, which may be located in any State, the their families); (2) projects which and (2) establish comprehensive and District of Columbia, the territories of provide ‘‘prevention services’’ only (i.e., integrated approaches to the delivery of Puerto Rico, the U.S. Virgin Islands, services to prevent adolescent sexual services to pregnant adolescents, Guam, American Samoa, relations); and (3) projects which adolescent parents and their children. Commonwealth of the Northern Mariana provide a combination of care and The Title XX statute contains a Islands, Republic of Palau, Republic of prevention services. provision limiting the amount of AFL the Marshall Islands and the Federated Under this program announcement, funding which may be used for States of Micronesia. OAPP intends to make available prevention projects to not more than DATES: The closing date for this grant approximately $12 million to support an one-third of the overall monies available announcement is June 28, 1999. estimated 40 new demonstration for demonstration projects. In the Fiscal Applications will be considered as projects (25 care projects and 15 Year (FY) 1997 and 1998 appropriations meeting the deadline if they are prevention projects). An applicant may for Title XX, as amended, Congress postmarked on or before the closing submit a proposal for a local care, waived this limitation by enacting date. A legibly dated receipt from a prevention or combination care/ legislation which earmarked the commercial carrier or U.S. Postal prevention project. The awards for care majority of AFL demonstration funding Service will be accepted in lieu of a projects will range fro $250,000 to for prevention grants, specifically postmark. Private metered postmarks $350,000. The awards for prevention abstinence education projects as defined will not be accepted as proof of timely projects will range from $150,000 to in the Personal Responsibility and Work mailing. All hand delivered applications $250,000. Funding for combination Opportunity Reconciliation Act of 1996. must be received between the hours of care/prevention projects may be higher Although the Senate Committee report 8:30 a.m. and 5:00 p.m. on or before the if in proportion to the effort proposed. accompanying the FY 1999 above closing date. Applications which Grants may be approved for project appropriations act indicates that do not meet the deadline will be periods of up to five years. Grants are continued funding of more prevention considered late applications and will be funded in annual increments (budget projects is the intent of Congress, the FY returned to the applicant. Applications periods). Funding for all approved 1999 appropriation for Title XX does will not be accepted by fax or e-mail. budget periods beyond the first year of not contain a similar provision waiving The submission deadline will not be the grant is contingent upon the the statutory limit. In order to continue extended. availability of funds, satisfactory to fund a larger number of prevention ADDRESSES: Application kits consisting progress of the project, and adequate projects than is allowable under the of the appropriate forms, a copy of the stewardship of Federal funds. A grant statute, the Department has asked Title XX legislation, and guidance on award may not exceed 70 percent of the Congress to amend the FY 1999 the preparation of the application may total costs of the project for the first and appropriation for Title XX to include a be downloaded from the following second years, 60 percent of the total waiver of the ‘‘not more than one-third Internet address: www.hhs.gov/progorg/ costs for the third year, 50 percent for for prevention’’ restriction. The opa/titlexx/oapp.html. If you do not the fourth year and 40 percent for the Department expects that such a waiver have access to the Internet, you may fifty year. The non-Federal share of the will be enacted. obtain a kit from the Grants project costs may be provided in cash Thus, new care, prevention and Management Office, Office of expenditures or fairly evaluated in-kind combination care/prevention projects Population Affairs, 4350 East-West contributions, including facilities, under this announcement will only be Highway, Suite 200, Bethesda, MD equipment and services. funded if the amendment to the FY 1999 20814. Written requests for application We encourage application from appropriations act does not pass. If this kits may be faxed to (301) 594–5981. All experienced organizations which are amendment is enacted before the end of completed applications must be currently operating programs and which
VerDate 06-MAY-99 13:33 May 11, 1999 Jkt 183247 PO 00000 Frm 00002 Fmt 4701 Sfmt 4703 E:\FR\FM\A12MY3.030 pfrm07 PsN: 12MYN3 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Notices 25777 have the capability of expanding and their approaches upon an assessment of (3) Consumer education and enhancing these services to serve existing programs and, where homemaking; significant numbers of adolescents appropriate, upon efforts to establish (4) Counseling for the immediate and according to the guidelines specified in better coordination, integration and extended family members of the eligible this announcement. linkages among such existing programs. person; The specific services which may be Applicants for care projects are (5) Transportation; and funded under Title XX are listed below required to provide, either directly or by (6) Outreach services to families of under Care Programs and Prevention referral, the following 10 core services: adolescents to discourage sexual Programs. Applicants who propose to (1) Pregnancy testing and maternity relations among unemancipated minors. provide a Combination of Care and counseling; Prevention Programs Prevention Services Program must meet (2) Adoption counseling and referral the requirements for each type of services which present adoption as an Under this announcement, funds are program. option for pregnant adolescents, available for local prevention projects The following application including referral to licensed adoption only. The project site must be identified requirements contain information agencies in the community if the in the application rather than selected collections subject to OMB approval eligible grant recipient is not a licensed after the grant is awarded. The primary purpose of prevention under the Paperwork Reduction Act of adoption agency; programs is to find effective means of 1995 (Pub. L. 104–13). These (3) Primary and preventive health reaching adolescents, both male and information collections have been services, including prenatal and female, before they become sexually approved by OMB under control postnatal care; active to encourage them to abstain from number 0937–0189. (4) Nutrition information and sexual activity. There is general counseling; Eligible Applicants agreement that early initiation of sexual (5) Referral for screening and activity brings not only the risk of Any public or private nonprofit treatment of STDs; organization or agency is eligible to (6) Referral to appropriate pediatric unintended pregnancy but also apply for a grant. Grants are awarded care; substantial health risks to adolescents, only to those organizations or agencies (7) Educational services relating to primarily infection from sexually which are determined to demonstrate family life problems associated with transmitted diseases (STDs), including the capability of providing the proposed adolescent premarital sexual relations HIV. Accordingly, applicants must services and meet the statutory including: provide services that help pre- requirements. (a) Information about adoption, adolescents and young adolescents acquire knowledge and skills that will Care Programs (b) Education on the responsibilities of sexuality and parenting. instill healthy attitudes and encourage Under this announcement, funds are (c) The development of material to and support the postponement of early available for local care demonstrations support the role of parents as the sexual activity. Any information only. The project site must be identified providers of sex education, and provided for adolescents who may be or in the application rather than selected (d) Assistance to parents, schools, become sexually active, which relates to after the grant is awarded. youth agencies and health providers to reducing the risk of unintended Under the statute the purpose of care educate adolescents and preadolescents pregnancy and disease, must be programs is to establish innovative, concerning self-discipline and medically accurate and must be comprehensive, and integrated responsibility in human sexuality; presented within the context that approaches to the delivery of care (8) Appropriate educational and abstinence is the best choice and is what services for pregnant adolescents and vocational services; the project recommends. adolescent parents under 19 years of age (9) Mental health services and referral Under this announcement, applicants at program entry, with primary to mental health services and to other may propose to develop and test new emphasis on unmarried adolescents appropriate physical health services; and/or innovative approaches aimed at who are 17 years old or younger and for and promoting and fostering abstinence their families. This includes young (10) Counseling and referral for family among adolescents. These approaches fathers and their families. planning services. may consist of a variety of activities The OAPP encourages the submission such as health, social, cultural, of care applications which propose to Note: Funds provided under Title XX may educational, economic and recreational do the following: (1) Add care services not be used for the provision of family planning services other than counseling and activities, or combinations of all of to supplement existing adolescent referral services unless appropriate family these. Applicants may also propose to health services in school, hospital or planning services are not otherwise available develop and test new prevention other community settings, (2) provide in the community. In accordance with sec. curricula and materials, update existing care services to minority or other 3006(a)(17) of Title XX (42 U.S.C. 300z– curricula, use existing educational disadvantaged population, (3) continue 5(a)(17)), applicants must make maximum materials/curricula, or use any services to clients after the delivery of use of services available under the Title X combination of these materials, to the baby to enable them to acquire good Family Planning Program in providing this implement their prevention parenting skills and to ensure that their required core service. demonstration projects. However, all children are developing normally In addition to the 10 required core materials and activities must be within physically, intellectually and services listed above, applicants for care the scope of the Title XX services listed emotionally, (4) stress self-sufficiency projects may provide any of the below. skills, such as school completion (in following supplemental services: OAPP encourages the submission of mainstream or alternative schools and (1) Referral to licensed residential prevention applications which propose GED programs) and/or job training care or maternity home services; to do the following: (1) Add prevention preparation and placement, and (5) (2) Child care sufficient to enable the services to supplement existing involve males and promote male adolescent parent to continue education adolescent health education programs or responsibility. Applicants should base or to enter into employment; health service programs in school or
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Applicants are medically accurate information on approval for funding, all curricula and required to submit an application signed sexuality, contraception, sexually related educational materials must be by an individual authorized to act for transmitted diseases (STDs) and HIV/ submitted to OAPP for review and the applicant agency or organization AIDS, (4) offer educational services to approval prior to use in AFL project. and to assume for the organization the parents to assist them in communicating In addition, Under sec. 2011(a) of the obligations imposed by the terms and with their children about sexuality, Act, AFL projects may not provide conditions of the grant award. contraception, STDs and HIV/AIDS, and abortions or abortion counseling or Applicants must be familier with Title (5) involve males and promote male referral either directly or through sub- XX in its entirety to ensure that they responsibility. contract and may not advocate, promote have complied with all applicable Under the statutory requirements of or encourage abortion. However, if both requirements. A copy of the legislation Title XX, applicants for prevention the adolescent and her parents request is included in the application kit. abortion counseling, a project may programs are not required to provide Additional Requirements any specific array of services; a proposal provide referral for such counseling. Applicants for grants must also meet may include any one or more of the Evaluation following services as appropriate: both of the following requirements (each (1) Educational services relating to Section 2006(b)(1) of Title XX year): family life and problems associated with requires each grantee to expend at least (1) Requirements for Review of an adolescent premarital sexual relations one percent but not more than five Application by the Governor. Section including: percent of the Federal funds received 2006(e) of Title XX requires that each (a) Information about adoption, under Title XX on evaluation of the applicant shall provide the Governor of (b) Education on the responsibilities project. As this is a demonstration the State in which the applicant is of sexuality and parenting, program, all applications are required to located a copy of each application (c) The development of material to have an evaluation component of high submitted to OAPP for a grant for a support the role of parents as the quality consistent with the scope of the demonstration project for services under providers of sex education, and proposed project and the funding level. this Title. The Governor has 60 days (d) Assistance to parents, schools, All project evaluations should monitor from the receipt date in which to youth agencies and health providers to program processes to determine whether provide comments to the applicant. educate adolescents and preadolescents the program has been carried out as An applicant may comply with this concerning self-discipline and planned and measure the program’s requirement by submitting a copy of the responsibility in human sexuality; outcomes. Waivers of the five percent application to the Governor of the State (2) Appropriate educational and limit on evaluation may be granted in in which the appplicant is located at the vocational services; cases where a more rigorous or same time the application is submitted (3) Counseling for the immediate and comprehensive evaluation effort is to OAPP. To inform the Governor’s extended family members of the eligible proposed (see sec. 2006(b)(1)). office of the reason for the submission, person: Section 2006(b)(2) of Title XX a copy of this notice should be attached (4) Transportation; requires that the evaluations required by to the application. (5) Outreach services to families of sec. 2006(b)(1) be conducted by an (2) Requirements for Review of an adolescents to discourage sexual organization or entity independent of Application Pursuant to Executive relations among unemancipated minors; the grantee providing services. To assist Order 12372 (SPOC Requirements). (6) Referral for screening and in conducting the evaluations, each Applications under this announcement treatment of STDs; grantee shall develop a working are subject to the review requirements of (7) Pregnancy testing and maternity relationship with a college or university E.O. 12372, ‘‘Intergovernmental Review counseling; and located in the grantee’s state which will of Federal Programs,’’ as implemented (8) Nutrition information and provide or assist in providing by 45 CFR part 100, ‘‘Intergovernmental counseling. monitoring and evaluation of services. Review of Department of Health and The OAPP strongly recommends Human Services Programs and Combination Care and Prevention extensive collaboration between the Activities.’’ E.O. 12372 sets up a system Services Programs applicant organization and the proposed for state and local government review of Applicants proposing to provide both evaluator in the development of the proposed Federal assistance care and prevention services must meet intervention, development of the applications. As soon as possible, the the requirements for both categories as evaluation hypothesis(es), identification applicant (other than Federally- described above. They must also of the variables to be measured and a recognized Indian tribal governments) propose to make a substantial effort in timetable for initiation of the should contact the State Single Point of each of the two areas and indicate intervention, baseline measurement, Contact (SPOC) for each state in the area clearly in the application and budget the and ongoing evaluation data collection to be served. The application kit proportion of effort to be expanded in and analysis. In the preparation of the contains the currently available listing each component. application for Title XX funds, OAPP of the SPOCs which have elected to be It should be noted that, in all Title XX encourages applicants to work with the informed of the submission of programs, including care, prevention proposed evaluator to ensure that the applications. For those states not and combination care/prevention evaluation plan is detailed and represented on the listing, further programs, grantees may not teach or consistent with the project’s proposed inquiries should be made by the promote religion in their AFL projects. goals and objectives. applicant regarding submission to the Each grant project must be accessible to relevant SPOC. The SPOC’s comment(s) the public generally, not just to those of Application Requirements should be forwarded to the Grants a particular religious affiliation. All Applications must be submitted on Management Office, Office of programming activities and program the forms supplied (PHS 516 1–1, Population Affairs, 4350 East-West
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Highway, Suite 200, Bethesda, MD achieving the objectives, a reasonable (5) The organizational model(s) for 20814. The SPOC has 60 days from the workplan and timetable and a clear delivery of service; closing date of this announcement to statement of results or benefits (6) The usefulness for policymakers submit any comments. expected. (30 points) and service providers of the proposed Application Consideration and (4) The applicant’s presentation of a project and its potential for Assessment detailed evaluation plan, indicating an complementing existing adolescent understanding of program evaluation health models; Applications which are judged to be methods and reflecting a practical, (7) The reasonableness of the late or which do not conform to the technically sound approach to assessing reqirements of this program estimated cost to the government the project’s achievement of program considering the anticipated results. announcement will not be accepted for objectives. (20 points) review. Applicants will be so notified, Final grant award decisions will be OAPP does not release information and the applications will be returned. made by the Deputy Assistant Secretary about individual applications during the All other applications will be reviewed for Population Affairs. In making these review process until final funding by a multi-disciplinary panel of decisions, the Deputy Assistant decisions have been made. When these independent reviewers and assessed Secretary for Population Affairs will decisions have been made, applicants according to the following criteria: take into account the extent to which will be notified by letter of the outcome (1) The capacity of the proposed grants recommended for approval will of their applications. The official applicant organization to provide rapid provide an appropriate geographic document notifying an applicant that an and effective use of resources needed to distribution of resources, the priorities application has been approved for conduct the project, collect data and in sec. 2005(a), and the other factors in funding is the Notice of Grant Award, evaluate it. This includes personnel, sec. 2005, including consideration of: which specifies to the grantee the time and facilities. (30 points) amount of money awarded, the purpose (1) The applicant’s capacity to (2) The applicant’s rationale for use of of the grant, the terms and conditions of administer funds responsibly; the proposed approach and its worth for the grant award, and the amount of (2) The incidence of adolescent testing and/or replication based upon its funding to be contributed by the grantee pregnancy and the availability of previous demonstration, review of the to project costs. literature and/or evaluation findings. services in the geographic area to be (20 points) served; Dated: April 26, 1999. (3) The applicant’s presentation of an (3) The population to be served; Denese O. Shervington, appropriate project design, consistent (4) The community commitment to Deputy Assistant Secretary for Population with the requirements of Title XX, and involvement in planning and Affairs. including a clear statement of goals and implementation of the demonstration [FR Doc. 99–11981 Filed 5–11–99; 8:45 am] objectives, reasonable methods for project; BILLING CODE 4160±17±M
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DEPARTMENT OF HEALTH AND available to support new projects under important to follow ALL instructions HUMAN SERVICES this announcement. In the event FY contained in the application kit. 1999 funds are not available for new FOR FURTHER INFORMATION CONTACT: The Office of Public Health and Science; abstinence education prevention OAPP Program Office at (301) 594–4004. Announcement of Availability of projects, applications will be held for Staff is available to answer questions Grants for Adolescent Family Life review and consideration in the and provide limited technical assistance Demonstration Projects following year, although the availability in the preparation of grant applications. of funding in FY 2000 is uncertain. AGENCY: Office of Adolescent Pregnancy To ensure that there are adequate SUPPLEMENTARY INFORMATION: Title XX Programs, Office of Populations Affairs, applications which could be funded in of the Public Health Service Act, 42 OPHS, HHS. the event the amendment is not enacted, U.S.C. 300z. et seq., authorizes the ACTION: Notice. the Department is also publishing a Secretary of Health and Human Services to award grants for demonstration SUMMARY: The Office of Adolescent separate notice in the Federal Register announcing the availability of funds for projects to provide services to pregnant Pregnancy Programs (OAPP) requests and nonpregnant adolescents, applications for prevention grants under care, prevention and combination care/ prevention demonstration projects. adolescent parents and their families. the Adolescent Family Life (AFL) (Catalog of Federal Domestic Assistance Demonstration Projects Program. These Such applications would be considered for funding in the event the amendment Number 93.995) title XX authorizes Title XX grants are for community-based grants for three types of demonstration and community-supported described above is not enacted. If the amendment to the FY 1999 projects: (1) Projects which provide demonstration projects to find effective ‘‘care services’’ only (i.e., services for means of preventing pregnancy by appropriation for Title XX is enacted, funds will be available for the provisions of care to pregnant encouraging adolescents to abstain from adolescents, adolescent parents and sexual activity through provision of age- approximately 15–20 projects, which may be located in any State, the District their family); (2) projects which provide appropriate education on sexuality and ‘‘prevention services’’ only (i.e., services decision-making skills. Although of Columbia, the territories of Puerto Rico, the U.S. Virgin Island, Guam, to prevent adolescent sexual relations); adolescents under age 19 are eligible for and (3) projects which provide a services, the OAPP is particularly American Samoa, Commonwealth of the Northern Mariana Islands, Republic of combination of care and prevention interested in projects which target youth services. ages 9 to 14. Palau, Republic of the Marshall Islands The Title XX statute contains a and the Federal States of Micronesia. Under this program announcement, provision limiting the amount of AFL DATES: The closing date for this grant OAPP intends to make available funding which may be used for announcement is June 28, 1999. approximately $3 million to support an prevention projects to not more than Applications will be considered as estimated 15–20 new prevention one-third of the overall monies available meeting the deadline if they are demonstration projects only. The for demonstration projects. In the Fiscal postmarked on or before the closing awards will range from $150,000 to Year (FY) 1997 and 1998 appropriations date. A legible dated receipt from a $250,000. Grants may be approved for for Title XX, as amended, Congress commercial carrier or U.S. Postal project periods of up to five years. waived this limitation by enacting Service will be accepted in lieu of a Grants are funded in annual increments legislation which earmarked the postmark. Private metered postmarks (budget periods). Funding for all majority of AFL demonstration funding will not be accepted as proof of timely approved budget periods beyond the for prevention grants, specifically mailing. All hand delivered applications first year of the grant is contingent upon abstinence education projects as defined must be received between the hours of the availability of funds, satisfactory in the Personal Responsibility and Work 8:30 am and 5:00 pm on or before the progress of the project, and adequate Opportunity Reconciliation Act of 1996. above closing date. Applications which stewardship of Federal funds. A grant Although the Senate Committee report do not meet the deadline will be award may not exceed 70 percent of the accompanying the FY 1999 considered late applications and will be total costs of the project for the first and appropriations act indicates that returned to the applicant. Applications second years, 60 percent of the total continued funding of more prevention will not be accepted by fax or e-mail. costs for the third year, 50 percent of the projects is the intent of Congress, the FY The submission deadline will not be fourth year and 40 percent for the fifth 1999 appropriation for Title XX does extended. year. The non-Federal share of the not contain a similar provision waiving ADDRESSES: Application kits consisting project costs may be provided in cash the statutory limit. In order to continue of the appropriate forms, a copy of the expenditures or fairly evaluated in-kind to fund a larger number of prevention Title XX legislation, and guidance on contributions, including facilities, projects than is allowable under the the preparation of the application may equipment and services. statute, the Department has asked be downloaded from the following An applicant may submit a proposal Congress to amend the FY 1999 Internet address: www.hhs.gov/progorg/ for a local or state-wide prevention appropriation for Title XX to include a opa/titlexx/oapp.html. If you do not project. We encourage applications from waiver of the ‘‘not more than one-third have access to the Internet, you may experienced organizations which are for prevention’’ restrictions. The obtain a kit from the Grants currently operating programs and which Department expects that such a waiver Management Office, Office of have the capability of expanding and will be enacted. Population Affairs, 4350 East-West enhancing these services to serve Thus, funding for new abstinence Highway, Suite 200, Bethesda, MD significant numbers of adolescents education prevention projects under 20814. Written requests for application according to the guidelines specified in this announcement is contingent upon kits may be faxed to (301) 594–5981. All this announcement. the enactment of an amendment to the completed applications must be The specific prevention services FY 1999 appropriations act. If this submitted to the Grants management which may be funded under Title XX amendment does not pass before the Office at the above mailing address. In are listed below under Prevention end of the fiscal year, funds will not be preparing the applications, it is Programs.
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The following application sexually transmitted diseases, and other economic and recreational activities, or requirements contain information associated with problems; combinations of all of these, as long as collections subject to OMB approval D. Teaches that a mutually faithful they contain an educational component. under the Paperwork. Reduction Act of monogamous relationship in context of Applicants may also propose to develop 1995 (Pub. L. 104–13). These marriage is the expected standard of and test new prevention curricula and information collections have been human sexual activity; materials, update existing curricula, use approved by OMB under control E. Teaches that sexual activity outside existing educational materials/ number 0937–0189. of the context of marriage is likely to curricula, or use any combinations of have harmful psychological and these materials, to implement their Eligible Applicants physical effects; prevention demonstration projects. Any public or private nonprofit F. Teaches that bearing children out- However, all materials and activities organization or agency is eligible to of-wedlock is likely to have harmful must not be inconsistent with apply for a grant. Grants are awarded consequences for the child, the child’s ‘‘abstinence education,’’ and must be only to those organizations or agencies parents, and society; within the scope of the Title XX services which are determined to demonstrate G. Teaches young people how to listed above. the capability of providing the proposed reject sexual advances and how alcohol It should be noted that grantees may services and meet the statutory and drug use increases vulnerability to not teach or promote religion in their requirements. sexual advances; and, AFL project. Each grant project must be H. Teaches the importance of accessible to the public generally, not Prevention Programs attaining self-sufficiency before just to those of a particular religious Under this announcement, funds are engaging in sexual activity. affiliation. All programming activities available for local or state-wide projects. Under the statutory requirements of and program curriculum materials must The primary purpose of prevention Title XX, applicants for prevention contain medically accurate information, programs is to find effective means of programs are not required to provide and must remain neutral on abortion. reaching adolescents, both male and any specific array of services. OAPP Upon approval for funding, all curricula female, before they become sexually encourages the submission of and related educational materials must active to encourage them to abstain from applications which focus on educational be submitted to OAPP for review and sexual activity. There is general services relating to family life and approval prior to use in the AFL project. agreement that early initiation of sexual which teach the social, psychological In addition, under sec. 2011(a) of the activity brings not only the risk of and health gains to be realized by Act, AFL projects may not provide unintended pregnancy but also abstaining from sexual-activity. abortions or abortion counseling or substantial health risks to adolescents, The legislation also permits a referral either directly or through sub- primarily infection with sexually proposal to include any one or more of contract and may not advocate, promote transmitted diseases (STDs), including the following services as appropriate: or encourage abortion. However, if both HIV. Accordingly, applicants must (1) Educational services relating to the adolescent and her parents request provide services that help pre- family life and problems associated with abortion counseling, a project may adolescents and young adolescents adolescent premarital sexual relations provide referral for such counseling. acquire knowledge and skills that will including: Evaluation instill healthy attitudes and encourage (a) Information about adoption, and support abstinence from sexual (b) Education on the responsibilities Section 2006(b)(1) of Title XX activity. Any information provided for of sexuality and parenting, requires each grantee to expend at least adolescents who may be or become (c) The development of material to one percent but not more than five sexually active, which relates to support the role of parents as the percent of the Federal funds received reducing the risk of unintended providers of sex education, and under Title XX on evaluation of the pregnancy and disease, must be (d) Assistance to parents, schools, project. As this is a demonstration medically accurate and must be youth agencies and health providers to program, all applications are required to presented within the context that educate adolescents and preadolescents have an evaluation component of high abstinence is the best choice and is what concerning self-discipline and quality consistent with the scope of the the project recommends. responsibility in human sexuality; proposed project and the funding level. Programs must not be inconsistent (2) Appropriate educational and All project evaluations should monitor with abstinence educational as defined vocational services; program processes to determine whether in the ‘‘Personal Responsibility and (3) Counseling for the immediate and the program has been carried out as Work Opportunity Reconciliation Act of extended family members of the eligible planned and measure the program’s 1996,’’ Pub. L. No. 104–193. person; outcomes. Waivers of the five percent Accordingly, under this announcement (4) Transportation; limit on evaluation may be granted in the term ‘‘abstinence education’’ means (5) Outreach services to families of cases where a more rigorous or an education or motivational program adolescents to discourage sexual comprehensive evaluation effort is which: relations among unemancipated minors; proposed (see sec. 2006(b)(1)). A. Has as its exclusive purpose, and Section 2006(b)(2) of Title XX teaching the social, psychological, and (6) Nutrition information and requires that the evaluations required by health gains to be realized by abstaining counseling. sec. 2006(b)(1) be conducted by an from sexual activity; Under this announcement, applicants organization or entity independent of B. Teaches abstinence from sexual may propose to develop and test new the grantee providing services. To assist activity outside marriage as the and/or innovative approaches to in conducting the evaluations, each expected standard for all school age abstinence education aimed at grantee shall develop a working children; promoting and fostering abstinence relationship with a college or university C. Teaches that abstinence from among adolescents. These approaches located in the grantee’s state which will sexual activity is the only certain way may consist of a variety of activities provide or assist in providing to avoid out-of-wedlock pregnancy, such as health, social, cultural, monitoring and evaluation of services.
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The OAPP strongly recommends are subject to the review requirements of (4) The applicant’s presentation of a extensive collaboration between the E.O. 12372, ‘‘Intergovernmental Review detailed evaluation plan, indicating an applicant organization and the proposed of Federal Programs,’’ as implemented understanding of program evaluation evaluator in the development of the by 45 CFR part 100, ‘‘Intergovernmental methods and reflecting a practical, intervention, development of the Review of Department of Health and technically sound approach to assessing evaluation hypothesis(es), identification Human Services Programs and the project’s achievement of program of the variables to be measured and a Activities.’’ E.O. 12372 sets up a system objectives. (20 points) timetable for initiation of the for state and local government review of Final grant award decisions will be intervention, baseline measurement, proposed Federal assistance made by the Deputy Assistant Secretary and ongoing evaluation data collection applications. As soon as possible, the for Population Affairs. In making these and analysis. In the preparation of the applicant (other than Federally- decisions, the Deputy Assistant application for Title XX funds, OAPP recognized Indian tribal governments) Secretary for Population Affairs will encourages applicants to work with the should contact the State Single Point of take into account the extent to which proposed evaluator to ensure that the Contact (SPOC) for each state in the area grants recommended for approval will evaluation plan is detailed and to be served. The application kit provide an appropriate geographic consistent with the project’s proposed contains the currently available listing distribution of resources, the priorities goals and objectives. of the SPOCs which have elected to be in sec. 2005(a), and the other factors in informed of the submission of Application Requirements sec. 2005, including consideration of: applications. For those states not (1) The applicant’s capacity to Applications must be submitted on represented on the listing, further administer funds responsibly; the forms supplied (PHS 5161–1, inquiries should be made by the Revised 5/96) and in the manner applicant regarding submission to the (2) The incidence of adolescent prescribed in the application kits relevant SPOC. The SPOC’s comment(s) pregnancy and the availability of provided by the OAPP. Applicants are should be forwarded to the Grants services in the geographic area to be required to submit an application signed Management Office, Office of served; by an individual authorized to act for Population Affairs, 4350 East-West (3) The population to be served; the applicant agency or organization Highway, Suite 200, Bethesda, MD (4) The community commitment to and to assume for the organization the 20814. The SPOC has 60 days from the and involvement in planning and obligations imposed by the terms and closing date of this announcement to implementation of the demonstration conditions of the grant award. submit any comments. project; Applicants must be familiar with Title (5) The organizational model(s) for XX in its entirety to ensure that they Application Consideration and delivery of service; have complied with all applicable Assessment requirements. A copy of the legislation Applications which are judged to be (6) The usefulness for policymakers is included in the application kit. late or which do not conform to the and service providers of the proposed requirements of this program project and its potential for Additional Requirements announcement will not be accepted for complementing existing adolescent Applicants for grants must also meet review. Applicants will be so notified, health models; both of the following requirements (each and the applications will be returned. (7) The reasonableness of the year): All other applications will be reviewed estimated cost to the government (1) Requirements for Review of an by a multi-disciplinary panel of considering the anticipated results. Application by the Governor. Section independent reviewers and assessed OAPP does not release information 2006(e) of Title XX requires that each according to the following criteria: about individual applications during the applicant shall provide the Governor of (1) The capacity of the proposed review process until final funding the State in which the applicant is applicant organization to provide rapid decisions have been made. When these located a copy of each application and effective use of resources needed to decisions have been made, applicants submitted to OAPP for a grant for a conduct the project, collect data and will be notified by letter of the outcome demonstration project for services under evaluate it. This includes personnel, of their applications. The official this Title. The Governor has 60 days time and facilities. (30 points) document notifying an applicant that an from the receipt date in which to (2) The applicant’s rationale for use of application has been approved for provide comments to the applicant. the proposed approach and its worth for funding is the Notice of Grant Award, An applicant may comply with this testing and/or replication based upon its which specifies to the grantee the requirement by submitting a copy of the previous demonstration, review of the amount of money awarded, the purpose application to the Governor of the State literature and/or evaluation findings. of the grant, the terms and conditions of in which the applicant is located at the (20 points) the grant award, and the amount of same time the application is submitted (3) The applicant’s presentation of an funding to be contributed by the grantee to OAPP. To inform the Governor’s appropriate project design, consistent to project costs. office of the reason for the submission, with the requirements of Title XX, a copy of this notice should be attached including a clear statement of goals and Dated: April 26, 1999. to the application. objectives, reasonable methods for Denese O. Shervington, (2) Requirements for Review of an achieving the objectives, a reasonable Deputy Assistant Secretary for Population Application Pursuant to Executive workplan and timetable and a clear Affairs. Order 12372 (SPOC Requirements). statement of results or benefits [FR Doc. 99–11982 Filed 5–11–99; 8:45 am] Applications under this announcement expected. (30 points) BILLING CODE 4160±17±M
VerDate 06-MAY-99 13:38 May 11, 1999 Jkt 183247 PO 00000 Frm 00004 Fmt 4701 Sfmt 4703 E:\FR\FM\A12MY3.027 pfrm07 PsN: 12MYN4 eDt 6MY9 34 a 1 99Jt134 O000Fm001Ft41 ft41 :F\MA2Y.5 fm7PsN:12MYN5 pfrm07 E:\FR\FM\A12MY3.050 Sfmt4717 Fmt4717 Frm00001 PO00000 Jkt183247 13:41May11, 1999 VerDate 06-MAY-99 federal register May 12,1999 Wednesday Notice Regulatory WaiverRequestsGranted; Development Housing andUrban Department of Part X 25785 25786 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Notices
DEPARTMENT OF HOUSING AND waivers of regulations that HUD has HUD regulations is provided in the URBAN DEVELOPMENT approved, by publishing a notice in the Appendix that follows this notice. Federal Register. These notices (each [Docket No. FR±4378±N±04] Dated: May 5, 1999. covering the period since the most Andrew Cuomo, recent previous notification) shall: Notice of Regulatory Waiver Requests Secretary. Granted a. Identify the project, activity, or undertaking involved; Appendix—Listing of Waivers of AGENCY: Office of the Secretary, HUD. b. Describe the nature of the provision Regulatory Requirements Granted by ACTION: Public Notice of the Granting of waived, and the designation of the Officers of the Department of Housing Regulatory Waivers from October 1, provision; and Urban Development October 1, 1998 through December 31, 1998. c. Indicate the name and title of the 1998 through December 31, 1998 person who granted the waiver request; SUMMARY: Under the Department of Note to Reader: More information about d. Describe briefly the grounds for Housing and Urban Development the granting of these waivers, including a approval of the request; Reform Act of 1989 (the ‘‘HUD Reform copy of the waiver request and approval, may Act’’), HUD is required to make public e. State how additional information be obtained by contacting the person whose about a particular waiver grant action name is listed as the contact person directly all approval actions taken on waivers of before each set of waivers granted. regulations. This notice is the thirty- may be obtained. second in a series, being published on Section 106 of the HUD Reform Act For Items 1 Through 15, Waivers a quarterly basis, providing notification also contains requirements applicable to Granted for 24 CFR Parts 91, 92, 511, of waivers granted during the preceding waivers of HUD handbook provisions 570, and 576, Contact: Cornelia reporting period. The purpose of this that are not relevant to the purpose of Robertson Terry, Field Management notice is to comply with the this notice. Division, Office of Executive Services, requirements of section 106 of the HUD Today’s document follows Office of Community Planning and Reform Act. publication of HUD’s Statement of Development, U.S. Department of Policy on Waiver of Regulations and FOR FURTHER INFORMATION CONTACT: For Housing and Urban Development, 451 general information about this notice, Directives issued by HUD on April 22, Seventh Street, SW, Room 7184, contact Camille E. Acevedo, Assistant 1991 (56 FR 16337). This is the thirty- Washington, DC, 20410; telephone (202) General Counsel for Regulations, Room second notice of its kind to be published 708–2565 (this is not a toll-free 10276, Department of Housing and under section 106 of the HUD Reform number). Hearing or speech-impaired Urban Development, 451 Seventh Street, Act. This notice updates HUD’s waiver- persons may access this number via SW, Washington, DC 20410; telephone grant activity from October 1, 1998 TTY by calling the toll-free Federal (202) 708–3055 (this is not a toll-free through December 31, 1998. Information Relay Service at (800) 877– number). Hearing or speech-impaired For ease of reference, waiver requests 8391. persons may access this number via granted by departmental officials 1. Regulation: 24 CFR 91.402(a). TTY by calling the toll-free Federal authorized to grant waivers are listed in Project/Activity: The City of Information Relay Service at 1–800– a sequence keyed to the section number Kettering, Ohio requested that HUD 877–8391. of the HUD regulation involved in the waive 24 CFR 91.402(a) to permit the For information concerning a waiver action. For example, a waiver- City to continue to operate its program particular waiver action for which grant action involving exercise of year on a calendar year that starts public notice is provided in this authority under 24 CFR 58.73 (involving January 1 and ends December 31. This document, contact the person whose the waiver of a provision in 24 CFR part cycle differs from the program year for name and address is set out for the 58) would come early in the sequence, the Montgomery County/Kettering particular item, in the accompanying while waivers of 24 CFR part 990 would Home Consortium, which starts October list of waiver-grant actions. be among the last matters listed. 1 and ends September 30. SUPPLEMENTARY INFORMATION: As part of Where more than one regulatory Nature of Requirement: The the Housing and Urban Development provision is involved in the grant of a consolidated planning regulations at 24 Reform Act of 1989 (the ‘‘HUD Reform particular waiver request, the action is CFR 91.402 require that all units of Act’’), the Congress adopted, at HUD’s listed under the section number of the general local government that are request, legislation to limit and control first regulatory requirement in title 24 members of a HOME consortium must the granting of regulatory waivers by that is being waived as part of the be on the same program year for HUD. Section 106 of the HUD Reform waiver-grant action. (For example, a purposes of the CDBG, HOME, ESG, and Act added a new section 7(q) to the waiver of both § 58.73 and § 58.74 HOPWA programs. Department of Housing and Urban would appear sequentially in the listing Granted by: Joseph A. D’Agosta, Development Act (2 U.S.C. 3535(q)), under § 58.73.) Acting General Deputy Assistant which provides that: Waiver-grant actions involving the Secretary for Community Planning and 1. Any waiver of a regulation must be same initial regulatory citation are in Development. in writing and must specify the grounds time sequence beginning with the Date Granted: October 28, 1998. for approving the waiver; earliest-dated waiver grant action. Reasons Waived: HUD determined 2. Authority to approve a waiver of a Should HUD receive additional that there was no need to require an regulation may be delegated by the reports of waiver actions taken during administrative realignment for FY 1999 Secretary only to an individual of the period covered by this report before because the consortium’s programs were Assistant Secretary rank or equivalent the next report is published, the next well underway. If Montgomery County rank, and the person to whom authority updated report will include these earlier and Kettering wish to renew their to waive is delegated must also have actions, as well as those that occurred Consortium Agreement for the next authority to issue the particular between January 1, 1999 through March three year period beginning October 1, regulation to be waived; 31, 1999. 1999, however, they must demonstrate 3. Not less than quarterly, the Accordingly, information about that the program years of all members Secretary must notify the public of all approved waiver requests pertaining to have been aligned.
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2. Regulation: 24 CFR 91.520(a). released from the regulatory The regulation, therefore, prohibits the Project/Activity: The City of Dallas, requirement to repay HOME funds. rehabilitation of this property because it Texas requested a waiver of the 5. Regulation: 24 CFR 92.251. is church-owned. submission date for the City’s Project/Activity: The City of Ponce, Granted by: Joseph A. D’Agosta, Consolidated Annual Performance and Puerto Rico requested a waiver of the Acting General Deputy Assistant Evaluation Report (CAPER). HOME property standards. Secretary for Community Planning and Nature of Requirement: HUD’s Nature of Requirement: The HOME Development. Consolidated Plan regulations at 24 CFR program regulations at 24 CFR 92.251 Date Granted: November 2, 1998. 91.520(a) requires each recipient to set forth property standards that Reasons Waived: The project would submit a performance report to HUD housing units assisted with HOME not have been feasible without the within 90 days after the close of the funds must meet. These standards vary waiver. The waiver enabled the City to grantee’s program year. according to the activity being use HOME funds to rehabilitate a Granted by: Cardell Cooper, Assistant undertaken. church-owned property to provide ten Secretary for Community Planning and Granted by: Cardell Cooper, Assistant units of special needs housing. The City Development. Secretary for Community Planning and structured the HOME funds in the Date Granted: December 21, 1998. Development. project as a loan rather than a grant. Reasons Waived: HUD determined Date Granted: December 15, 1998. 8. Regulation: 24 CFR 92.500(d)(1)(C). that a waiver was justified based on the Reasons Waived: This waiver was Project/Activity: The State of documentation and justification needed in order to use HOME funds as Nebraska requested an extension of the provided by the City explaining why it part of the Municipality’s disaster five-year deadline for the expenditure of failed to meet its CAPER deadline. recovery efforts. HOME disaster grant funds. 3. Regulation: 24 CFR 91.520(a). 6. Regulation: 24 CFR 92.254(a)(2)(iii). Nature of Requirement: The HOME Project/Activity: The City of Project/Activity: The Town of program regulations at 24 CFR Washington, District of Columbia Brookline, Massachusetts and the 92.500(d)(1)(C) require HUD to requested a waiver of its submission Brookline Newton Waltham Watertown recapture any HOME funds not date for the City’s Consolidated Annual (BNWW) Consortium requested a waiver expended within five years after the last CDBG Performance and Evaluation to permit the Town of Brookline to base day of the month in which HUD notified Report (CAPER). its calculation of the 95 percent median the grantee of its execution of the HUD Nature of Requirement: HUD’s area purchase price on the median partnership agreement. Consolidated Plan regulations at 24 CFR purchase price of housing sales within Granted by: Saul N. Ramirez, Jr., 92.520(a) require each recipient to the Town, rather than the median Assistant Secretary for Community submit a performance report to HUD purchase price of sales within the entire Planning and Development. within 90 days after the close of the Consortium. Date Granted: October 6, 1998. grantee’s program year. Nature of Requirement: The HOME Reasons Waived: HUD determined Granted by: Cardell Cooper, Assistant program regulations at 24 CFR that the circumstances that caused the Secretary for Community Planning and 92.254(a)(2)(iii) require that an increase delay in expenditure of HOME funds Development. in the maximum allowable housing provided good cause to extend the five Date Granted: December 21, 1998. purchase price to 95 percent of the year expenditure deadline. Reasons Waived: HUD determined median area purchase price, must 9. Regulation: 24 CFR 92.500(d)(1)(C). that there was good cause for the include all areas that are part of the Project/Activity: The State of Kansas waiver, due to the City’s downsizing BNWW Consortium. requested an extension of the five-year and staff realignment, which delayed Granted by: Joseph A. D’Agosta, deadline for the expenditure of HOME submission of the City’s CAPER. Acting General Deputy Assistant disaster grant funds. 4. Regulation: 24 CFR 92.205(e) and Secretary for Community Planning and Nature of Requirement: The HOME 92.503(b)(2). Development. program regulations at 24 CFR Project/Activity: The Kentucky Date Granted: October 20, 1998. 92.500(d)(1)(C) requires HUD to Housing Corporation requested a waiver Reasons Waived: This waiver was recapture any HOME funds not of the HOME program regulations requested because of the extreme range expended within five years after the last relating to the repayment requirements in median values among the four day of the month in which HUD notified governing uncompleted housing members of the consortium. HUD the grantee of its execution of the HUD projects funded with HOME dollars. determined that the waiver was needed partnership agreement. Nature of Requirement:: Under most in order to continue to offer a Granted by: Cardell Cooper, Assistant circumstances, the cancellation of a homebuyer’s assistance program that Secretary for Community Planning and HOME-assisted project before will reach large-sized, income eligible Development. completion triggers repayment of HOME families. Date Granted: December 22, 1998. funds under 24 CFR 92.205(e) and 7. Regulation: 24 CFR 92.257. Reasons Waived: HUD determined 92.503(b)(2). Project/Activity: The City of that the circumstances that caused the Granted by: Joseph A. D’Agosta, Stamford, Connecticut requested a delay in expenditure of HOME funds Acting General Deputy Assistant waiver of 24 CFR 92.257 to permit provided good cause to extend the five Secretary for Community Planning and Metcalf House, Inc., a secular non-profit year expenditure deadline. Development. corporation, to use HOME funds to 10. Regulation: 24 CFR 511.76(c). Date Granted: October 20, 1998. rehabilitate a church-owned property Project/Activity: The City of Fort Reasons Waived: The intended for ten units of special needs housing. Worth, Texas requested a waiver to beneficiary of the rehabilitation Nature of Requirement: The HOME permit the City to use program income assistance was murdered before the program regulations at 24 CFR 92.257 from its Rental Rehabilitation Program, project could be completed. Due to the preclude the use of HOME funds to for homeownership activities. tragic and unusual circumstances, the rehabilitate or construct housing owned Nature of Requirement: The Rental Kentucky Housing Authority was by a primarily religious organization. Rehabilitation Program (RRP)
VerDate 06-MAY-99 13:41 May 11, 1999 Jkt 183247 PO 00000 Frm 00003 Fmt 4701 Sfmt 4703 E:\FR\FM\A12MY3.051 pfrm07 PsN: 12MYN5 25788 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Notices regulations at 24 CFR 511.76(c) limits of the criteria that activities must meet Specifically, the Commonwealth the use of program income generated by to qualify under the national objective requested that the thirty percent the RRP that have not been closed out of addressing slums and blight on an limitation on essential services in the to: (1) the rehabilitation of RRP-eligible area basis. The County’s waiver request ESG program be waived. rental housing units; and (2) the will allow the participating City of Nature of Requirement: HUD’s provision of rental assistance to lower- Santa Fe Springs to use Section 108 regulation at 24 CFR 576.21 state that income tenants occupying RRP-assisted funds to improve an area to support a recipients of ESG grant funds are subject properties at the time that the large scale commercial and industrial to the limits on the use of assistance for rehabilitation occurs. development project. essential services established in section Granted by: Joseph A. D’Agosta, Nature of Requirement: The CDBG 414(a)(2)(B) of the Stewart B. McKinney Acting General Deputy Assistant regulations at 24 CFR 570.208(b)(1)(ii) Homeless Assistance Act (42 U.S.C. Secretary for Community Planning and state that an area delineated as slum, 11374(a)(2)(B)). Development. blighted, deteriorated or deteriorating Essential services are commonly Date Granted: November 2, 1998. under State or local law must have, defined as services that provide health, Reasons Waived: HUD determined throughout the area, a substantial employment, drug abuse, and education that the RRP regulatory provisions number of deteriorated or deteriorating to homeless persons. relating to the eligible uses and timing buildings or that the public Granted by: Cardell Cooper, Assistant of the use of program income, were improvement are in a general state of Secretary for Community Planning and limiting the City’s flexibility in meeting deterioration. Development. its affordable housing needs. Granted by: Cardell Cooper, Assistant Date Granted: December 15, 1998. 11. Regulation: 24 CFR 570.200(h)(1). Secretary for Community Planning and Reasons Waived: The Commonwealth Project/Activity: The City of Missoula, Development. of Puerto Rico provided HUD the Montana requested a waiver of 24 CFR Date Granted: December 21, 1998. necessary documentation that other 570.200(h)(1) to allow the City to use Reasons Waived: HUD determined eligible ESG program activities are being CDBG funds to reimburse costs incurred that the County demonstrated good carried out in the jurisdiction with other for staff training and preparation of its cause for a waiver by citing the fact that resources. first Consolidated Plan as a new the area is a Brownfield. The FY 1999 15. Regulation: 24 CFR 576.21. Entitlement community. HUD Appropriations Act (Pub. L. 105– Nature of Requirement: The CDBG Project/Activity: The City of New 276, approved October 21, 1998; 112 York, NY requested a waiver of the regulations at 24 CFR 570.200(h)(1) state Stat. 2461), includes a legislative change that a grantee may only use CDBG funds Emergency Shelter Grants (ESG) that makes it clear that Brownfields program regulations at 24 CFR 576.21. to pay pre-award costs if, among other redevelopment is an eligible CDBG things, the activity for which the costs Specifically, the City requested that the activity. HUD has long recognized are being incurred, is included in a thirty percent limitation on essential Brownfields as blighting influences. Consolidated Plan or an amended services be waived. Consolidated Plan prior to the costs 13. Regulation: 24 CFR 576.21. Nature of Requirement: HUD’s being incurred. The City is a new Project/Activity: Onondaga County regulation at 24 CFR 576.21 state that Entitlement grantee and will have to requested a waiver of the Emergency recipients of ESG grant funds are subject incur planning and administrative costs Shelter Grants (ESG) program to the limits on the use of assistance for in the preparation of its first regulations at 24 CFR 576.21. essential services established in section Consolidated Plan. Specifically, the County requested that 414(a)(2)(B) of the Stewart B. McKinney Granted by: Cardell Cooper, Assistant the thirty percent limitation on essential Homeless Assistance Act (42 U.S.C. Secretary for Community Planning and services be waived. 11374(a)(2)(B)). Essential services are Development. Nature of Requirement: HUD’s commonly defined as services that Date Granted: November 9, 1998. regulation at 24 CFR 576.21 state that provide health, employment, drug Reasons Waived: It was never HUD’s recipients of ESG grant funds are subject abuse, and education to homeless intent to put the financial burden for to the limits on the use of assistance for persons. project start-up costs on local resources essential services established in section Granted by: Cardell Cooper, Assistant by prohibiting reimbursement from 414(a)(2)(B) of the Stewart B. McKinney Secretary for Community Planning and program funds. The November 1995 Homeless Assistance Act (42 U.S.C. Development. revision to the CDBG pre-award 11374(a)(2)(B)). Essential services are Date Granted: December 15, 1998. regulations was intended to broaden commonly defined as services that Reasons Waived: The City of New grantees’ authority to use CDBG funds to provide health, employment, drug York provided HUD the necessary pay reasonable pre-award costs. In abuse, and education to homeless documentation that other eligible ESG making that revision, however, the persons. program activities are being carried out authorization for new grantees to pay Granted by: Fred Karnas Jr., Deputy in the City with other resources. planning and administrative start-up Assistant Secretary for Economic For Item 16, Waiver Granted for 24 costs with CDBG funds was Development. CFR Part 811, Contact: James B. inadvertently omitted. HUD determined Date Granted: October 20, 1998. Mitchell, Eastern and Atlantic Servicing that a waiver was needed to permit the Reasons Waived: The County Branch, Office of Portfolio Management, City of Missoula to use CDBG funds to provided HUD the necessary U.S. Department of Housing and Urban reimburse reasonable planning and documentation that other eligible ESG Development, 451 Seventh Street, SW, administrative program start-up costs, program activities are being carried out Washington, DC 20410; telephone (202) including hiring staff and preparing the in the County with other resources. 708–3730 x2612 (this is not a toll-free Consolidated Plan. 14. Regulation: 24 CFR 576.21. number). Hearing- or speech-impaired 12. Regulation: 24 CFR Project/Activity: The Commonwealth persons may access this number via 570.208(b)(1)(ii). of Puerto Rico requested a waiver of the TTY by calling the toll-free Federal Project/Activity: The County of Los Emergency Shelter Grants (ESG) Information Relay Service at (800) 877– Angeles, California requested a waiver program regulations at 24 CFR 576.21. 8391.
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16. Regulation: 24 CFR 811.104. Project/Activity: The amendment of Nature of Requirement: The duration Project/Activity: The refunding of an approved capital advance for a of the fund reservation for a capital bonds that financed a HoDAG assisted project located in Crossville, Tennessee advance is 18 months with limited project in Palm Beach County, Florida (Micki Thompson Apartments, Project exceptions up to 24 months, as (Caribbean Villas Apartments, Project No. 087–HDO30) before the initial approved by HUD on a case-by-case No. FL001–HG401). closing had occurred. basis. Nature of Requirement: HUD Nature of Requirement: The Granted by: William C. Apgar, regulations at 24 CFR part 811 prohibit amendment of an approved capital Assistant Secretary for Housing-Federal payment of a fee to a Housing Authority, advance is prohibited before the initial Housing Commissioner. other than for actual expenses of a bond closing has occurred. Date Granted: December 17, 1998. refunding transaction. Granted by: William C. Apgar, Reasons Waived: The duration of the Granted by: William C. Apgar, Assistant Secretary for Housing-Federal fund reservation was extended because Assistant Secretary for Housing-Federal Housing Commissioner. the processing of some of the initial Housing Commissioner. Date Granted: December 7, 1998. closing documents was delayed. Date Granted: December 29, 1998. Reasons Waived: The waiver is based 22. Regulation: 24 CFR 891.165. Reasons Waived: The refunding bonds on the project’s development cost being Project/Activity: The duration of the are being issued on terms that will comparable in cost and design to similar fund reservation was extended for a reduce debt service in order to projects in the area, and because the project located in Richmond, California strengthen the financial condition of the owner was unable to obtain additional (North Richmond Senior Housing, project, and to redeem outstanding 1989 funding from other sources. Project No. 131–EE–098/CA39–S961– Bonds. The low-income rent restrictions 19. Regulation: 24 CFR 891.100(d). 011). of sections 103 and 141–150 of the Project/Activity: The amendment of Nature of Requirement: The duration Internal Revenue Code (26 U.S.C. 103, an approved capital advance for projects of the fund reservation for a capital 141–105) will apply during the new located in Warren, Michigan advance is 18 months with limited financing term to the year 2028. The (Presbyterian Villages of Michigan exceptions up to 24 months, as Palm Beach County Housing Authority (Warren Glenn), Project No. 044–EE044/ approved by HUD on a case-by-case will receive a fee of $32,500 for its MI28–S961–010) before the initial basis. participation in this transaction. This closing had occurred. Granted by: William C. Apgar, fee will be paid by the project owner Nature of Requirement: The Assistant Secretary for Housing-Federal and will not be paid from refunding amendment of an approved capital Housing Commissioner. bond proceeds or from debt service advance is prohibited before the initial Date Granted: December 22, 1998. reserve residual balances. closing has occurred. Reasons Waived: The duration of the Granted by: William C. Apgar, For Items 17 Through 27, Waivers fund reservation was extended because Assistant Secretary for Housing-Federal Granted for 24 CFR Part 891, Contact: the sponsor/owner was forced to change Housing Commissioner. Willie Spearmon, Director, Business sites. Date Granted: December 7, 1998. Products, U.S. Department of Housing Reasons Waived: The waiver is based 23. Regulation: 24 CFR 891.165. and Urban Development, 451 Seventh on the fact that the sponsor incurred Project/Activity: The duration of fund Street, SW, Washington, DC 20410– higher costs due to the shortage of reservations was extended for four 7000; telephone (202) 708–3000 (this is skilled tradespeople, and design projects located in Kentucky (Bivins not a toll-free number). Hearing- or changes required for the project to blend Place, Project No. 083–HDO40–NP– speech-impaired persons may access into the neighborhood. CNU, Cedar Lake Project No. 083– this number via TTY by calling the toll- 20. Regulation: 24 CFR 891.165. HDO38–NP–WDD, Marian Manor free Federal Information Relay Service Project/Activity: The duration of the Project No. 083–EE050–NP–WAH, Rall at (800) 877–8391. fund reservation was extended for a Place Project No. 083–HDO43–NP– 17. Regulation: 24 CFR 891.100(d). project located in Berkeley, California CMI). Project/Activity: The amendment of (Maggie Kuhn Apartments, Project No. Nature of Requirement: The duration an approved capital advance for projects 131–EE093/CA39–S961–006). of the fund reservation for a capital located in Nebraska (New Beginnings Nature of Requirement: The duration advance is 18 months with limited Plaza, Project No. 103–HDO18, Prairie of the fund reservation for a capital exceptions up to 24 months, as Haven, Project No. 103–EE016, Park advance is 18 months with limited approved by HUD on a case-by-case Plaza, Project No. 103–EE017) before exceptions up to 24 months, as basis. initial closings had occurred. approved by HUD on a case-by-case Granted by: William C. Apgar, Nature of Requirement: The basis. Assistant Secretary for Housing-Federal amendment of an approved capital Granted by: William C. Apgar, Housing Commissioner. advance is prohibited before the initial Assistant Secretary for Housing-Federal Dates Granted: December 29, 1998. closing has occurred. Housing Commissioner. Reasons Waived: The duration of the Granted by: William C. Apgar, Date Granted: December 17, 1998. fund reservations was extended because Assistant Secretary for Housing-Federal Reasons Waived: The duration of the the projects experienced delays due to Housing Commissioner. fund reservation was extended because owners trying to identify other funding Date Granted: October 22, 1998. additional time was required for HUD to resources. These other funding sources Reasons Waived: The waiver is based review and approve secondary financing were necessary because the funds on the fact that the sponsors, architects, documents. reserved were not sufficient to construct contractors, and consultant explored 21. Regulation: 24 CFR 891.165. the projects. every avenue to save money on design, Project/Activity: The duration of the 24. Regulation: 24 CFR 891.165. labor, and materials. In addition, fund reservation was extended for a Project/Activity: The duration of the construction costs in rural areas of project located in New York (Msgr. fund reservation was extended for a Nebraska are more expensive. Joseph F. Stedman Residence, Project project located in Capitola, California 18. Regulation: 24 CFR 891.100(d). No. 012–EE198/NY36–S961–016). (Capitola Supportive Housing, Project
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No. 131–HD051–WPD/CA39–Q961– Nature of Requirement: All entrances, Nature of Requirement: HUD 005). common areas, units to be occupied by regulations at 24 CFR part 891 require Nature of Requirement: The duration resident staff, and amenities must be that occupancy be limited to very low of the fund reservation for a capital readily accessible to and usable by income (VLI) elderly persons (i.e., advance is 18 months with limited persons with disabilities. households composed of one or more exceptions up to 24 months, as Granted by: William C. Apgar, persons, at least one of whom is 62 approved by HUD on a case-by-case Assistant Secretary for Housing-Federal years of age at time of initial basis. Housing Commissioner. occupancy). Granted by: William C. Apgar, Dates Granted: October 23, 1998. Granted By: William C. Apgar, Assistant Secretary for Housing-Federal Reasons Waived: The project consists Assistant Secretary for Housing-Federal Housing Commissioner. of two existing condominium units for Housing Commissioner. Date Granted: December 29, 1998. 3 persons with developmental Date Granted: November 6, 1998. Reasons Waived: The duration of the disabilities. The waiver was based on Reasons Waived: The waiver is based fund reservation was extended because the fact that these units are on the area’s ‘‘soft’’ housing market and the processing was delayed due to a condominiums and HUD funds were not the difficulty in renting efficiency units. redesign of the development to reduce available to make the hallways, The waiver would allow project cost. The project also had to seek entrances, and common areas management additional flexibility in secondary financing from other sources accessible. attempting to rent-up these units. For Items 28 Through 31, Waivers for the cost overruns. 30. Regulation: 24 CFR 891.410(c). Granted for 24 CFR Part 891, Contact: 25. Regulation: 24 CFR 891.165. Project/Activity: The Philadelphia Jerold Nachison, Eastern and Atlantic Project/Activity: The duration of the Multifamily Hub requested a waiver of Servicing Branch, Office of Portfolio fund reservation was extended for a the age requirement for five non-elderly Management, U.S. Department of project located in Gilroy, California disabled families residing in a project Housing and Urban Development, 451 (Villa Esperanza, Project No. 121– located in Romney, West Virginia Seventh Street, SW, Room 6168, HD053–WDD/CA39–Q961–007). (Romney Unity, Project No. 045–EE019), Nature of Requirement: The duration Washington, DC 20410; telephone (202) and 17 non-elderly families residing in of the fund reservation for a capital 708–3730 x2485 (this is not a toll-free a project located in West Hamlin, West advance is 18 months with limited number). Hearing-or speech-impaired Virginia (Lincoln Unity, Project No. exceptions up to 24 months, as persons may access this number via 045–EE098) who are under age 62. approved by HUD on a case-by-case TTY by calling the toll-free Federal Nature of Requirement: HUD basis. Information Relay Service at (800) 877– regulations at 24 CFR part 891 require Granted by: William C. Apgar, 8391. that occupancy be limited to very low Assistant Secretary for Housing-Federal 28. Regulation: 24 CFR 891.410(c). income (VLI) elderly persons (i.e., Housing Commissioner. Project/Activity: The Fort Worth Date Granted: December 29, 1998. households composed of one or more Multifamily Hub and the Houston persons, at least one of whom is 62 Reasons Waived: The duration of the Program Center requested a waiver of fund reservation was extended because years of age at time of initial the age requirement for 22 non-elderly occupancy). the project’s original site was rejected people with disabilities residing in a due to environmental concerns. Granted By: William C. Apgar, project located in Beaumont, Texas Assistant Secretary for Housing-Federal 26. Regulation: 24 CFR 891.165. (Metro YMCA of Beaumont, Project No. Project/Activity: The duration of the Housing Commissioner. 113–EE019/TX24–S931–003). Date Granted: November 17, 1998. fund reservation was extended for a Nature of Requirement: HUD project located in Berkeley, California Reasons Waived: The waiver is based regulations at 24 CFR part 891 require on the circumstances of this case, which (Rosevine Supported Living Project, that occupancy be limited to very low Project No. 131–HD050–WDD/CA39– involves reliance by the owner resulting income (VLI) elderly persons (i.e., from erroneous advice from the Q961–004). households composed of one or more Nature of Requirement: The duration Charleston Multifamily Program Center persons, at least one of whom is 62 (MPC), and may result in potential of the fund reservation for a capital years of age at time of initial advance is 18 months with limited hardship to both the project and tenants, occupancy). if immediately displaced. exceptions up to 24 months, as Granted by: Ira G. Peppercorn, approved by HUD on a case-by-case General Deputy Assistant Secretary for 31. Regulation: 24 CFR 891.410(c). basis. Housing. Project/Activity: Greensboro Granted by: William C. Apgar, Date Granted: October 13, 1998. Multifamily Hub requested a waiver of Assistant Secretary for Housing-Federal Reasons Waived: The waiver is based income and age requirements for 10 Housing Commissioner. on the special circumstances of this non-elderly people residing in a project Dates Granted: December 29, 1998. case, which relate to the unusual rent- located at James Island, South Carolina Reasons Waived: The duration of the up process utilized, reliance by the (St. James Place, Project No. 054– fund reservation was extended because owner on erroneous advice from the EE019). the process of seeking and obtaining Houston Multifamily Program Center Nature of Requirement: HUD approval of the secondary financing and FH&EO, and potential hardship for regulations at 24 CFR part 891 require from the City of Berkeley delayed the both the project and occupants that occupancy be limited to very low initial closing. In addition, the project themselves. income (VLI) elderly persons (i.e., had to be redesigned to reduce costs. 29. Regulation: 24 CFR 891.410(c). households composed of one or more 27. Regulation: 24 CFR 891.310(b)(1). Project/Activity: Kansas City Hub persons, at least one of whom is 62 Project/Activity: A project in Boston, requested an age waiver because of a years of age at the time of initial Massachusetts (Supportive Living continual vacancy problem for a project occupancy). Program, Project No. 023–HD066) located in Appleton City, California Granted By: William C. Apgar, requested a waiver of additional (Appleton Estates, Project No. 084– Assistant Secretary for Housing-Federal accessibility requirements. EH068). Housing Commissioner.
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Date Granted: November 17, 1998. Date Granted: December 23, 1998. permit conversion from one utility Reasons Waived: The waiver is based Reason Waived: The waiver was source to another to qualify for the on the special circumstances of this granted to prevent further hardship for ‘‘freeze of the rolling base’’ energy case, which concerns 8 non-elderly a family (consisting of one adult and incentive. disabled residents who are VLI and 2 three teenage children) and to prevent Granted by: Deborah L. Vincent, elderly residents who are low income the possible separation of the family due General Deputy Assistant Secretary for but not VLI. The potential hardship to the lack of adequate housing. Public and Indian Housing. posed for both tenants and the project 34. Regulation: 24 CFR 984.306(b). Date Granted: November 3, 1998. necessitates this waiver. Project/Activity: Housing Authority of Reason Waived: The Dover Housing For Items 32 Through 34 Waivers Jackson County, Oregon; Section 8 Authority was granted a regulatory Granted for 24 CFR Parts 982 and 984, Family Self-Sufficiency (FSS) Program. Contact: Gloria J. Cousar, Deputy Nature of Requirement: The waiver to permit it to use the ‘‘freeze of Assistant Secretary for Public and regulation provides that a Section 8 the rolling base’’ methodology for a Assisted Housing Delivery, Office of rental certificate or voucher program conversion from one energy source to Public and Indian Housing, U.S. participant must lease a unit in the another in an energy performance Department of Housing and Urban jurisdiction of the public housing contract under the PFS energy cost Development, 451 Seventh Street, SW, agency that selected the family for the savings incentives. Conversion from one Room 4204, Washington, DC 20410; FSS program for a minimum of 12 utility source to another may result in telephone (202) 619–8201 (this is not a months after the effective date of the significant cost avoidance, even though toll-free number). Hearing-or speech- FSS contract. comprising a shift in consumption, impaired persons may access this Granted By: Deborah Vincent, General rather than a reduction. number via TTY by calling the toll-free Deputy Assistant Secretary Office of 36. Regulation: 24 CFR 990.107(b) and Federal Information Relay Service at Public and Indian Housing. 990.110(c)(2)(ii). (800) 877–8391. Date Granted: October 16, 1998. Project/Activity: New Bedford 32. Regulation: 24 CFR 982.303(b). Reason Waived: Approval of the Housing Authority, New Bedford, MA. Project/Activity: Oakland Housing waiver permitted the Section 8 A request was made for a waiver of the Authority, California; Section 8 Rental certificate program participant to Performance Funding System (PFS) Certificate Program. complete her education and become regulations regarding the execution of Nature of Requirement: The self-sufficient. regulation provides for a maximum an energy performance contract. For Items 35 and 36, Waivers Granted rental certificate/voucher term of 120 Nature of Requirement: HUD’s PFS for 24 CFR Part 990, Contact: Joan days during which a certificate holder regulations at 24 CFR 990 specifically DeWitt, Director, Funding and Financial may seek housing to be leased under the refers to savings from decreased Management Division, Office of Public program. consumption which must be waived to Granted By: Harold Lucas, Assistant and Assisted Housing Operations, Office permit conversion from one utility Secretary for Public and Indian of Public and Indian Housing, U.S. source to another to qualify for the Housing. Department of Housing and Urban ‘‘freeze of the rolling base’’ energy Date Granted: November 21, 1998. Development, 451 Seventh Street, SW, incentive. Room 4216, Washington, DC 20410; Reason Waived: The waiver was Granted by: Harold Lucas, Assistant telephone (202) 619–1872 (this is not a granted to reunite the family and to give Secretary for Public and Indian toll-free number). Hearing-or speech- the family (one adult and two children) Housing. the opportunity to break its cycle of impaired persons may access this Date Granted: November 13, 1998. homelessness. number via TTY by calling the toll-free 33. Regulation: 24 CFR 982.303(b). Federal Information Relay Service at Reason Waived: The New Bedford Project/Activity: Housing Authority of (800) 877–8391. Housing Authority was granted a the County of Santa Clara (HACSA), San 35. Regulation: 24 CFR 990.107(b) and regulatory waiver to permit it to use the Jose, CA; Section 8 Rental Certificate 990.110(c)(2)(ii). ‘‘freeze of the rolling base’’ methodology Program. Project/Activity: Dover Housing for a conversion from one energy source Nature of Requirement: The Authority, Dover, NH. A request was to another in an energy performance regulation provides for a maximum made for a waiver of the Performance contract under the PFS energy cost rental certificate/voucher term of 120 Funding System (PFS) regulations savings incentives. Conversion from one days during which a certificate holder regarding the execution of an energy utility source to another may result in may seek housing to be leased under the performance contract. significant cost avoidance, even though program. Nature of Requirement: HUD’s PFS comprising a shift in consumption, Granted By: Harold Lucas, Assistant regulations at 24 CFR 990 specifically rather than a reduction. Secretary for Public and Indian refer to savings from decreased [FR Doc. 99–11910 Filed 5–11–99; 8:45 am] Housing. consumption which must be waived to BILLING CODE 4210±32±P
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DEPARTMENT OF JUSTICE transmitting the forms to institution Regarding the release authorization staff. The commenters further stated that form itself, the form is in compliance Bureau of Prisons they disapproved of the forms as being with information collection standards. intrusive in the lives of other people Sending the form to a potential visitor 28 CFR Part 540 and that they believed their sending the therefore need not represent the [BOP 1071±F] form to potential visitors constituted personal views of the individual sender. their personal stamp of approval to the Regarding the impact on inmates RIN 1120±AA67 form. The commenters stated that they without funds, the Bureau believes that Visiting: Notification to Visitors wanted the Bureau to have total the amendment does not unduly burden responsibility for sending and receiving the inmate because correspondence AGENCY: Bureau of Prisons, Justice. the forms. which conveys the release authorization ACTION: Final Rule. The commenters also objected to the form to a potential visitor can also serve proposal on the grounds that it broader social contact purposes. SUMMARY: In this document, the Bureau constituted an imposition on indigent Upon due consideration, the Bureau of Prisons is amending its regulations on inmates. The commenters noted that is adopting the proposed revision to visiting to make the inmate responsible under Bureau policy inmates without § 540.51(b)(3) as final without change. for having a release authorization form funds were eligible to receive a certain Members of the public may submit mailed to the inmate’s proposed visitor amount of stamps for their legal and further comments concerning this rule in instances where a background social mail (see 28 CFR 540.21(d) and by writing the previously cited address. investigation is necessary before the (e)). The commenters maintained that These comments will be considered but visitor can be approved. This sending the authorization forms will receive no comment in the Federal amendment is intended to increase constituted a business or information Register. consistency in Bureau operations and to gathering use and consequently was an Executive Order 12866 reduce the cost to the government in unwarranted imposition upon such processing additions to an inmate’s inmates. This rule falls within a category of visitor’s list. Finally, the commenters complained actions that the Office of Management EFFECTIVE DATE: June 11, 1999. about implementation of existing and Budget (OMB) has determined not ADDRESSES: Rules Unit, Office of procedures, stating that they were aware to constitute ‘‘significant regulatory General Counsel, Bureau of Prisons, of instances in which visitors came to actions’’ under section 3(f) of Executive HOLC Room 754, 320 First Street, NW., Bureau institutions and were refused Order 12866 and, accordingly, it was Washington, DC 20534. admittance presumably because the not reviewed by OMB. FOR FURTHER INFORMATION CONTACT: Roy returned forms were not properly filed. Executive Order 12612 Nanovic, Office of General Counsel, In response, the Bureau notes that the This regulation will not have Bureau of Prisons, phone (202) 514– regulations in 28 CFR 540.51(b)(3) state substantial direct effects on the States, 6655. that if a background investigation is on the relationship between the national SUPPLEMENTARY INFORMATION: The necessary before approving a visitor, the government and the States, or on Bureau of Prisons is amending its inmate may be held responsible for distribution of power and regulations on visiting (28 CFR part 540, having a release authorization form responsibilities among the various subpart D). A proposed rule on this forwarded to the proposed visitor. levels of government. Therefore, in subject was published in the Federal Ordinarily background information is accordance with Executive Order 12612, Register September 11, 1997 (62 FR obtained from potential visitors who are it is determined that this rule does not 47894) which requested comment by not members of the inmate’s immediate have sufficient federalism implications November 10, 1997. The Bureau family. Exception to this procedure may to warrant the preparation of a received seven identical comments on be made when warranted. However, the Federalism Assessment. the proposed rule. A summary of these expectation is that immediate family comments and the Bureau’s response members generally do not have to Regulatory Flexibility Act follow. provide background information. If an The Director of the Bureau of Prisons, The commenters all identified inmate believes that the practice at an in accordance with the Regulatory themselves as inmates at one particular institution is not in conformance with Flexibility Act (5 U.S.C. 605(b)), has Federal correctional facility. The Bureau policy, the inmate may bring the reviewed this regulation and by commenters stated that they had been matter to the attention of the approving it certifies that this regulation informed that all of their visitors appropriate Bureau officials through the will not have a significant economic (including immediate family members) Administrative Remedy Program (see 28 impact upon a substantial number of needed to complete and return a release CFR part 242). small entities for the following reasons: authorization form before being allowed As for the regulatory revision proper, This rule pertains to the correctional to visit. The commenters stated that to former § 540.51(b)(3) already provided management of offenders committed to the best of their knowledge all visitors that the inmate could be held the custody of the Attorney General or had to complete and submit the form. responsible for forwarding the the Director of the Bureau of Prisons, This statement presumably rebuts the authorization form to the potential and its economic impact is limited to assertion in the proposed rule that the visitor. As noted in the proposed rule, the Bureau’s appropriated funds. authorization form is necessary when paragraph (b)(3) was being revised in background information is necessary the interest of reducing costs to the Unfunded Mandates Reform Act of (for example, when the proposed visitor government and for the sake of 1995 is not a member of the immediate consistency. There is no change in the This rule will not result in the family). regulations with respect to the return of expenditure by State, local and tribal The commenters stated that they did completed forms. Completed forms will governments, in the aggregate, or by the not want the responsibility of sending continue to be returned to Bureau staff private sector, of $100,000,000 or more the forms and then receiving and for processing. in any one year, and it will not
VerDate 06-MAY-99 13:44 May 11, 1999 Jkt 183247 PO 00000 Frm 00002 Fmt 4701 Sfmt 4700 E:\FR\FM\12MYR6.XXX pfrm07 PsN: 12MYR6 Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 / Rules and Regulations 25795 significantly or uniquely affect small these regulations, call or write Roy Authority: 5 U.S.C. 301, 551, 552a; 18 governments. Therefore, no actions were Nanovic, Rules Unit, Office of General U.S.C. 1791, 3621, 3622, 3624, 4001, 4042, deemed necessary under the provisions Counsel, Bureau of Prisons, 320 First 4081, 4082 (Repealed in part as to offenses of the Unfunded Mandates Reform Act St., Washington, DC 20534; telephone committed on or after November 1, 1987), of 1995. (202) 514–6655. 5006–5024 (Repealed October 12, 1984 as to offenses committed after that date), 5039; 28 Small Business Regulatory Enforcement List of Subjects in 28 CFR Part 540 U.S.C. 509, 510; 28 CFR 0.95–0.99. Fairness Act of 1996 Prisoners. 2. In § 540.51, paragraph (b)(3) is This rule is not a major rule as Kathleen Hawk Sawyer, Director, Bureau of Prisons. amended by revising the first sentence defined by § 804 of the Small Business to read as follows: Regulatory Enforcement Fairness Act of Accordingly, pursuant to the 1996. This rule will not result in an rulemaking authority vested in the § 540.51 Procedures. annual effect on the economy of Attorney General in 5 U.S.C. 552(a) and * * * * * $100,000,000 or more; a major increase delegated to the Director, Bureau of in costs or prices; or significant adverse Prisons in 28 CFR 0.96(p), part 540 in (b) * * * effects on competition, employment, subchapter C of 28 CFR, chapter V is (3) If a background investigation is investment, productivity, innovation, or amended as set forth below. necessary before approving a visitor, the on the ability of United States-based inmate shall be held responsible for SUBCHAPTER CÐINSTITUTIONAL companies to compete with foreign- mailing a release authorization form to MANAGEMENT based companies in domestic and the proposed visitor. export markets. PART 540ÐCONTACT WITH PERSONS * * * * * Plain Language Instructions IN THE COMMUNITY [FR Doc. 99–11980 Filed 5–11–99; 8:45 am] We try to write clearly. If you can 1. The authority citation for 28 CFR BILLING CODE 4410±05±P suggest how to improve the clarity of part 540 continues to read as follows:
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Reader Aids Federal Register Vol. 64, No. 91 Wednesday, May 12, 1999
CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING MAY
Federal Register/Code of Federal Regulations At the end of each month, the Office of the Federal Register General Information, indexes and other finding 202±523±5227 publishes separately a List of CFR Sections Affected (LSA), which aids lists parts and sections affected by documents published since the revision date of each title. Laws 523±5227 3 CFR 2...... 24092, 24531 7...... 24531 Presidential Documents Proclamations: 9...... 24531 Executive orders and proclamations 523±5227 7189...... 24275 19...... 24092 7190...... 24277 The United States Government Manual 523±5227 20...... 24092 7191...... 24279 21...... 24092 7192...... 24281 Other Services 30...... 24092 7193...... 25189 32...... 23796 523±4534 Electronic and on-line services (voice) 7194...... 25191 40...... 24092 Privacy Act Compilation 523±3187 Executive Orders: 50...... 24531 Public Laws Update Service (numbers, dates, etc.) 523±6641 13088 (Amended by 51...... 24092, 24531 TTY for the deaf-and-hard-of-hearing 523±5229 EO 13121)...... 24021 52...... 24531 13121...... 24021 60...... 24092, 24531 July 2, 1910 (Revoked ELECTRONIC RESEARCH 61...... 24092 in part by PLO 62...... 24531 World Wide Web 7388) ...... 23856 63...... 24092 Administration Orders: Full text of the daily Federal Register, CFR and other 72...... 24531 Presidential publications: 75...... 24531 Determination No. 76...... 24531 http://www.access.gpo.gov/nara 99±22 of April 29, 100...... 24531 Federal Register information and research tools, including Public 1999 ...... 24501 110...... 24531 Inspection List, indexes, and links to GPO Access: 5 CFR 12 CFR http://www.nara.gov/fedreg 330...... 24503 611...... 25423 E-mail 351...... 23531 620...... 25423 532...... 23531 PENS (Public Law Electronic Notification Service) is an E-mail 960...... 24025 service that delivers information about recently enacted Public 7 CFR Proposed Rules: Ch. I ...... 25469 Laws. To subscribe, send E-mail to 301...... 23749 [email protected] 457...... 24931 13 CFR with the text message: 929...... 24023 979...... 23754 Proposed Rules: 121...... 23798 subscribe publaws-l
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150...... 24038 842...... 23811 Proposed Rules: 74...... 24523 240...... 25144 843...... 23811 52 ...... 23813, 24117, 24119, Proposed Rules: 249...... 25144 846...... 23811 24549, 24988, 24989 1...... 23571 270...... 24488 70...... 23813 22...... 23571 Proposed Rules: 31 CFR 81...... 24123 24...... 23571 240...... 25153 205...... 24242 271...... 23814, 25258 26...... 23571 300...... 24990 249...... 25153 Proposed Rules: 27...... 23571 270...... 24489 1...... 24454 42 CFR 73 ...... 23571, 24565, 24566, 24567, 24996, 24997, 24998 21 CFR 32 CFR 405...... 25456 74...... 23571 410...... 25456 178...... 24943, 25428 80...... 23571 290...... 25407 413...... 25456 558...... 23539 87...... 23571 706 ...... 25433, 25434, 25435, 414...... 25456 90...... 23571 Proposed Rules: 25436, 25437 415...... 25456 95...... 23571 884...... 24967 424...... 25456 33 CFR 1020...... 23811 485...... 25456 97...... 23571 1308...... 24094, 25407 117 ...... 23545, 24944, 25438 498...... 24957 101...... 23571 165 ...... 24286, 24945, 24947 22 CFR Proposed Rules: 323...... 25120 405...... 24549 48 CFR 171...... 25430 Proposed Rules: 412...... 24716 213...... 24528 100...... 24979, 24980 413...... 24716 24 CFR 225...... 24528, 24529 165 ...... 23545, 24982, 24983, 483...... 24716 252...... 24528, 24529 5...... 25726 24985, 24987 485...... 24716 715...... 25407 Proposed Rules: 1815...... 25214 Ch. IX...... 24546 34 CFR 44 CFR 1816...... 25214 761...... 25736 59...... 24256 300...... 24862 1819...... 25214 888...... 24866 61...... 24256 1852...... 25214 36 CFR 64...... 24512, 24957 25 CFR 65...... 24515, 24516 Proposed Rules: 62...... 25708 16...... 24472 Proposed Rules: 67...... 24517 45...... 23982 20...... 24296 37 CFR Proposed Rules: 48...... 24472 251...... 25201 67...... 24550 26 CFR 52...... 23982, 24472 Proposed Rules: 45 CFR 215...... 23814 Proposed Rules: 1...... 25223 1 ...... 23554, 23811, 24096, 2...... 25223 Proposed Rules: 2505...... 25260 25223 3...... 25223 49 CFR 20...... 23811 6...... 25223 46 CFR 1...... 24959 25...... 23811 216...... 25540 16...... 25407 31...... 23811 38 CFR 223...... 25540 40...... 23811 500...... 23545 4...... 25202 501...... 23545 229...... 25540 27 CFR 21...... 23769 502...... 23551 231...... 25540 Proposed Rules: 503...... 23545 232...... 25540 Proposed Rules: 4...... 25246 238...... 25540 9...... 24308 504...... 23545 17...... 23812 506...... 23545 Proposed Rules: 28 CFR 507...... 23545 229...... 23816 40 CFR 508...... 23545 231...... 23816 540...... 25794 Ch. VII...... 25126 514...... 23782 232...... 23816 Proposed Rules: 9...... 23906, 25126 530...... 23782 360...... 24123 0...... 24972 35...... 23734 535...... 23794 387...... 24123 16...... 24972 52 ...... 23774, 24949, 25210, 540...... 23545 390...... 24128 20...... 24972 25214 545...... 23551 396...... 24128 50...... 24972 60...... 24049, 24511 550...... 23551 605...... 23590 302...... 24547 61...... 24288 551...... 23551 551...... 24468 63...... 24288, 24511 555...... 23551 50 CFR 70...... 23777 560...... 23551 29 CFR 81...... 24949 565...... 23551 17...... 25216 Proposed Rules: 85...... 23906 571...... 23551 222...... 25460 2700...... 24547 86...... 23906 572...... 23794 223...... 25460 88...... 23906 582...... 23545 226...... 24049 30 CFR 180 ...... 24292, 25439, 25448, 585...... 23551 600...... 24062 943...... 23540 25451 586...... 23551 648...... 24066 946...... 23542 232...... 25120 587...... 23551 660...... 24062, 24078 Proposed Rules: 261...... 25410 588...... 23551 679...... 24960, 25216 701...... 23811 262...... 25410 Proposed Rules: Proposed Rules: 724...... 23811 268...... 25410 356...... 24311 17...... 25263 773...... 23811 271...... 23780 20...... 23742 774...... 23811 300...... 24949 47 CFR 226...... 24998 778...... 23811 600...... 23906 73...... 24522, 24523 648...... 25472
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REMINDERS for designated facilities and Funds withdrawal; methods; The items in this list were COMMENTS DUE NEXT pollutants: comments due by 5-21- 99; published 3-22-99 editorially compiled as an aid WEEK Kentucky; comments due by to Federal Register users. 5-20-99; published 4-20- FEDERAL TRADE Inclusion or exclusion from 99 COMMISSION AGRICULTURE this list has no legal Air quality implementation Industry guides: DEPARTMENT plans; approval and significance. Dog and cat food industry; Agricultural Marketing promulgation; various comments due by 5-17- Service States: 99; published 3-18-99 RULES GOING INTO Cotton research and California; comments due by promotion order: 5-17-99; published 4-16- Dog and cat food industry; EFFECT MAY 12, 1999 correction; comments due Imported cotton and cotton 99 by 5-17-99; published 4- content of imported AGENCY FOR Illinois; comments due by 5- 13-99 products; supplemental 17-99; published 4-16-99 INTERNATIONAL Law book industry; assessment calculation; Minnesota; comments due DEVELOPMENT comments due by 5-17- comments due by 5-19- by 5-19-99; published 4- Commodities and services 99; published 3-18-99 99; published 4-19-99 19-99 financed by USAID; rules Law book industry; and procedures; Soybean promotion and Ohio; comments due by 5- research program; 20-99; published 4-20-99 correction; comments due administrative revisions; by 5-17-99; published 4- referendum; comments due Pennsylvania; comments published 4-12-99 13-99 by 5-17-99; published 4-16- due by 5-17-99; published ENVIRONMENTAL 99 4-16-99 HEALTH AND HUMAN PROTECTION AGENCY AGRICULTURE Tennessee; comments due SERVICES DEPARTMENT Pesticides; tolerances in food, DEPARTMENT by 5-20-99; published 4- Food and Drug animal feeds, and raw 20-99 Administration agricultural commodities: Animal and Plant Health Inspection Service Texas; comments due by 5- Food for human consumption: Azoxystrobin; published 5- 20-99; published 4-20-99 Irradiation in production, 12-99 Interstate transportation of animals and animal products Air quality planning purposes; processing, and handling Dimethomorph etc.; (quarantine): designation of areas: of foodÐ published 5-12-99 Johne's disease in domestic California; comments due by Foods treated with Halosulfuron; published 5- animals; comments due 5-19-99; published 5-5-99 ionizing radiation; 12-99 by 5-21-99; published 3- Texas; comments due by 5- labeling requirements; HEALTH AND HUMAN 22-99 17-99; published 4-16-99 comments due by 5-18- SERVICES DEPARTMENT Viruses, serums, toxins, etc.: Pesticides; tolerances in food, 99; published 2-17-99 Food and Drug Packaging and labelingÐ animal feeds, and raw INTERIOR DEPARTMENT agricultural commodities: Administration Veterinary biological Fish and Wildlife Service Potato leaf roll virus Food additive: products; comments Endangered and threatened resistance gene (orf1/orf2 Adjuvants, production aids, due by 5-17-99; species: gene); comments due by and sanitizersÐ published 3-18-99 5-17-99; published 3-17- Findings on petitions, etc.Ð 5,7-bis(1,1-dimethylethyl)- COMMERCE DEPARTMENT 99 San Diego ambrosia; 3-hydroxy-2(3H)- National Oceanic and Radiation protection programs: comments due by 5-19- benzofuranone; Atmospheric Administration 99; published 4-19-99 published 5-12-99 Idaho National Engineering Fishery conservation and and Environmental INTERIOR DEPARTMENT INTERIOR DEPARTMENT management: Laboratory; waste Surface Mining Reclamation Indian Affairs Bureau West Coast States and characterization program; and Enforcement Office Indian Gaming Regulatory Act: Western Pacific documents availability; Permanent program and Class III (casino) gaming on fisheriesÐ comments due by 5-17- abandoned mine land Indian lands; authorization Pacific Coast groundfish; 99; published 4-16-99 reclamation plan procedures when States comments due by 5-20- FEDERAL submissions: raise Eleventh 99; published 5-5-99 COMMUNICATIONS North Dakota; comments Amendment defense; West Coast salmon; COMMISSION due by 5-17-99; published published 4-12-99 comments due by 5-17- Radio stations; table of 4-15-99 assignments: STATE DEPARTMENT 99; published 5-5-99 Ohio; comments due by 5- Iowa; comments due by 5- Freedom of Information Act; COMMERCE DEPARTMENT 17-99; published 4-16-99 17-99; published 4-1-99 implementation: Patent and Trademark Office West Virginia; comments Louisiana; comments due by National security information; due by 5-20-99; published Patent cases: 5-17-99; published 4-1-99 classification, Interference proceedings; 4-20-99 safeguarding, and Nevada; comments due by consideration of 5-17-99; published 4-1-99 NORTHEAST DAIRY declassification; published interlocutory rulings; COMPACT COMMISSION 5-12-99 New Mexico; comments due comments due by 5-17- by 5-17-99; published 4-5- Over-order price regulations: TRANSPORTATION 99; published 3-16-99 99 Supply management DEPARTMENT CONSUMER PRODUCT South Dakota; comments program; hearing; Federal Aviation SAFETY COMMISSION due by 5-17-99; published comments due by 5-19- Administration Bunk beds; safety standards; 4-1-99 99; published 4-19-99 Airworthiness directives: comments due by 5-17-99; Wyoming; comments due by POSTAL SERVICE Boeing; published 4-7-99 published 3-3-99 5-17-99; published 4-1-99 International Mail Manual: Bombardier; published 4-7- ENVIRONMENTAL FEDERAL RETIREMENT Priority Mail Global 99 PROTECTION AGENCY THRIFT INVESTMENT Guaranteed; enhanced McDonald Douglas; Air programs; approval and BOARD expedited service from published 4-7-99 promulgation; State plans Thrift savings plan: selected U.S. locations to
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