10–7–03 Tuesday Vol. 68 No. 194 Oct. 7, 2003
Pages 57783–58008
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1 II Federal Register / Vol. 68, No. 194 / Tuesday, October 7, 2003
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2 III
Contents Federal Register Vol. 68, No. 194
Tuesday, October 7, 2003
Agency for Toxic Substances and Disease Registry Copyright Office, Library of Congress NOTICES RULES Grants and cooperative agreements; availability, etc.: Copyright Arbitration Royalty Panel rules and procedures: Federal Assistance Funding Book, 57991–58004 Digital performance of sound recordings by preexisting subscription services; reasonable rates and terms determination Agricultural Marketing Service Technical amendment, 57814–57815 RULES Prunes (dried) produced in— California, 57783–57785 Drug Enforcement Administration NOTICES RULES Grants and cooperative agreements; availability, etc.: Methamphetamine Anti-Proliferation Act; implementation: Organic Certification Cost Share Program, 57863 Retailers and distributors; threshold and mail order Meetings: reporting requirements, 57799–57804 National Organic Standards Board, 57863–57864 NOTICES Applications, hearings, and determinations, etc.: Cayman Chemical Co., 57928 Agriculture Department Applications, hearings, determinations, etc.: See Agricultural Marketing Service AccuStandard, Inc., 57928–57929 See Forest Service CellTech Manufacturing CA., Inc., 57929 National Center for Natural Products Research-NIDA Alcohol and Tobacco Tax and Trade Bureau MProject, University of Mississippi, 57929 PROPOSED RULES Noramco, Inc., 57929–57930 Alcohol; viticultural area designations: Varian Inc., 57930 Chehalem Mountains, WA and OR, 57840–57845 Yamhill-Carlton District, OR, 57845–57850 Employment and Training Administration NOTICES Agency information collection activities; proposals, Arts and Humanities, National Foundation submissions, and approvals, 57931–57932 See National Foundation on the Arts and the Humanities Energy Department Centers for Disease Control and Prevention See Federal Energy Regulatory Commission NOTICES Grants and cooperative agreements; availability, etc.: Environmental Protection Agency Federal Assistance Funding Book, 57991–58004 RULES Air programs: Fuels and fuel additives— Chemical Safety and Hazard Investigation Board Reformulated gasoline, anti-dumping, and tier 2 NOTICES gasoline sulfur control programs; alternative Meetings; Sunshine Act, 57866–57867 analytical test methods use, 57815–57820 Air quality planning purposes; designation of areas: Civil Rights Commission California, 57820–57824 NOTICES Solid wastes: Meetings; State advisory committees: Municipal solid waste landfill permit program— Washington, 57867 Virginia, 57824–57825 PROPOSED RULES Air programs: Commerce Department Fuels and fuel additives— See Foreign-Trade Zones Board Reformulated gasoline, anti-dumping, and tier 2 See Industry and Security Bureau gasoline sulfur control programs; alternative See International Trade Administration analytical test methods use, 57851–57855 See National Oceanic and Atmospheric Administration Disadvantaged Business Enterprise Program; participation NOTICES by businesses in procurement under financial Senior Executive Service: assistance agreements Performance Review Board; membership, 57867 Public hearings, 57850–57851 Solid wastes: Consumer Product Safety Commission Municipal solid waste landfill permit program— RULES Virginia, 57855 Organization, functions, and authority delegations: Superfund program: National Injury Information Clearinghouse; transfer from National oil and hazardous substances contingency Epidemiology Directorate to Office of Secretary, plan— 57799 National priorities list update, 57855–57856
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NOTICES Federal Reserve System Meetings: RULES Clean Air Compliance Analysis Advisory Council, Depository institutions; reserve requirements (Regulation 57890–57891 D): Science Advisory Board, 57891–57892 Low reserve tranche, reserve requirement exemption, and State and Tribal Toxics Action Forum, 57892–57894 deposit reporting cutoff level; annual indexing, 57788–57790 Farm Credit Administration NOTICES NOTICES Banks and bank holding companies: Meetings; Sunshine Act, 57894 Formations, acquisitions, and mergers, 57909
Federal Communications Commission Fish and Wildlife Service RULES RULES Common carrier services, etc.: Endangered and threatened species: Competitive bidding procedures Hoover’s woolly-star, 57829–57837 Correction, 57828–57829 NOTICES Digital television stations; table of assignments: Environmental statements; availability, etc.: Mississippi, 57829 Incidental take permits— PROPOSED RULES California; Western Riverside County Multiple Species Digital television stations; table of assignments: Habitat Conversation Plan, 57924–57926 New York, 57861–57862 NOTICES Food and Drug Administration Agency information collection activities; proposals, RULES submissions, and approvals, 57894–57896 Food additives: Common carrier services: Olestra Wireless telecommunications services— Correction, 57957, 57799 Multichannel Video Distribution and Data Services; NOTICES licenses auction; notice and filing requirements, Agency information collection activities; proposals, etc., 57896–57908 submissions, and approvals, 57909–57911 Animal drugs, feeds, and related products: Federal Deposit Insurance Corporation Bacitracin, etc.; antibiotic new products and use NOTICES combinations subject to listing in new animal drug Agency information collection activities; proposals, regulations; drug efficacy study implementation submissions, and approvals, 57908–57909 Correction, 57911–57912 Foreign-Trade Zones Board Federal Emergency Management Agency NOTICES RULES Applications, hearings, determinations, etc.: Flood elevation determinations: Florida Florida, 57828 General Electric Wind Energy & Energy Rentals; wind Washington, 57825–57828 turbine manufacturing plant, 57868 PROPOSED RULES Flood elevation determinations: Forest Service Various States, 57856–57861 NOTICES NOTICES Appealable decisions; legal notice: Disaster and emergency areas: Intermountain Region, 57864–57866 Delaware, 57914–57915 Meetings: District of Columbia, 57915 Resource Advisory Committees— Indiana, 57915 North Gifford Pinchot National Forest, 57866 Michigan, 57916 New Jersey, 57916–57917 General Services Administration North Carolina, 57917–57918 RULES Ohio, 57918 Nondiscrimination on basis of race, color, national origin, Virginia, 57918–57919 handicap, or age in federally assisted programs or West Virginia, 57919–57920 activities Correction[Editorial Note: This document, published at Federal Energy Regulatory Commission 68 FR 55730 in the Federal Register of Monday, NOTICES October 6, 2003, was inadvertently listed under Electric rate and corporate regulation filings: Labor Department in that issue’s table of contents.] Midwest Independent Transmission System Operator, Inc., et al., 57888–57889 Health and Human Services Department Meetings: See Agency for Toxic Substances and Disease Registry Open access transmission service and standard electricity See Centers for Disease Control and Prevention market design; remedying undue discrimination; See Food and Drug Administration technical conferences, 57889–57890 See Substance Abuse and Mental Health Services Pelton Round Butte Hydroelectric Project; settlement Administration process, 57890 Applications, hearings, determinations, etc.: Homeland Security Department El Paso Natural Gas Co., 57887–57888 See Federal Emergency Management Agency
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NOTICES See Mine Safety and Health Administration Meetings: NOTICES National Infrastructure Advisory Council, 57914 Agency information collection activities; proposals, submissions, and approvals, 57930–57931 Housing and Urban Development Department RULES Land Management Bureau Public and Indian housing: NOTICES Housing Choice Voucher Program— Meetings: Homeownership option; eligibility of public housing Resource Advisory Councils— agency-owned or controlled units; correction, Southeast Oregon, 57927 57804–57805 PROPOSED RULES Library of Congress Mortgage and loan insurance programs: See Copyright Office, Library of Congress Single family mortgage insurance— National Housing Act; up-front mortgage insurance Mine Safety and Health Administration premiums, 58005–58007 NOTICES NOTICES Safety standard petitions: Agency information collection activities; proposals, Tito Coal et al., 57932–57933 submissions, and approvals, 57920–57922 Mortgage and loan insurance programs: National Council on Disability FHA multifamily mortgage insurance premiums; NOTICES reduction, 57922–57923 Meetings; Sunshine Act, 57933
Indian Affairs Bureau National Foundation on the Arts and the Humanities NOTICES NOTICES Environmental statements; notice of intent: Meetings: Skull Valley Goshute Tekoi Balefield Landfill Project, Combined Arts Advisory Panel, 57933–57934 UT, 57926–57927 National Oceanic and Atmospheric Administration Industry and Security Bureau RULES NOTICES Fishery conservation and management: Export privileges, actions affecting: Alaska; fisheries of Exclusive Economic Zone— Pirasteh, Reza Moghadam, 57868–57869 Atka mackerel, 57837–57838 NOTICES Interior Department Meetings: See Fish and Wildlife Service Pacific Fishery Management Council, 57887 See Indian Affairs Bureau See Land Management Bureau Nuclear Regulatory Commission See Surface Mining Reclamation and Enforcement Office RULES NOTICES Spent nuclear fuel and high-level radioactive waste; Agency information collection activities; proposals, independent storage; licensing requirements: submissions, and approvals, 57923–57924 Approved spent fuel storage casks; list, 57785–57788 PROPOSED RULES Internal Revenue Service Spent nuclear fuel and high-level radioactive waste; NOTICES independent storage; licensing requirements: Agency information collection activities; proposals, Approved spent fuel storage casks; list, 57839–57840 submissions, and approvals, 57953–57955 NOTICES Export and import license applications for nuclear facilities International Trade Administration and materials: NOTICES Philotechnics, Ltd., 57934 Antidumping: Meetings; Sunshine Act, 57934–57935 Foundry coke— China, 57869–57875 Overseas Private Investment Corporation Natural bristle paintbrushes and brush heads from— NOTICES China, 57875–57876 Meetings; Sunshine Act, 57935 Petroleum wax candles from— China, 57876–57877 Securities and Exchange Commission Preserved mushrooms from— NOTICES China, 57877–57879 Agency information collection activities; proposals, Stainless steel wire rod from— submissions, and approvals, 57935–57937 Korea, 57879–57883 Investment Company Act of 1940: Steel concrete reinforcing bar from— Exemption applications— Korea, 57883–57887 Putnam American Government Income Fund et al., 57937–57941 Justice Department Order applications— See Drug Enforcement Administration WNC Housing Tax Credit Fund VI, L.P., et al., 57941– 57943 Labor Department Self-regulatory organizations; proposed rule changes: See Employment and Training Administration American Stock Exchange LLC, 57943–57945
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National Association of Securities Dealers, Inc., 57945– Toxic Substances and Disease Registry Agency 57947 See Agency for Toxic Substances and Disease Registry New York Stock Exchange, Inc., 57947–57949 Treasury Department Small Business Administration See Alcohol and Tobacco Tax and Trade Bureau RULES See Internal Revenue Service Business loans: See Thrift Supervision Office Certified Development Company Loan Program, 57959– NOTICES 57989 Agency information collection activities; proposals, NOTICES submissions, and approvals, 57953 Disaster loan areas: District of Columbia, 57949 Veterans Affairs Department Maryland, 57949 NOTICES North Carolina, 57949–57950 Agency information collection activities; proposals, Pennsylvania, 57950 submissions, and approvals, 57955–57956
Social Security Administration NOTICES Separate Parts In This Issue Grants and cooperative agreements; availability, etc.: Supplemental security income— Part II Youth Transition Process Demonstration Project, Small Business Administration, 57959–57989 57950–57953 Part III Substance Abuse and Mental Health Services Health and Human Services Department, Agency for Toxic Administration Substances and Disease Registry; Health and Human NOTICES Services Department, Centers for Disease Control and Federal agency urine drug testing; certified laboratories Prevention, 57991–58004 meeting minimum standards, list, 57912–57914 Part IV Surface Mining Reclamation and Enforcement Office Housing and Urban Development Department, 58005–58007 RULES Permanent program and abandoned mine land reclamation plan submissions: Pennsylvania, 57805–57814 Reader Aids NOTICES Consult the Reader Aids section at the end of this issue for Agency information collection activities; proposals, phone numbers, online resources, finding aids, reminders, submissions, and approvals, 57927–57928 and notice of recently enacted public laws. To subscribe to the Federal Register Table of Contents Thrift Supervision Office LISTSERV electronic mailing list, go to http:// RULES listserv.access.gpo.gov and select Online mailing list Savings associations: archives, FEDREGTOC-L, Join or leave the list (or change Transactions with affiliates, 57790–57799 settings); then follow the instructions.
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CFR PARTS AFFECTED IN THIS ISSUE
A cumulative list of the parts affected this month can be found in the Reader Aids section at the end of this issue.
7 CFR 993...... 57783 10 CFR 72...... 57785 Proposed Rules: 72...... 57839 12 CFR 204...... 57788 559...... 57790 562...... 57790 563...... 57790 13 CFR 120...... 57960 16 CFR 1000...... 57799 21 CFR 172 (2 documents) ...... 57799, 57957 1300...... 57799 1309...... 57799 1310...... 57799 24 CFR 982...... 57804 Proposed Rules: 203...... 58006 27 CFR Proposed Rules: 9 (2 documents) ...... 57840, 57845 30 CFR 938...... 57805 37 CFR 260...... 57814 40 CFR 80...... 57815 81...... 57820 239...... 57824 258...... 57824 Proposed Rules: 30...... 57850 31...... 57850 33...... 57850 35...... 57850 40...... 57850 80...... 57851 239...... 57855 258...... 57855 300...... 57855 44 CFR 67 (2 documents) ...... 57825, 57828 Proposed Rules: 67...... 57856 47 CFR 24...... 57828 73...... 57829 Proposed Rules: 73...... 57861 50 CFR 17...... 57829 679...... 57837
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Rules and Regulations Federal Register Vol. 68, No. 194
Tuesday, October 7, 2003
This section of the FEDERAL REGISTER 487–5906; or George Kelhart, Technical provisions in the order and contains regulatory documents having general Advisor, Marketing Order administrative rules and regulations applicability and legal effect, most of which Administration Branch, Fruit and concerning the prune reserve and are keyed to and codified in the Code of Vegetable Programs, AMS, USDA, 1400 voluntary producer prune plum Federal Regulations, which is published under Independence Avenue SW., STOP 0237, diversion. This action was unanimously 50 titles pursuant to 44 U.S.C. 1510. Washington, DC 20250–0237; telephone: recommended by the PMC. This rule The Code of Federal Regulations is sold by (202) 720–2491, or Fax: (202) 720–8938. will continue to ensure that reserve the Superintendent of Documents. Prices of Small businesses may request percentages are not established, and that new books are listed in the first FEDERAL information on complying with this a prune plum diversion program is not REGISTER issue of each week. regulation by contacting Jay Guerber, implemented pursuant to these Marketing Order Administration provisions. During the five-year Branch, Fruit and Vegetable Programs, suspension period, the industry will DEPARTMENT OF AGRICULTURE AMS, USDA, 1400 Independence have the opportunity to determine Avenue SW., STOP 0237, Washington, whether these provisions should be Agricultural Marketing Service DC 20250–0237; telephone (202) 720– modified, terminated, or remain 2491, Fax: (202) 720–8938, or E-mail: unchanged. 7 CFR Part 993 [email protected]. Marketing Order Authority To Suspend [Docket No. FV03–993–2 FIR] SUPPLEMENTARY INFORMATION: This rule Section 993.90(a) states in part: ‘‘The is issued under Marketing Agreement Dried Prunes Produced in California; Secretary shall terminate or suspend the and Order No. 993 (7 CFR part 993), Temporary Suspension of the Prune operation of any or all of the provisions both as amended, regulating the Reserve and the Voluntary Producer of this subpart, whenever he/she finds Prune Plum Diversion Provisions handling of dried prunes produced in that such provisions do not tend to California, hereinafter referred to as the effectuate the declared policy of the AGENCY: Agricultural Marketing Service, ‘‘order.’’ The order is effective under the act.’’ USDA. Agricultural Marketing Agreement Act ACTION: Final rule. of 1937, as amended (7 U.S.C. 601–674), Volume Regulation Provisions hereinafter referred to as the ‘‘Act.’’ Section 993.54 of the order provides SUMMARY: The Department of USDA is issuing this rule in authority for volume regulation through Agriculture (USDA) is adopting, as a conformance with Executive Order establishing salable and reserve final rule, without change, an interim 12866. percentages of prunes received by final rule suspending the prune reserve This rule has been reviewed under handlers (prune reserve). When the and the voluntary producer prune plum Executive Order 12988, Civil Justice prune reserve is in effect, the salable diversion provisions in the California Reform. This rule is not intended to percentage of the California prune crop Dried Prune Marketing Order (order) have retroactive effect. This rule will may be sold to any market while the and the administrative rules and not preempt any State or local laws, reserve percentage must be held by the regulations related to volume control regulations, or policies, unless they handlers for the account of the PMC. restrictions for a five-year period. The present an irreconcilable conflict with Reserve prunes may be sold to meet order regulates the handling of dried this rule. either domestic or foreign trade demand prunes produced in California and is The Act provides that administrative or for use in outlets noncompetitive administered locally by the Prune proceedings must be exhausted before with normal outlets for salable prunes. Marketing Committee (PMC). parties may file suit in court. Under Net proceeds from sales of reserve Suspension of these provisions ensures section 608c(15)(A) of the Act, any prunes are ultimately distributed to that volume control restrictions will not handler subject to an order may file producers. The prune reserve is be implemented under the order. During with USDA a petition stating that the designed to promote orderly marketing the five-year suspension period, the order, any provision of the order, or any conditions, stabilize prices and industry will have the opportunity to obligation imposed in connection with supplies, and improve producer returns. determine whether these provisions the order is not in accordance with law should be modified, terminated, or and request a modification of the order Voluntary Prune Plum Diversion continue unchanged. In the absence of or to be exempted therefrom. A handler Program additional rulemaking to modify or is afforded the opportunity for a hearing Section 993.62 of the order authorizes terminate these provisions, they will on the petition. After the hearing, USDA a producer diversion program, which come back into effect automatically at would rule on the petition. The Act prune producers may use when a prune the end of the five-year period. provides that the district court of the reserve is implemented. Section 993.162 EFFECTIVE DATE: November 6, 2003. United States in any district in which of the administrative rules and FOR FURTHER INFORMATION CONTACT: the handler is an inhabitant, or has his regulations specifies implementing Richard P. Van Diest, Marketing or her principal place of business, has procedures. Under the producer Specialist, California Marketing Field jurisdiction to review USDA’s ruling on diversion program, any prune producer Office, Marketing Order Administration the petition, provided an action is filed may divert prune plums of his own Branch, Fruit and Vegetable Programs, not later than 20 days after the date of production for eligible purposes and AMS, USDA, 2202 Monterey Street, the entry of the ruling. receive a diversion certificate from the suite 102B, Fresno, California 93721; This rule continues in effect the PMC. The certificate may be submitted telephone: (559) 487–5901, Fax: (559) suspension for five years of all to any handler in lieu of reserve prunes
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and the handler may apply the quantity 993.165 and 993.172(e) of the voluntary producer diversion programs. represented by the certificate towards administrative rules and regulations in These supply control programs have his reserve obligation. Participation in effect under the order. Portions of been and continue to be controversial in this program reduces a producer’s §§ 993.33 and 993.41(b) of the order and the industry. Furthermore, the industry expenses to convert prune plums into portions of §§ 993.173(a)(6), has successfully reduced crop sizes dried prunes that will ultimately be 993.173(b)(3), and 993.173(c)(1) of the through other means. Through industry placed in a relatively low value prune administrative rules and regulations and USDA funded tree pull programs, reserve. continue to be suspended. These over 18,000 acres of prune plum trees sections of the order and administrative Background and Action Taken have been removed, reducing rules and regulations pertain to the production by at least 27,000 tons over The prune reserve was last various requirements of the prune the five-year suspension period. implemented in 1974 and the producer reserve and producer diversion This rule continues to ensure that the diversion program was last used in programs. reserve and diversion volume control 1971. These programs were programs will not be implemented for controversial in the 1970’s and have Final Regulatory Flexibility Analysis the five-year suspension period. Also, become increasingly so since then. Pursuant to requirements set forth in during the suspension period, the Some of the independent prune the Regulatory Flexibility Act (RFA), the industry will have the opportunity to handlers who are also prune producers Agricultural Marketing Service (AMS) determine whether these provisions now oppose any regulatory marketing has considered the economic impact of should be modified, terminated, or restrictions because they want to sell all this action on small entities. remain the same. In the absence of of the prunes they have produced. If Accordingly, AMS has prepared this further rulemaking, these provisions additional tonnage were needed, such final regulatory flexibility analysis. will automatically come back into effect handlers would buy prunes from other The purpose of the RFA is to fit at the end of the suspension period. producers to meet their market demand. regulatory actions to the scale of Authority to suspend these provisions In addition, if a prune reserve is business subject to such actions in order of the marketing order and implemented, it may require these that small businesses will not be unduly administrative rules and regulations is handlers to contract for additional or disproportionately burdened. provided in § 993.90(a) of the order. tonnage in order to meet their reserve Marketing orders issued pursuant to the obligation. Act, and rules issued thereunder, are Impact of Regulation Recently in 2001, when the PMC unique in that they are brought about Regarding the impact of this rule on recommended using supply control through group action of essentially affected entities, this action could techniques, some of the independent small entities acting on their own reduce the reporting and recordkeeping handlers and producers opposed the use behalf. Thus, both statutes have small burden on California prune handlers of these programs. Ultimately, the entity orientation and compatibility. supply control programs were not and producers and reduce some of the implemented at that time. Also, some in Industry Profile PMC’s administrative costs. Although the industry do not support the use of There are approximately 1,205 the prune reserve and producer these supply control provisions because producers of dried prunes in the diversion programs have not been the industry has successfully reduced production area and approximately 21 implemented since the 1970s and crop sizes through other means. handlers subject to regulation under the handlers and producers have not been Through industry and USDA funded marketing order. Small agricultural required to file reports pertaining to tree pull programs, the industry has producers are defined by the Small these programs, suspending these removed over 18,000 acres of prune Business Administration (13 CFR provisions continues to reduce the plum trees; thus reducing the annual 121.201) as those having annual receipts potential reporting burden on handlers prune production by at least 27,000 tons of less than $750,000, and small and producers. Suspension of the of prunes over the five-year suspension agricultural service firms are defined as provisions continues to eliminate the period. those having annual receipts of less than possibility of requiring handlers and During the five-year suspension $5,000,000. producers to file reports associated with period, the industry will have the Eight of the 21 handlers (38 percent) the programs. It also continues to reduce opportunity to either recommend that shipped over $5,000,000 worth of dried some of the potential PMC these provisions be terminated through prunes and could be considered large administrative costs of managing these rulemaking procedures, or recommend handlers by the Small Business programs. The PMC estimates that 21 modifications to the provisions to make Administration. Thirteen of the 21 California prune handlers are subject to them more acceptable to all segments of handlers (62 percent) shipped less than these provisions and to filing reports the industry. In the interim, the $5,000,000 worth of dried prunes and pertaining to these programs. Also, if a suspension of these provisions could be considered small handlers. An producer diversion program was continues to ensure that these estimated 32 producers, or less than 3 implemented, it is estimated that as provisions are not implemented. In the percent of the 1,205 total producers, many as 300 producers would file forms absence of any additional action, the would be considered large growers with applicable to this program. If handlers provisions will automatically come back annual incomes over $750,000. The filed reports under the prune reserve into effect at the end of the five-year majority of handlers and producers of program, their estimated burden would suspension period. California dried prunes may be be 57 hours. If growers filed reports The PMC unanimously recommended classified as small entities. under the diversion program, their this action at an April 3, 2003, meeting. estimated burden would be 75.58 hours. This rule continues to suspend Summary of Rule Change Thus, there is a potential for reducing §§ 993.21d, 993.36(i), 993.54, 993.55, This rule continues to suspend for the estimated annual burden of 132.58 993.56, 993.57, 993.58, 993.59, 993.62, five years all provisions in the order and hours. The benefits of this rule apply to and 993.65 of the order, and §§ 993.156, administrative rules and regulations all prune handlers and producers, 993.157, 993.158, 993.159, 993.162, concerning the prune reserve and regardless of their size of operation.
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The forms applicable to these industry and all interested persons were NUCLEAR REGULATORY programs are as follows: (1) Form PMC invited to attend the meeting and COMMISSION 4.1, Reserve Prunes Held—Handler; (2) participate in the industry’s Form PMC 4.2, Prune Reserve Tonnage deliberations. Like all PMC meetings, 10 CFR Part 72 Sales Agreement; (3) Form PMC 4.5, this meeting was a public meeting and RIN 3150–AH27 Certificate of Insurance Coverage; (4) all entities, both large and small, were Form PMC 5.1, Notice of Proposed able to express their views on these List of Approved Spent Fuel Storage Intent to Store Reserve Prunes; (5) Form issues. Casks: Standardized NUHOMS –24P, PMC 8.44, Request for Replacement of An interim final rule concerning this –52B, –61BT, –32PT, and –24PHB Draft; (6) Form PMC 8.443, Claim for Revision Reserve Pool Proceeds; (7) Form PMC action was published in the Federal 9.1, Notification of Desire for Deferment Register on July 9, 2003. The PMC’s AGENCY: Nuclear Regulatory of Reserve Withholding; (8) Form PMC staff mailed copies of the rule to all Commission. 10.1, Application for Prune Plum PMC members, alternates, and prune ACTION: Direct final rule. Diversion; (9) No form number, Proof of handlers. In addition, the rule was made Diversion; and (10) No form number, available through the Internet by the SUMMARY: The Nuclear Regulatory Notification of Report of Diversion. Office of the Federal Register and Commission (NRC) is amending its It should be noted that if the PMC USDA. That rule provided for a 60-day regulations revising the Transnuclear, determines this action is having an comment period which ended on Inc., Standardized NUHOMS’’ unfavorable impact on the industry, it September 8, 2003. No comments were Horizontal Modular Storage System could meet and recommend rescinding received. (Standardized NUHOMS’’ System) the suspension. Also, as previously listing within the ‘‘List of approved mentioned, the provisions automatically A small business guide on complying spent fuel storage casks’’ to include come back into effect at the end of the with fruit, vegetable, and specialty crop Amendment No. 6 in Certificate of suspension period. marketing agreements and orders may Compliance (CoC) Number 1004. be viewed at: http://www.ams.usda.gov/ Alternatives Considered Amendment No. 6 will add the fv/moab.html. Any questions about the NUHOMS’–24PHB cask design to the The PMC and industry members compliance guide should be sent to Jay Standardized NUHOMS’’ System. The discussed different alternatives to this Guerber at the previously mentioned NUHOMS’–24PHB cask will permit a action at the PMC’s April 3, 2003, address in the FOR FURTHER INFORMATION part 72 licensee to store high burnup meeting. The PMC discussed the CONTACT section. Babcock & Wilcox 15x15 spent fuel possibility of amending the marketing After consideration of all relevant assemblies with an average burnup of order provisions relating to reserve and up to 55,000 megawatt-days/metric ton producer diversion programs but material presented, including the PMC’s recommendation, and other of uranium, enrichment equal to 4.5 decided to eliminate the prune reserve weight percent uranium-235, a and producer diversion provisions from information, it is found that finalizing the interim final rule, without change, maximum decay heat load of 1.3 the order and administrative rules and kilowatt (kW) per assembly, and a regulations in a more timely fashion. as published in the Federal Register (68 FR 40754, July 9, 2003) will tend to maximum heat load of 24 kW per cask, During the suspension, the industry will under a general license. have the opportunity to consider effectuate the declared policy of the Act. DATES: The final rule is effective possible order amendments to the List of Subjects in 7 CFR Part 993 volume control provisions. Another December 22, 2003, unless significant adverse comments are received by alternative was to terminate the Marketing agreements, Plums, Prunes, marketing order. Many on the PMC and November 6, 2003. A significant adverse Reporting and recordkeeping comment is one which explains why the in the industry deemed termination too requirements. drastic an action and preferred to rule would be inappropriate, including challenges to the rule’s underlying preserve the marketing order and make PART 993—DRIED PRUNES premise or approach, or would be necessary changes to it to meet current PRODUCED IN CALIFORNIA industry needs and to reflect current ineffective or unacceptable without a change. If the rule is withdrawn, timely industry marketing practices. ■ Accordingly, the interim final rule In accordance with the Paperwork notice will be published in the Federal amending 7 CFR part 993 which was Register. Reduction Act of 1995 (44 U.S.C. published at 68 FR 40754 on July 9, 2003, Chapter 35), the applicable forms being ADDRESSES: You may submit comments is adopted as a final rule without change. suspended by this rule were approved by any one of the following methods. previously by the Office of Management Dated: October 1, 2003. Please include the following number and Budget and assigned OMB No. A.J. Yates, (RIN 3150–AH27) in the subject line of 0581–0178. As with all Federal Administrator, Agricultural Marketing your comments. Comments on marketing order programs, reports and Service. rulemakings submitted in writing or in forms are periodically reviewed to [FR Doc. 03–25312 Filed 10–6–03; 8:45 am] electronic form will be made available reduce information requirements and to the public in their entirety on the BILLING CODE 3410–02–P duplication by industry and public NRC rulemaking Web site. Personal sector agencies. information will not be removed from In addition, USDA has not identified your comments. any relevant Federal rules that Mail comments to: Secretary, U.S. duplicate, overlap or conflict with this Nuclear Regulatory Commission, rule. Washington, DC 20555–0001, ATTN: The PMC’s April 3, 2003, meeting Rulemakings and Adjudications Staff. where this issue was deliberated was E-mail comments to: [email protected]. If widely publicized throughout the prune you do not receive a reply e-mail
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confirming that we have received your Safeguards, U.S. Nuclear Regulatory metric ton of uranium (MTU); comments, contact us directly at (301) Commission, Washington, DC 20555– enrichment equal to 4.5 weight percent 415–1966. You may also submit 0001. U–235; maximum decay heat load of 1.3 comments via the NRC’s rulemaking SUPPLEMENTARY INFORMATION: kilowatt (kW) per assembly; and Web site at http://ruleforum.llnl.gov. maximum heat load of 24 kW per cask, Address questions about our rulemaking Background under a general license. No other Web site to Carol Gallagher (301) 415– Section 218(a) of the Nuclear Waste changes to the Standardized NUHOMS 5905; e-mail [email protected]. Policy Act of 1982, as amended System were requested in this Hand deliver comments to: 11555 (NWPA), requires that ‘‘[t]he Secretary application. The NRC staff performed a Rockville Pike, Rockville, Maryland [of the Department of Energy (DOE)] detailed safety evaluation of the 20852, between 7:30 am and 4:15 pm shall establish a demonstration program, proposed CoC amendment request and Federal workdays [telephone (301) 415– in cooperation with the private sector, found that an acceptable safety margin 1966]. for the dry storage of spent nuclear fuel is maintained. In addition, the NRC staff Fax comments to: Secretary, U.S. at civilian nuclear power reactor sites, has determined that there is still Nuclear Regulatory Commission at (301) with the objective of establishing one or reasonable assurance that public health 415–1101. more technologies that the [Nuclear and safety and the environment will be Publicly available documents related Regulatory] Commission may, by rule, adequately protected. to this rulemaking may be viewed This direct final rule revises the approve for use at the sites of civilian electronically on public computers nuclear power reactors without, to the Standardized NUHOMS System listing located at the NRC’s Public Document maximum extent practicable, the need in Section 72.214 by adding Room (PDR), Public File Area O–1F21, for additional site-specific approvals by Amendment 6 to CoC No. 1004. The One White Flint North, 11555 Rockville the Commission.’’ Section 133 of the amended technical specifications (TS) Pike, Rockville, Maryland. The PDR NWPA states, in part, that ‘‘[t]he are identified in the NRC staff’s SER for reproduction contractor will copy Commission shall, by rule, establish Amendment 6. documents for a fee. Selected The amended Standardized procedures for the licensing of any documents, including comments, can be technology approved by the NUHOMS System, when used in viewed and downloaded electronically Commission under section 218(a) for accordance with the conditions via the NRC rulemaking Web site at use at the site of any civilian nuclear specified in the CoC, the TS, and NRC http://ruleforum.llnl.gov. power reactor.’’ regulations, will meet the requirements Publicly available documents created To implement this mandate, the NRC of part 72; thus, adequate protection of or received at the NRC after November approved dry storage of spent nuclear public health and safety will continue to 1, 1999, are available electronically at fuel in NRC-approved casks under a be ensured. the NRC’s Electronic Reading Room at general license by publishing a final Discussion of Amendments by Section http://www.nrc.gov/NRC/ADAMS/ rule in 10 CFR part 72 entitled, ‘‘General index.html. From this site, the public License for Storage of Spent Fuel at Section 72.214 List of Approved Spent can gain entry into the NRC’s Power Reactor Sites’’ (55 FR 29181; July Fuel Storage Casks Agencywide Document Access and 18, 1990). This rule also established a Certificate No. 1004 is revised by Management System (ADAMS), which new subpart L within 10 CFR part 72, adding the effective date of Amendment provides text and image files of NRC’s entitled ‘‘Approval of Spent Fuel Number 6 and adding Model Number public documents. If you do not have Storage Casks’’ containing procedures NUHOMS–24PHB. access to ADAMS or if there are and criteria for obtaining NRC approval Procedural Background problems in accessing the documents of spent fuel storage cask designs. The located in ADAMS, contact the NRC NRC subsequently issued a final rule on This rule is limited to the changes PDR Reference staff at 1–800–397–4209, December 22, 1994 (59 FR 65920), that contained in Amendment 6 to CoC No. 301–415–4737, or by e-mail to approved the Standardized NUHOMS 1004 and does not include other aspects [email protected]. An electronic copy of the System (NUHOMS–24P and –52B) of the Standardized NUHOMS System. proposed CoC and preliminary Safety cask designs and added them to the list The NRC is using the ‘‘direct final rule Evaluation Report (SER) can be found of NRC-approved cask designs in procedure’’ to issue this amendment under ADAMS Accession Nos. § 72.214 as CoC No. 1004. Amendments because it represents a limited and ML031980369 and ML031980374. 3 and 5, respectively, added the –61BT routine change to an existing CoC that CoC No. 1004, the revised Technical and –32PT designs to the Standardized is expected to be noncontroversial. Specifications (TS), the underlying SER NUHOMS System. Adequate protection of public health for Amendment No. 6, and the and safety continues to be ensured. The Environmental Assessment (EA) may be Discussion amendment to the rule will become viewed electronically on public On August 31, 2001, and as effective on December 22, 2003. computers located at the NRC Public supplemented June 13, 2002, November However, if the NRC receives significant Document Room, 11555 Rockville Pike, 18, 2002, and March 7, 2003, the adverse comments by November 6, Rockville, MD. Single copies of these certificate holder (Transnuclear, Inc.) 2003, then the NRC will publish a documents may be obtained from submitted an application to the NRC to document that withdraws this action Margaret Stambaugh, Office of Nuclear amend CoC No. 1004 to add the and will address the comments received Material Safety and Safeguards, U.S. NUHOMS–24PHB cask design to the in response to the proposed Nuclear Regulatory Commission, Standardized NUHOMS System. The amendments published elsewhere in Washington, DC 20555–0001, telephone amendment will permit a part 72 this issue of the Federal Register. A (301) 415–5449, e-mail [email protected]. licensee to use the NUHOMS–24PHB significant adverse comment is a FOR FURTHER INFORMATION CONTACT: cask design to store high burnup comment which explains why the rule Margaret Stambaugh, telephone (301) Babcock & Wilcox (B&W) 15x15 spent would be inappropriate, including 415–5449, e-mail [email protected], of the fuel assemblies with an average burnup challenges to the rule’s underlying Office of Nuclear Material Safety and of up to 55,000 megawatt-days (MWd)/ premise or approach, or would be
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ineffective or unacceptable without a 1954, as amended (AEA), or the collection requirement subject to the change. A comment is adverse and provisions of Title 10 of the Code of Paperwork Reduction Act of 1995 (44 significant if: Federal Regulations. Although an U.S.C. 3501 et seq.). Existing (1) The comment opposes the rule and Agreement State may not adopt program requirements were approved by the provides a reason sufficient to require a elements reserved to NRC, it may wish Office of Management and Budget, substantive response in a notice-and- to inform its licensees of certain Approval Number 3150–0132. comment process. For example, in a requirements via a mechanism that is substantive response: consistent with the particular State’s Public Protection Notification (a) The comment causes the NRC staff administrative procedure laws, but does The NRC may not conduct or sponsor, to reevaluate (or reconsider) its position not confer regulatory authority on the and a person is not required to respond or conduct additional analysis; State. to, a request for information or an (b) The comment raises an issue Plain Language information collection requirement serious enough to warrant a substantive unless the requesting document response to clarify or complete the The Presidential Memorandum dated displays a currently valid OMB control record; or June 1, 1998, entitled ‘‘Plain Language number. (c) The comment raises a relevant in Government Writing,’’ directed that issue that was not previously addressed the Government’s writing be in plain Regulatory Analysis or considered by the NRC staff. language. The NRC requests comments On July 18, 1990 (55 FR 29181), the (2) The comment proposes a change on this direct final rule specifically with NRC issued an amendment to 10 CFR or an addition to the rule, and it is respect to the clarity and effectiveness part 72 to provide for the storage of apparent that the rule would be of the language used. Comments should spent nuclear fuel under a general be sent to the address listed under the ineffective or unacceptable without license in cask designs approved by the heading ADDRESSES above. incorporation of the change or addition. NRC. Any nuclear power reactor (3) The comment causes the NRC staff Finding of No Significant licensee can use NRC-approved cask to make a change (other than editorial) Environmental Impact: Availability designs to store spent nuclear fuel if it to the CoC or TS. notifies the NRC in advance, spent fuel These comments will be addressed in Under the National Environmental is stored under the conditions specified a subsequent final rule. The NRC will Policy Act of 1969, as amended, and the in the cask’s CoC, and the conditions of not initiate a second comment period on NRC regulations in subpart A of 10 CFR the general license are met. A list of this action. However, if the NRC part 51, the NRC has determined that NRC-approved cask designs is contained receives significant adverse comments this rule, if adopted, would not be a in § 72.214. On December 22, 1994 (59 by November 6, 2003, then the NRC will major Federal action significantly FR 65920), the NRC issued an publish a document that withdraws this affecting the quality of the human amendment to part 72 that approved the action and will address the comments environment and, therefore, an Standardized NUHOMS System received in response to the proposed environmental impact statement is not (NUHOMS–24P and –52B) by adding amendments published elsewhere in required. The rule would amend the it to the list of NRC-approved cask this issue of the Federal Register. CoC for the Standardized NUHOMS System within the list of approved spent designs in § 72.214. Amendments 3 and Voluntary Consensus Standards fuel storage casks that power reactor 5, respectively, added the –61BT and The National Technology Transfer Act –32PT cask designs to the Standardized licensees can use to store spent fuel at of 1995 (Pub. L. 104–113) requires that reactor sites under a general license by NUHOMS System. On August 31, Federal agencies use technical standards adding the NUHOMS–24PHB cask 2001, and as supplemented June 13, that are developed or adopted by design to the current cask system. The 2002, November 18, 2002, and March 7, voluntary consensus standards bodies NUHOMS–24PHB cask design will 2003, the certificate holder unless the use of such a standard is store high burnup B&W 15x15 spent (Transnuclear, Inc.), submitted an inconsistent with applicable law or application to the NRC to amend CoC fuel assemblies with an average burnup otherwise impractical. In this direct of up to 55,000 megawatt-days/metric No. 1004 to add the NUHOMS –24PHB final rule, the NRC would revise the cask design to the Standardized ton of uranium, enrichment equal to 4.5 Standardized NUHOMS System listed weight percent uranium-235, a NUHOMS System. The proposed in § 72.214 (List of NRC-approved spent amendment permits a part 72 licensee to maximum decay heat load of 1.3 fuel storage cask designs). This action kilowatt (kW) per assembly, and a use the NUHOMS –24PHB cask design does not constitute the establishment of maximum heat load of 24 kW per cask. to store high burnup B&W 15x15 spent a standard that establishes generally The environmental assessment (EA) and fuel assemblies with an average burnup applicable requirements. finding of no significant impact on of up to 55,000 megawatt-days/metric which this determination is based are ton of uranium, enrichment equal to 4.5 Agreement State Compatibility available for inspection at the NRC weight percent uranium-235, a Under the ‘‘Policy Statement on Public Document Room, 11555 maximum decay heat load of 1.3 Adequacy and Compatibility of Rockville Pike, Rockville, MD. Single kilowatt (kW) per assembly, and a Agreement State Programs’’ approved by copies of the EA and finding of no maximum heat load of 24 kW per cask, the Commission on June 30, 1997, and significant impact are available from under a general license. published in the Federal Register on Margaret Stambaugh, Office of Nuclear The alternative to this action is to September 3, 1997 (62 FR 46517), this Material Safety and Safeguards, U.S. withhold approval of this amended cask rule is classified as Compatibility Nuclear Regulatory Commission, system design and issue an exemption Category ‘‘NRC.’’ Compatibility is not Washington, DC 20555–0001, telephone to the general license for each utility required for Category ‘‘NRC’’ (301) 415–5449, e-mail [email protected]. that decides to use the amended cask regulations. The NRC program elements system design. This alternative would in this category are those that relate Paperwork Reduction Act Statement cost both the NRC and the utilities more directly to areas of regulation reserved This direct final rule does not contain time and money because each utility to the NRC by the Atomic Energy Act of a new or amended information would have to pursue an exemption.
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Approval of the direct final rule will Energy Reorganization Act of 1974, as SAR Submitted by: Transnuclear, Inc. eliminate this problem and is consistent amended; and 5 U.S.C. 552 and 553; the SAR Title: Final Safety Analysis with previous NRC actions. Further, the NRC is adopting the following Report for the Standardized NUHOMS direct final rule will have no adverse amendments to 10 CFR part 72. Horizontal Modular. effect on public health and safety. This Storage System for Irradiated Nuclear direct final rule has no significant PART 72—LICENSING Fuel. identifiable impact or benefit on other REQUIREMENTS FOR THE Docket Number: 72–1004. Government agencies. Based on this INDEPENDENT STORAGE OF SPENT Certificate Expiration Date: January discussion of the benefits and impacts NUCLEAR FUEL, HIGH-LEVEL 23, 2015. of the alternatives, the NRC concludes RADIOACTIVE WASTE, AND Model Number: Standardized that the requirements of the direct final REACTOR-RELATED WASTE NUHOMS–24P, NUHOMS–52B, rule are commensurate with the NRC’s GREATER THAN CLASS C WASTE NUHOMS–61BT, NUHOMS–32PT, responsibilities for public health and and NUHOMS–24PHB. ■ safety and the common defense and 1. The authority citation for part 72 * * * * * continues to read as follows: security. No other available alternative Dated at Rockville, Maryland, this 11th day is believed to be as satisfactory, and Authority: Secs. 51, 53, 57, 62, 63, 65, 69, of September, 2003. 81, 161, 182, 183, 184, 186, 187, 189, 68 Stat. thus, this action is recommended. For the Nuclear Regulatory Commission. 929, 930, 932, 933, 934, 935, 948, 953, 954, Regulatory Flexibility Certification 955, as amended, sec. 234, 83 Stat. 444, as William D. Travers, In accordance with the Regulatory amended (42 U.S.C. 2071, 2073, 2077, 2092, Executive Director for Operations. Flexibility Act of 1980 [5 U.S.C. 605(b)], 2093, 2095, 2099, 2111, 2201, 2232, 2233, [FR Doc. 03–25366 Filed 10–6–03; 8:45 am] 2234, 2236, 2237, 2238, 2282); sec. 274, Pub. the NRC certifies that this rule will not, BILLING CODE 7590–01–P if issued, have a significant economic L. 86–373, 73 Stat. 688, as amended (42 U.S.C. 2021); sec. 201, as amended, 202, 206, impact on a substantial number of small 88 Stat. 1242, as amended, 1244, 1246 (42 entities. This direct final rule affects U.S.C. 5841, 5842, 5846); Pub. L. 95–601, sec. FEDERAL RESERVE SYSTEM only the licensing and operation of 10, 92 Stat. 2951 as amended by Pub. L. 102– nuclear power plants, independent 486, sec. 7902, 106 Stat. 3123 (42 U.S.C. 12 CFR Part 204 spent fuel storage facilities, and 5851); sec. 102, Pub. L. 91–190, 83 Stat. 853 [Regulation D; Docket No. R–1163] Transnuclear, Inc. The companies that (42 U.S.C. 4332); secs. 131, 132, 133, 135, own these plants do not fall within the 137, 141, Pub. L. 97–425, 96 Stat. 2229, 2230, Reserve Requirements of Depository scope of the definition of ‘‘small 2232, 2241, sec. 148, Pub. L. 100–203, 101 Institutions entities’’ set forth in the Regulatory Stat. 1330–235 (42 U.S.C. 10151, 10152, Flexibility Act or the Small Business 10153, 10155, 10157, 10161, 10168). AGENCY: Board of Governors of the Section 72.44(g) also issued under secs. Federal Reserve System. Size Standards set out in regulations 142(b) and 148(c), (d), Pub. L. 100–203, 101 issued by the Small Business Stat. 1330–232, 1330–236 (42 U.S.C. ACTION: Final rule. Administration at 13 CFR part 121. 10162(b), 10168(c),(d)). Section 72.46 also SUMMARY: The Board is amending Backfit Analysis issued under sec. 189, 68 Stat. 955 (42 U.S.C. 2239); sec. 134, Pub. L. 97–425, 96 Stat. 2230 Regulation D, Reserve Requirements of The NRC has determined that the (42 U.S.C. 10154). Section 72.96(d) also Depository Institutions to reflect the backfit rule (10 CFR 50.109 or 10 CFR issued under sec. 145(g), Pub. L. 100–203, annual indexing of the low reserve 72.62) does not apply to this direct final 101 Stat. 1330–235 (42 U.S.C. 10165(g)). tranche and of the reserve requirement rule because this amendment does not Subpart J also issued under secs. 2(2), 2(15), exemption amount for 2004. The Board involve any provisions that would 2(19), 117(a), 141(h), Pub. L. 97–425, 96 Stat. is also announcing the annual indexing impose backfits as defined. Therefore, a 2202, 2203, 2204, 2222, 2244 (42 U.S.C. of the deposit cutoff level and the 10101, 10137(a), 10161(h)). Subparts K and L reduced reporting limit that will be backfit analysis is not required. are also issued under sec. 133, 98 Stat. 2230 effective beginning in September 2004. Small Business Regulatory Enforcement (42 U.S.C. 10153) and sec. 218(a), 96 Stat. 2252 (42 U.S.C. 10198). The Regulation D amendments increase Fairness Act the amount of net transaction accounts ■ 2. In § 72.214, Certificate of In accordance with the Small at each depository institution that are Compliance 1004 is revised to read as Business Regulatory Enforcement subject to a three percent reserve follows: Fairness Act of 1996, the NRC has requirement in 2004 from $42.1 million determined that this action is not a § 72.214 List of approved spent fuel to $45.4 million. This amount is known major rule and has verified this storage casks. as the low reserve tranche. The determination with the Office of * * * * * Regulation D amendments also increase Information and Regulatory Affairs, Certificate Number: 1004. the amount of total reservable liabilities Office of Management and Budget. Initial Certificate Effective Date: of each depository institution that are List of Subjects in 10 CFR Part 72 January 23, 1995. subject to a zero percent reserve Amendment Number 1 Effective Date: requirement in 2004 from $6.0 million Administrative practice and April 27, 2000. to $6.6 million. This amount is known procedure, Criminal penalties, Amendment Number 2 Effective Date: as the reserve requirement exemption Manpower training programs, Nuclear September 5, 2000. amount. The adjustments to both of materials, Occupational safety and Amendment Number 3 Effective Date: these amounts are derived using health, Penalties, Radiation protection, September 12, 2001. statutory formulas specified in the Reporting and recordkeeping Amendment Number 4 Effective Date: Federal Reserve Act. The Board is also requirements, Security measures, Spent February 12, 2002. announcing increases in two other fuel, Whistleblowing. Amendment Number 5 Effective Date: amounts, the deposit cutoff level and ■ For the reasons set out in the preamble November 3, 2003. the reduced reporting limit, that are and under the authority of the Atomic Amendment Number 6 Effective Date: used to determine the frequency with Energy Act of 1954, as amended; the December 22, 2003. which depository institutions must
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submit deposit reports. The deposit Reserve System, 20th and C Streets, made to the reserve requirement cutoff level is being increased from NW., Washington, DC 20551. exemption amount if total reservable $150.0 million in 2003 to $161.2 million SUPPLEMENTARY INFORMATION: Section liabilities held at all depository in 2004, and the reduced reporting limit 19(b)(2) of the Federal Reserve Act (12 institutions should decrease during the is being increased from $1.0 billion in U.S.C. 461(b)(2)) requires each applicable time period. The percentage 2003 to $1.074 billion in 2004. These depository institution to maintain increase in the reserve requirement amounts are indexed annually in order reserves against its transaction accounts exemption amount is to be 80 percent of to reduce reporting burden for smaller and nonpersonal time deposits, as the increase in total reservable liabilities depository institutions. Thus, beginning prescribed by Board regulations, for the at all depository institutions over the in September 2004, depository purpose of implementing monetary one-year period that ends on the June 30 institutions will be required to file the policy. Section 11(a)(2) of the Federal prior to the adjustment. FR 2900 report each week under the Reserve Act (12 U.S.C. 248(a)(2)) Total reservable liabilities of all following conditions: if they have net authorizes the Board to require reports depository institutions increased by transaction accounts over $6.6 million of liabilities and assets from depository 12.9 percent (from $2,472.3 billion to and have total deposits of at least $161.2 institutions to enable the Board to $2,792.2 billion) between June 30, 2002, million; or if they have net transaction conduct monetary policy. The Board’s and June 30, 2003. Accordingly, the accounts of $6.6 million or less but have actions with respect to each of these Board is amending Regulation D to total deposits of at least $1.074 billion. provisions are discussed in turn below. increase the reserve requirement Depository institutions will be required 1. Reserve Requirements. Pursuant to exemption amount by $0.6 million, from to file the FR 2900 report each quarter section 19(b)(2) of the Federal Reserve $6.0 million in 2003 to $6.6 million in if they have net transaction accounts Act, transaction account balances 2004.1 over $6.6 million but have total deposits maintained at each depository For depository institutions that report of less than $161.2 million. Depository institution up to a certain amount, weekly, the adjusted low reserve institutions will be required to file the known as the low reserve tranche, are tranche and reserve requirement FR 2910a report annually if they have subject to a three percent reserve exemption amount will be effective for net transaction accounts of $6.6 million requirement. Net transaction account the fourteen-day reserve computation or less but have total deposits greater balances over the low reserve tranche period beginning Tuesday, November than $6.6 million but less than $1.074 are subject to a ten percent reserve 25, 2003, and for the corresponding billion. Depository institutions with requirement. Section 19(b)(2) also fourteen-day reserve maintenance $6.6 million or less in total deposits are provides that, before December 31 of period beginning Thursday, December not required to file a deposit report. each year, the Board shall issue a 25, 2003. For depository institutions DATES: Effective date: November 6, regulation adjusting the low reserve that report quarterly, the adjusted low 2003. tranche for the next calendar year. The reserve tranche and reserve requirement Compliance dates: For depository adjustment in the low reserve tranche is exemption amount will be effective for institutions that report weekly, the to be 80 percent of the percentage the seven-day computation period adjusted low reserve tranche and increase or decrease in net transaction beginning Tuesday, December 16, 2003, reserve requirement exemption amount accounts at all depository institutions and for the corresponding seven-day will apply to the fourteen-day reserve over the one-year period that ends on reserve maintenance period beginning computation period that begins the June 30 prior to the adjustment. Thursday, January 15, 2004. Tuesday, November 25, 2003, and the Currently, the low reserve tranche is 2. Deposit Reports. Section 11(b)(2) of corresponding fourteen-day reserve $42.1 million. Net transaction accounts the Federal Reserve Act authorizes the maintenance period that begins of all depository institutions rose 9.9 Board to require depository institutions Thursday, December 25, 2003. For percent (from $611.5 billion to $671.9 to file reports of their liabilities and depository institutions that report billion) between June 30, 2002 and June assets as the Board may determine to be quarterly, the adjusted low reserve 30, 2003. Accordingly, the Board is necessary or desirable to enable it to tranche and reserve requirement amending Regulation D (12 CFR part discharge its responsibility to monitor exemption amount will apply to the 204) to increase the low reserve tranche and control monetary and credit seven-day reserve computation period for net transaction accounts by $3.3 aggregates. The Board screens that begins Tuesday, December 16, million, from $42.1 million in 2003 to depository institutions each year to 2003, and the corresponding seven-day $45.4 million in 2004. determine whether they must file reserve maintenance period that begins Section 19(b)(11)(A) of the Federal deposit reports and, if so, how Thursday, January 15, 2004. For all Reserve Act (12 U.S.C. 461(b)(11)(A)) frequently they must file them (weekly, depository institutions, the deposit provides that a zero percent reserve quarterly, or annually). These deposit cutoff level, the reserve requirement requirement shall apply to total reporting assignments become effective exemption amount, and the reduced reservable liabilities at each depository each September. reporting limit will be used to screen institution that do not exceed a certain The screening of depository depository institutions in July of 2004 to amount, known as the reserve institutions for assignment to one of the determine reporting frequency for the requirement exemption amount. Section four deposit reporting categories is twelve month period that begins in 19(b)(11)(B) provides that, before based on three amounts: The reserve September 2004. December 31 of each year, the Board requirement exemption amount, the FOR FURTHER INFORMATION CONTACT: shall issue a regulation adjusting the deposit cutoff level, and the reduced Heatherun Allison, Counsel (202/452– reserve requirement exemption amount reporting limit. The annual adjustment 3565), Legal Division, or Gretchen for the next calendar year if total to the first amount, the reserve Weinbach, Senior Economist (202/452– reservable liabilities held at all requirement exemption amount, is 2841), Division of Monetary Affairs; for depository institutions increase from 1 Consistent with Board practice, the low reserve user of Telecommunications Device for one year to the next. Unlike the low tranche and reserve requirement exemption the Deaf (TDD) only, contact (202/872– reserve tranche, which can be adjusted amounts have been rounded to the nearest $0.1 4984); Board of Governors of the Federal upward or downward, no adjustment is million.
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described in Section 1 above. The other Notice and Regulatory Flexibility Act. DEPARTMENT OF THE TREASURY two amounts, the deposit cutoff level The provisions of 5 U.S.C. 553(b) and the reduced reporting limit, are also relating to notice of proposed Office of Thrift Supervision adjusted annually, by an amount equal rulemaking have not been followed in to 80 percent of the increase, if any, in connection with the adoption of these 12 CFR Parts 559, 562, and 563 total deposits at all depository amendments. The amendments involve [No. 2003–50] institutions over the one-year period expected, ministerial adjustments that ends on the June 30 prior to the prescribed by statute and by the Board’s RIN 1550–AB55 adjustment. policy concerning reporting practices. Savings Associations—Transactions The increases in the reserve requirement Total deposits at all depository With Affiliates institutions increased by 9.3 percent exemption amount, the low reserve (from $5,959.5 billion to $6,513.9 tranche, the deposit cutoff level, and the AGENCY: Office of Thrift Supervision, billion) between June 30, 2002 and June reduced reporting limit serve to reduce Treasury. 30, 2003. Accordingly, the Board is regulatory burdens on depository ACTION: Final rule. adjusting the deposit cutoff level institutions. Accordingly, the Board SUMMARY: upward by $11.2 million, from its finds good cause for determining, and so In December 2002, the Board current level of $150.0 million in 2003 determines, that notice in accordance of Governors of the Federal Reserve to $161.2 million in 2004. The Board is with 5 U.S.C. 553(b) is unnecessary. System (FRB) issued a final rule also adjusting the reduced reporting Consequently, the provisions of the implementing sections 23A and 23B of limit upward by $74 million, from its Regulatory Flexibility Act, 5 U.S.C. 601, the Federal Reserve Act (FRA). FRB’s current level of $1.0 billion in 2003 to do not apply to these amendments. rule (Regulation W) combines statutory restrictions on transactions with $1.074 billion in 2004.2 List of Subjects in 12 CFR Part 204 affiliates with new and existing Beginning in September 2004, the Banks, banking, Reporting and interpretations and exemptions. In boundaries of the four deposit reporting recordkeeping requirements. today’s final rule, the Office of Thrift categories will be defined as follows. ■ For the reasons set forth in the Supervision (OTS) conforms its Those depository institutions with net preamble, the Board is amending 12 CFR regulations on transactions with transaction accounts over $6.6 million part 204 as follows: affiliates to Regulation W and (the reserve requirement exemption implements additional restrictions amount) or total deposits greater than or PART 204—RESERVE imposed on savings associations under equal to $1.074 billion (the reduced REQUIREMENTS OF DEPOSITORY section 11(a) of the Home Owners’ Loan reporting limit) are subject to detailed INSTITUTIONS (REGULATION D) Act (HOLA). reporting, and must file an FR 2900 ■ 1. The authority citation for part 204 DATES: This final rule is effective report either weekly or quarterly. Of this continues to read as follows: November 6, 2003. group, those with total deposits greater FOR FURTHER INFORMATION CONTACT: than or equal to $161.2 million (the Authority: 12 U.S.C. 248(a), 248(c), 371a, deposit cutoff level) are required to file 461, 601, 611, and 3105. Karen A. Osterloh, Special Counsel, (202) 906–6639, Regulations and the FR 2900 report each week, while ■ 2. Section 204.9 is revised to read as Legislation Division, Chief Counsel’s those with total deposits less than follows: $161.2 million are required to file the Office, or Donna Deale, Manager, (202) FR 2900 report each quarter. Those § 204.9 Reserve requirement ratios. 906–7488, Supervision Policy, Office of depository institutions with net The following reserve requirement Thrift Supervision, 1700 G Street, NW., transaction accounts less than or equal ratios are prescribed for all depository Washington, DC 20552. to $6.6 million (the reserve requirement institutions, banking Edge and SUPPLEMENTARY INFORMATION: agreement corporations, and United exemption amount) and with total I. Background deposits less than $1.074 billion (the States branches and agencies of foreign reduced reporting limit) are eligible for banks: Section 11(a)(1) of the HOLA (12 reduced reporting, and must either file U.S.C. 1468(a)(1)) applies sections 23A Category Reserve requirement a deposit report annually or not at all. and 23B of the FRA (12 U.S.C. 371c and 371c–1) to every savings association ‘‘in Of this group, those with total deposits Net transaction ac- greater than $6.6 million (but less than the same manner and to the same counts: extent’’ as if the savings association $1.074 billion) are required to file the $0 to $6.6 million ... 0 percent of amount. FR 2910a report annually, while those Over $6.6 million 3 percent of amount. were a member bank of the Federal with total deposits less than or equal to and up to $45.4 Reserve System. Section 23A of the FRA imposes three $6.6 million are not required to file a million. major limitations on a member bank’s deposit report. A depository institution Over $45.4 million $1,164,000 plus 10 percent of amount (and its subsidiaries’) transactions with that manipulates its reporting, however, over $45.4 million. affiliates. First, section 23A limits the in an attempt to qualify for less frequent Nonpersonal time de- 0 percent. amount of ‘‘covered transactions’’ with reporting or to reduce its reserve posits. any single affiliate to no more than 10 requirement may be required to report Eurocurrency liabil- 0 percent. percent of the member bank’s capital the FR 2900 on a weekly basis and ities. stock and surplus. Covered transactions maintain appropriate reserve balances with all affiliates are limited to no more with its Reserve Bank, regardless of its By order of the Board of Governors of the than 20 percent of the member bank’s most recent panel assignment. Federal Reserve System, October 1, 2003. capital stock and surplus. A covered Jennifer J. Johnson, transaction includes a loan or extension 2Consistent with Board practice, the deposit Secretary of the Board. cutoff level has been rounded to the nearest $0.1 of credit to an affiliate, a purchase of or million, while the reduced reporting limit has been [FR Doc. 03–25318 Filed 10–6–03; 8:45 am] investment in securities issued by an rounded to the nearest $1 million. BILLING CODE 6210–01–P affiliate, a purchase of assets from an
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affiliate, the acceptance of securities (2002), defined and clarified the The comment period on the interim issued by an affiliate as collateral application of sections 23A and 23B to rule closed on February 18, 2003. OTS security for a loan or extension of credit savings associations and their received comments from a savings to any person or company, and the subsidiaries, implemented the two association and from a representative of issuance of a guarantee, acceptance, or prohibitions imposed under section a savings association. Both commenters letter of credit on behalf of an affiliate. 11(a) of the HOLA, and imposed generally supported the interim rule. Second, section 23A requires that all additional restrictions and safeguards, II. Discussion of Comments covered transactions between a member as authorized by section 11(a)(4) of the bank and its affiliates be on terms and HOLA. A. Affiliates conditions that are consistent with safe FRB has statutory authority to issue Regulation W defines the term and sound banking practices and regulations to administer and carry out ‘‘affiliate’’ to include parent companies prohibits a member bank from the purposes of sections 23A and 23B of (any company that controls the member purchasing low-quality assets from an 2 the FRA. Until recently, FRB had not bank); companies under common affiliate. Finally, section 23A requires promulgated comprehensive regulations control with the member bank; that a member bank’s extensions of on this subject. Instead, FRB relied on credit to affiliates and guarantees on companies under other types of a series of regulatory interpretations and common control; companies with behalf of affiliates be appropriately 3 informal staff guidance. On December interlocking directors, trustees or secured by a statutorily defined amount 12, 2002, FRB issued Regulation W, a of collateral. general partners; companies that are comprehensive final rule implementing sponsored and advised on a contractual Section 23B of the FRA protects 4 sections 23A and 23B of the FRA. basis by the member bank or an affiliate; member banks by requiring that Regulation W incorporated many transactions between the bank (and its investment companies for which a existing FRB interpretations, superseded member bank or any affiliate is an subsidiaries) and its affiliates occur on certain outdated interpretations, market terms—on terms and under investment advisor; depository exempted specific types of transactions, institution subsidiaries of a member circumstances that are substantially the and implemented revisions to sections same, or at least as favorable to the bank; financial subsidiaries; companies 23A and 23B contained in the Gramm- held under merchant banking or bank, as those prevailing at the time for Leach-Bliley Act (GLBA).5 comparable transactions with insurance company investment Regulation W does not, by its terms, authority; partnerships for which the unaffiliated companies. Section 23B apply to savings associations. However, applies to covered transactions under member bank or an affiliate serves as because sections 23A and 23B apply to general partner; subsidiaries of affiliates, section 23A, as well as other every savings association in the same transactions, such as the sale of and other companies that FRB deems to manner and to the same extent as if the be an affiliate of the member bank. 12 securities or other assets to an affiliate savings association were a member and the payment of money or the CFR 223.2(a). This definition bank, OTS issued an interim final rule specifically excludes certain companies, furnishing of services to an affiliate. revising its regulations on transactions Section 23B also prohibits certain including most subsidiaries of member with affiliates to reflect Regulation W. banks. 12 CFR 223.2(b). purchases and acquisitions of securities 67 FR 77909 (Dec. 20, 2002). The OTS by a member bank or its subsidiary Commenters raised various issues interim final rule had three goals: regarding the scope of the definition of subject to certain conditions, and • To incorporate all applicable affiliate. These matters are discussed prohibits certain advertisements or provisions and exceptions prescribed by below. agreements that state or suggest that the FRB in Regulation W; member bank is responsible for the • To provide guidance concerning the 1. Control obligations of its affiliates. relationship between the additional One of the fundamental concepts In addition to the section 23A and prohibitions under section 11(a)(1) of 23B restrictions, section 11(a)(1) of the underlying the definition of affiliate is the HOLA and Regulation W; and the concept of control. Regulation W HOLA imposes two prohibitions on • To set out the additional savings associations. First, a savings states that control by a company or restrictions OTS imposes under section shareholder over another company association may not make a loan or 11(a)(4) of the HOLA. other extension of credit to any affiliate means that: The interim rule cross referenced the • The company or shareholder, unless that affiliate is engaged only in substantive provisions contained in activities that a bank holding company directly or indirectly, or acting through Regulation W; interpreted Regulation W one or more other persons, owns, may conduct. In addition, no savings to the extent necessary to apply these association may purchase or invest in controls, or has the power to vote 25 restrictions to savings associations; percent or more of any class of voting securities issued by an affiliate, other incorporated the prohibitions in section than with respect to shares of a securities of the other company. 11(a)(1) of the HOLA; and imposed • The company or shareholder subsidiary. Section 11(a)(4) of the HOLA various additional restrictions on authorizes OTS to impose such controls in any manner the election of savings associations under section a majority of the directors, trustees, or additional restrictions on any 6 11(a)(4) of the HOLA. The interim rule general partners (or individuals transaction between a savings became effective April 1, 2003. association and any affiliate as it exercising similar functions) of the other
determines to be necessary to protect 2 company. 12 U.S.C. 371c(f), 371c-1(e). • The Board determines, after notice the safety and soundness of the 3 FRB codified some of these interpretations at 12 association. CFR 250.240 through 250.250 (2002). and opportunity for hearing, that the OTS issued comprehensive rules 4 67 FR 76560 (Dec. 12, 2002), codified at 12 CFR company or shareholder, directly or implementing section 11(a) of the HOLA part 223 (2003). in 1991.1 These rules, which were 5 Pub. L. No. 106–102, 113 Stat. 1338 (1999). For example, the rule did not address additional 6 The interim final rule implemented only section restrictions on transactions with affiliates that OTS codified at 12 CFR 563.41 and 563.42 11(a) of the HOLA. It did not contain every may require as prompt corrective action under statutory or regulatory restriction on transactions section 38(f)(2)(B) of the Federal Deposit Insurance 1 56 FR 34005 (July 25, 1991). between savings associations and their affiliates. Act (FDIA). 12 U.S.C. 1831o(f)(2)(B).
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indirectly, exercises a controlling When OTS originally promulgated its promote consistency and equal influence over the management or transactions with affiliates rule in 1991, treatment of insured depository policies of the other company. 12 CFR FRB had promulgated no rules institutions to the maximum extent 223.3(g)(1). interpreting the meaning of control possible, OTS has revised the final rule Regulation W also includes specific under sections 23A and 23B. In the to use Regulation W control concepts. provisions addressing ownership or absence of such guidance, OTS defined Certain companies will no longer be control of shares as a fiduciary, control for transactions with affiliates considered to be savings association securities by a subsidiary, convertible consistently with other OTS rules affiliates under the revised definitions instruments, and nonvoting equity addressing similar concepts. At the in the final rule. OTS may, nonetheless, securities. See 12 CFR 223.3(g)(2)–(5). time, part 574 represented OTS’s most continue to treat such a company as an Until today, OTS’s transactions with current and comprehensive analysis of affiliate if it has a relationship with a affiliates regulation included a more control issues. Most savings associations savings association or any affiliate of the expansive concept of control than had some familiarity with the control savings association such that covered prescribed by the FRB in final concepts in part 574. transactions by the savings association Regulation W. Specifically, OTS’s prior Now that FRB has issued final rules with the company may be affected by rule stated that a company or interpreting the definition of control for the relationship to the detriment of the shareholder has control over another sections 23A and 23B it is difficult to savings association, or where the company if the company or shareholder, articulate any regulatory purpose that company presents a risk to the safety directly or indirectly, or acting through would be furthered by continuing to and soundness of the savings one or more other persons owns, prescribe a different definition. association.11 controls, or has the power to vote 25 Applying part 574 control concepts to While certain companies will no percent or more of any class of voting transactions with affiliates restricts longer be subject to the full range of securities of the other company or if the savings associations in two ways. First, restrictions and prohibitions under company or shareholder would be it broadens the application of the section 11 of the HOLA, some deemed to control another company section 23A and 23B restrictions for restrictions will continue to apply. For under § 574.4(a) or presumed to control thrifts in comparison to similarly example, transactions between a savings the company under § 574.4(b). See 12 situated member banks. OTS does not association and a non-affiliate are CFR 563.41(b)(3) (2002). OTS also believe that savings association subject to the ‘‘market terms’’ standards applied its own concepts of control to transactions with the additional under section 23B, if an affiliate of the define a subsidiary of a savings ‘‘affiliates’’ reached by the OTS control savings association has a financial association. 12 CFR 563.41(b)(4)(2002). definitions raise safety and soundness interest in the non-affiliate. Thus, the This definition stated that a subsidiary concerns that necessitate treating them market terms requirements will of a savings association is a company continue to apply to these entities. differently from similarly situated that is controlled by a savings As a related matter, OTS has member banks. Indeed, the application association within the meaning of part identified an area where the OTS of the OTS definition of control leads to 574. control rules may not have been as The major substantive difference anomalous results because a company rigorous as final Regulation W. The between the control definitions in the with identical relationships to a bank definition of control in final Regulation prior OTS rule and final Regulation W and a savings association in the same W includes two provisions, not involved the application of certain OTS bank holding company structure could specifically addressed in section 23A, rebuttable presumptions of control from have been an affiliate of the savings which discuss the treatment of part 574. For example under these association under the OTS interim rule, convertible securities and nonvoting control presumptions, a company will but not an affiliate of the member bank equity securities.12 While the OTS control another if it owns between 10 under Regulation W. control rules address similar concepts, percent and 25 percent of any class of Second, the application of the part the two rules are not identical.13 As a a company’s voting stock and one or 574 control concepts also expands the more control factors is present.7 scope of the additional prohibitions savings association were a member bank (as such Regulation W does not have similar imposed under section 11 of the HOLA. term is defined in such Act) shall be deemed to be provisions.8 These prohibitions apply only to an affiliate of such savings association for purposes savings associations and were imposed of [section 11(a)(1) of the HOLA]. The interim final rule continued to 11 Final rule at paragraph (b)(3), which incorporate OTS concepts of control, to reflect the fact that affiliates of incorporates 12 CFR 223.2(a)(12). but requested comment on whether the savings associations engage in a greater 12 12 CFR 223.3(g)(4) and (5). OTS definition of control was range of activities than affiliates of 13 Specifically, Regulation W creates a rebuttable appropriate. One commenter addressed banks, which may expose the savings presumption that states ‘‘[a] company or association to greater risk.9 There is no shareholder that owns or controls instruments this issue and urged OTS to conform its (including options or warrants) that are convertible rule more closely to Regulation W. indication that Congress was concerned or exercisable, at the option of the holder or owner, about the risks posed by relationships into securities’’ will be deemed to control the 7 12 CFR 574.4(b)(1)(i). The eight control factors with companies that do not meet the securities. 12 CFR 223.3(g)(4). Options or warrants are described at 12 CFR 574.4(c) and include definition of affiliate in section 23A. are subject to the rebuttable presumption even though the holder may not exercise the option or situations where an acquiror would: (1) be one of Indeed, the statute appears to the two largest holders of any class of voting stock; warrant immediately. 67 FR 76560, at 76568. OTS’s (2) hold more than 25 percent of the total contemplate that OTS would use the comparable provision at 12 CFR 574.2(u)(3) stockholders’ equity; or (3) hold more than 35 same definitions of ‘‘control’’ and includes convertible securities as voting stock percent of the combined debt securities and ‘‘affiliate’’ as set forth in section 23A where the holder has ‘‘the preponderant economic risk in the underlying voting stock.’’ stockholders’ equity. and Regulation W.10 Accordingly, to 8 OTS’s rule is more expansive in other ways. For In addition, final Regulation W establishes a example, under 12 CFR 574.4(b)(1)(ii) an acquiror rebuttable presumption that control includes has rebuttable control of a company if it directly or 9 H.R. Rep. No. 101–122, at 408 (1989). ownership or control of 25 percent or more of a indirectly owns more than 25 percent of any class 10 Section 11(a)(3) states: Any company that company’s ‘‘equity’’ capital. 12 CFR 223.3(g)(5). The of stock and is subject to a control factor listed at would be an affiliate (as defined in sections 23A comparable references to ownership of equity 12 CFR 574.4(c). FRB does not have a similar and 23B of the Federal Reserve Act [12 U.S.C. 371c capital in OTS’s rules either: (1) Refer to the provision. and 371c-1]) of any savings association if such contribution of more than 25 percent of the capital
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result, certain entities could have been B. Prohibition of Loans and Extensions other factors strongly suggest that affiliates under Regulation W, but not of Credit to Affiliates Engaged in Non- Congress did not intend for such affiliates under the OTS interim final Bank Holding Company Activities transactions to be included as loans or rules. By adopting the FRB’s definition As noted above, section 11 of the extensions of credit under this section. of control, the OTS will conform its HOLA applies two prohibitions to a OTS has two bases for this conclusion. rules regarding the treatment of these savings association’s transactions with First, the definition of ‘‘covered securities. its affiliates in addition to the section transaction’’ in section 23A of the FRA Several regulations cross-reference the 23A and 23B limitations. Commenters treats repurchase agreements as asset definition of ‘‘affiliate’’ at § 563.41. raised several issues regarding OTS’s purchases, rather than as loans or These rules include: 12 CFR 560.93(a) implementation of section 11(a)(1)(A) of extensions of credit. Specifically, (loans to one borrower restrictions); the HOLA, which prohibits a savings section 23A(b)(7)(C) of the FRA defines 562.4 (regulatory reporting standards); association from making a loan or other purchases of assets to include ‘‘assets and 563.142 (capital distributions). As a extension of credit to an affiliate unless subject to an agreement to repurchase’’ result of changes in this final rule, the the affiliate is engaged only in activities rather than a loan or extension of credit coverage of these other rules also will that a bank holding company may under section 23A(b)(7)(A). Based upon change.14 conduct. the language of the statute, FRB staff has informally indicated that it considers 2. Financial Subsidiaries 1. Reverse Repurchase Agreements reverse repurchase agreements to be Regulation W defines affiliate to The interim rule retained a provision purchases of assets and not extensions include a financial subsidiary of a on repurchase agreements that was of credit.17 member bank. 12 CFR 223.2(a)(8). A adopted in a final rule published August Second, the legislative history of the financial subsidiary generally is any 13, 1998 (63 FR 43292). Specifically, the statutes governing thrift transactions subsidiary of a member bank that interim rule states that a purchase of with affiliates reinforces the conclusion ‘‘engages, directly or indirectly, in any assets that is subject to the affiliate’s that reverse repurchase agreements activity that national banks are not agreement to repurchase (reverse should not be treated as loans or permitted to engage in directly or that repurchase agreement) 16 is a loan or extensions of credit under section is conducted on terms and conditions extension of credit for the purposes of 11(a)(1)(A). Before the Financial that differ from those that govern the the section 11 loan prohibition. As a Institutions Reform, Recovery, and conduct of such activity by national result, a savings association may not Enforcement Act of 1989, Public Law banks.’’ 15 generally enter into reverse repurchase 101–73 (FIRREA), a savings association’s transactions with affiliates In the preamble to the interim rule, agreements with an affiliate that engages were governed by section 408 of the OTS addressed whether a savings in non-bank holding company activities. National Housing Act (NHA). 12 U.S.C. association subsidiary would be The interim rule exempted certain 1730a. Under section 408(p) of the considered to be financial subsidiary agreements that involve United States NHA, thrift transactions with affiliates and, thus, an affiliate under section 23A Treasury securities and that meet other engaged only in bank holding company of the FRA. OTS concluded that there is specified requirements. OTS specifically activities were subject to sections 23A no statutory or supervisory basis for requested comment whether it should and 23B of the FRA. Section 408(d) of applying affiliate restrictions to savings retain the repurchase agreement the NHA addressed transactions with association subsidiaries by classifying provisions. affiliates engaged in non-bank holding them as financial subsidiaries. The one Both commenters responded to this company activities. This section commenter who addressed this issue request. One urged OTS to delete the specifically prohibited six types of agreed with OTS’s conclusion regarding repurchase agreement prohibition. The transactions and, like current section financial subsidiaries. commenter asserted that ‘‘loan or extension of credit,’’ as used in section 23A, listed loans and extensions of For the reasons stated in the preamble credit separately from the ‘‘purchase [of] to the interim rule, the final rule at 11 of the HOLA, does not encompass reverse repurchase agreements. At a securities or other assets or obligations § 563.41(b) continues to state that under repurchase agreement from any savings association subsidiaries do not minimum, both commenters urged OTS to retain the current exemption for affiliate.’’ Compare section 408(d)(3) meet the statutory definition of financial with (d)(4). The successor statute subsidiary. As a result, Regulation W transactions in United States Treasury securities. addressing transactions with affiliates references to financial subsidiaries do engaged in non-bank holding company not apply. Upon further review, OTS has decided to delete the repurchase activities at section 11(a)(1)(A) of the agreement prohibition. In the preamble HOLA, however, specifically prohibits of the company and, thus, address only direct only transactions within one of the purchases from an issuer rather than secondary to the 1998 rule, OTS noted that section market purchases (12 CFR 574.4(a)(2)(vi)); or (2) 11 of the HOLA does not define ‘‘loan original six categories—loans and require the controlling person to also hold at least or other extension of credit,’’ and does extensions of credit. This suggests that 10 percent of any class of voting stock or 25 percent not compel a legal conclusion that Congress did not intend to prohibit any class of stock (12 CFR 574.4(b)(1)(i) and (ii), transactions with affiliates that engage and 574.4(c)(2)). purchases of assets that are subject to an 14 The definition of ‘‘subsidiary’’ in OTS’s loans affiliate’s agreement to repurchase are, in non-bank holding companies to insider rule at 12 CFR 563.43(d) includes cross- or are not, prohibited by statute. activities to the extent that the references to the definitions of ‘‘control’’ and While the text of section 11 does not transactions fell within one of the other ‘‘subsidiary’ in 12 CFR 563.41. OTS is examining ‘‘compel’’ either legal conclusion, upon five categories. whether it should revise § 563.43(d) to more closely The 1998 rule on repurchase follow the FRB’s loan’s to insiders rule at 12 CFR further review, OTS now believes that part 215, and may undertake a separate rulemaking agreements treated reverse repurchase proposing changes. To avoid confusion to the 16 A sale of assets subject to an agreement to industry in the interim, OTS has not revised the repurchase is known as a ‘‘reverse repurchase 17 As a general rule, the interim rule applies all substance of this definition. agreement’’ when a bank or thrift is the purchaser Regulation W definitions to the additional section 15 12 CFR 223.3(p). FRB has provided several of the assets. See M. Stigum, The Repo and Reverse 11 prohibitions. The treatment of repurchase exceptions to this definition. Markets 4 (1989). agreements was an exception to this general rule.
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agreements as loans because these repurchase agreements as purchases of non-bank holding company activities, or transactions bear some of the economic assets, and not as extensions of credit. is otherwise designed to circumvent the characteristics of a loan.18 However, the loan prohibition. If OTS determines that 2. Attribution of Transactions and typical reverse repurchase agreement a particular transaction is prohibited it Activities structured in conformity with general may direct the savings association to market practices has economic a. Third-party Attribution Rule divest the loan, unwind the transaction, attributes that distinguish it from other Sections 23A(a)(2) and 23B(a)(3) of or take other appropriate action. loans and extensions of credit. For the FRA require a member bank (and, b. Attribution of Activities Among example, such agreements typically thus, a savings association) to treat a Affiliates involve an institution’s purchase of a transaction with any person as a security, subject to an agreement by the transaction with an affiliate to the extent When OTS originally issued its counterparty to repurchase the same or that the proceeds are used for the transactions with affiliates rule in 1991, a similar security at a fixed price at a benefit of, or transferred to, an it considered whether a savings later date. In these transactions, the affiliate.20 The text of section 11(a)(1)(A) association would be barred from ‘‘purchaser’’ of the securities takes title of the HOLA does not specify a similar extending credit to an affiliate that to the securities and can trade, sell or third party attribution requirement for directly engaged only in activities pledge the security during the term of the loan prohibition, and OTS has permissible for a bank holding company, but the affiliate owned or the contract. The reverse repurchase declined to infer such a requirement. To controlled subsidiaries engaged in agreement merely imposes a contractual clarify this matter, the interim rule impermissible activities. OTS obligation to deliver identical securities specifically stated that a loan or determined that activities must be on the settlement date set by the extension of credit to a third party is not attributed from a subsidiary to a parent contract. This unique feature makes it prohibited under section 11(a)(1)(A) of affiliate in a vertical ownership chain far more flexible than a standard the HOLA ‘‘merely because proceeds of up to, but not including, a controlling collateralized loan, where the lender the transaction are used for the benefit holding company in the corporate cannot obtain access to the collateral in of, or transferred to, an affiliate.’’ structure.22 The preamble to the 1991 the absence of a default.19 Interim rule at § 563.41(c)(1). rule suggests that this attribution The preamble to the interim rule OTS may, of course, impose determination was intended to prevent noted that OTS may, nonetheless, additional restrictions on transactions savings associations from evading the attribute a loan to a third party to an with affiliates under section 11(a)(4) of section 11 loan prohibition by affiliate, for example, where a savings the HOLA if it determines that the structuring transactions through association attempts to circumvent the restriction is necessary to protect the ‘‘strawmen’’ affiliates.23 safety and soundness of savings loan prohibition through sham 21 OTS specifically requested comment associations. OTS believes that the transactions. OTS requested comment whether this interpretation should be quantitative limits, safety and whether it should include this included in the final rule. One soundness requirements, and low- additional guidance in the final rule. commenter urged OTS to withdraw the quality asset prohibitions contained in One commenter responded asserting guidance. section 23A, and the arms-length that further guidance was not needed. Upon reconsideration, OTS has requirements in section 23B sufficiently The final regulation continues to state decided to withdraw its 1991 guidance. address the safety and soundness that a loan or extension of credit to a Section 11 does not specifically require concerns raised by repurchase third party is not prohibited under the attribution of activities from agreements. To the extent that a section 11(a)(1)(A) merely because affiliated subsidiaries to their parent particular savings association may proceeds of the transaction are used for companies and, in the absence of attempt to evade the lending prohibition the benefit of, or transferred to, an information suggesting that this through artful restructuring of a affiliate. However, OTS is concerned interpretation is necessary to protect the prohibited loan as a reverse repurchase that savings associations and their safety and soundness of savings agreement, § 563.41(c)(1) (discussed affiliates may misinterpret this associations, OTS is disinclined to below) provides OTS with sufficient provision and incorrectly conclude that interpret section 11 in a way that authority to address the circumvention. the third party attribution rule will not imposes additional burdens on savings Accordingly, the final rule treats reverse apply to the loan prohibition under any associations. Rather than unduly restrict circumstances. Accordingly, OTS all savings associations, OTS believes 18 The savings association transfers funds to the clarified the final rule to state that OTS that it can best address attempts at affiliate, expecting to be repaid when the company may inform the savings association that circumvention on a case-by-case basis. repurchases the assets. The purchased assets a particular transaction is prohibited if As noted above, the final rule states that essentially amount to collateral because the savings OTS determines that the transaction is, association is required to return the assets at the OTS may prohibit a transaction if it time of repurchase. The savings association earns a in substance, a loan or extension of determines that the transaction is, in pre-determined amount under the agreement. The credit to an affiliate that is engaged in substance, a loan or extension of credit principal risk to the savings association and the non-bank holding company activities, or to an affiliate that is engaged in non- deposit insurance fund is credit risk—the OTS has other supervisory concerns possibility that the affiliate will default on its bank holding company activities or OTS obligation to make the repurchase. These types of concerning the transaction. OTS will has other supervisory concerns agreements are generally considered to be the make such a determination, for concerning the transaction. Under this functional equivalent of a loan. See amendments to example, if a loan is a prearranged step provision, OTS will prohibit a loan, for Federal Financial Institution Examination Counsel in a series of transactions designed to Policy Statement on Repurchase Agreements of example, if it is a prearranged step in a Depository Institutions with Securities Dealers and channel funds to an affiliate engaged in Others (FFIEC Policy Statement), 63 FR 6935 (Feb. 22 56 FR 34005, at 34009. See also, Op. OTS Chief 11, 1998). 20 Regulation W addresses the ‘‘third party Counsel (Nov. 13, 1990). Activities of a parent were 19 In addition, the bankruptcy code permits the attribution rule’’ at 12 CFR 223.16 and 223.52(b). not, however, attributed downward to its purchaser under the agreement to liquidate 21 67 FR 77909, at 77914. Op. OTS Chief Counsel subsidiaries. securities without being subject to an automatic (Dec. 22, 1991) and Op. OTS Chief Counsel (Mar. 23 See 56 FR 34005, at 34008. (Discussion of stay or similar delay. 11 U.S.C. 362(b)(7). 13, 1992). attribution of transactions).
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series of transactions designed to Finally, in addition to the changes holding companies. Rather, its analysis channel funds to an affiliate engaged in discussed above, OTS has made of the capital adequacy of savings and non-bank holding company activities, or technical and clarifying changes to the loan holding companies is a case-by- is otherwise designed to circumvent the interim rule. For example, the final rule case process that reflects the overall risk loan prohibition. clarifies that a savings association must profile of the organization. comply with sections 23A and 23B of C. Other Matters To require savings associations and the FRA and Regulation W ‘‘as if it were their holding companies to engage in a OTS also wishes to clarify other a member bank,’’ and indicates that burdensome exercise merely to comply guidance contained in its 1991 most references to the FRB or with specifications designed to address rulemaking. In the preamble to the 1991 appropriate bank federal banking agency final rule, OTS considered whether, for in Regulation W should be read to refer a more homogenous universe of holding the purposes of calculating a savings only to OTS.27 The latter change companies, would serve no purpose. association’s aggregate amount of clarifies that OTS, rather than the FRB, Rather, such a requirement would covered transactions with a particular has the responsibility for administering unduly obstruct some savings affiliate, the savings association must and enforcing transaction with affiliates associations’ ability to take advantage of include covered transactions with restrictions with respect to savings the corporate reorganization exception, subsidiaries of the affiliate. To prevent associations. See 12 U.S.C. 1468(c). contrary to the stated intent of the savings associations from circumventing The final rule also clarifies Regulation FRB.28 In addition, other savings and the 10 percent limit imposed under W’s definition of ‘‘well capitalized.’’ loan holding companies associations section 23A, OTS concluded that The sole use of this definition is in 12 might attempt to claim the exception, attribution of transactions was CFR 223.41(d)(7), which states that a even though their capital would be less appropriate and necessary. Accordingly, holding company and all of its than the amount OTS believed OTS stated that, when computing the subsidiary depository institutions must necessary to support their higher risk. aggregate amount of transactions with a be ‘‘well capitalized’’ in order for a Accordingly, to apply the internal particular affiliate, a savings association member bank to qualify for the internal corporate reorganization exception to must aggregate the amount of its corporate reorganization transaction savings associations in the same manner covered transactions with all exception. Section 223.3(kk) states that and to the same extent as to member subsidiaries directly or indirectly well capitalized has the same meaning banks OTS has clarified the ‘‘well controlled by the affiliate. OTS did not, as in 12 CFR 225.2, which prescribes capitalized’’ definition in light of the however, require a savings association various capital ratios and other capital- purposes of the exemption. to attribute transactions to any holding related requirements for bank holding The stated purpose of the well company that controls the savings companies, insured depository capitalized requirement is to ‘‘prevent association or to attribute transactions institutions, and uninsured depository banking companies from abusing their by a parent downward to any institutions. banking units in reorganization subsidiary.24 This requirement is not meaningful transactions’’ 29 by ensuring that FRB has not issued similar guidance for many savings and loan holding holding companies engaging in such regarding the attribution of transactions. companies. Although the activities of To the contrary, the preamble to final holding companies regulated by the FRB transactions are appropriately Regulation W states that the 10 percent have expanded since GLBA, some capitalized and remain appropriately limit would prohibit a bank from savings and loan holding companies capitalized following the transaction. In engaging in a covered transaction with currently engage in a much broader light of the diverse activities engaged in an affiliate only when the aggregate range of activities. Because the universe by savings and loan holding companies, amount of covered transactions between of thrift holding companies is so OTS believes that its case-by-case the bank and that affiliate would exceed diverse, the adequacy of holding capital analysis best serves this goal. 10 percent of the bank’s capital. 67 FR company capital cannot be determined Accordingly, the final rule clarifies that 76560, at 76572. Nothing in section 11 on the basis of a one-size-fits-all for a savings and loan holding company, of the HOLA requires the attribution of numeric formula or standard. Instead, well-capitalized means that a holding transactions among affiliates.25 OTS OTS has found that specified capital company significantly exceeds OTS may impose additional restrictions on ratios can be simultaneously too lax to expectations for the amount of capital savings associations if it determines that support the activities of some holding needed to adequately support the a restriction is necessary to protect the companies and too restrictive for others. holding company’s risk profile, as safety and soundness of savings To recognize the diversity of the holding determined by OTS on a case-by-case associations. However, there is no company universe, OTS does not basis. OTS emphasizes that this reason to impose additional burdens on impose a single consolidated or clarification does not substitute a savings associations, particularly in unconsolidated numerical capital relaxed standard for savings light of other safeguards in sections 23A requirement or ratio applicable to all associations that avail themselves of the and 23B, including the overall 20 corporate reorganization exception. percent quantitative limits, qualitative letters on transactions with affiliates. The inquirers Rather, the clarification is intended to restrictions, and other supervisory tools observed that some of this guidance may be invalid apply Regulation W meaningfully to 26 based on the interpretations announced in final available to OTS. Regulation W. OTS will continue to handle these savings associations while inquiries on a case-by-case basis and will examine simultaneously recognizing the 24 56 FR 34005, at 34008. whether other appropriate action is necessary. In differences between bank and savings 25 For purposes of determining whether an the interim, savings associations that continue to and loan holding companies and the institution has reached the 10 and 20 percent rely on these prior opinions should carefully review quantitative limits on covered transactions, whether the opinions have been affected by 28 however, the covered transactions of a depository Regulation W or this final rule, and should consult 67 FR 76560, at 76562 fn. 13 (‘‘An insured institution and its non-affiliate subsidiaries are with OTS if they have any questions. savings association * * * may take advantage of combined. 27 The references to the FRB at 12 CFR Regulation W’s exemptions as if it were a member 26 OTS has received a few inquiries concerning 223.2(a)(9)(iv), 223.3(h), 223.14(c)(4), 223.43, and bank.’’) the continuing validity of previously issued opinion 223.55 are unchanged. 29 67 FR 76560, at 76590.
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goals of the corporate reorganization Unfunded Mandates Act and has whole. Accordingly, OTS finds good exemption.30 concluded that the final rule will not cause not to delay making this rule result in expenditures by state, local, or effective until the calendar quarter III. Executive Order 12866 tribal governments or by the private beginning January 1, 2004. The Director of OTS has determined sector of $100 million or more. OTS has On the other hand, institutions will that this rule does not constitute a had comprehensive regulations need some time to understand and ‘‘significant regulatory action’’ for the implementing section 11 of the HOLA adapt to the revised final rule. purposes of Executive Order 12866. since 1991. Today’s final rule merely Consistent with the requirements of the updates these provisions to incorporate IV. Regulatory Flexibility Act Analysis APA, OTS believes that it is appropriate Regulation W, interprets Regulation W to delay the effective date of this rule for The Regulatory Flexibility Act (RFA) to the extent necessary to apply the FRB at least 30 days from publication. The does not apply to a rule for which an rule to savings associations, interprets effective date of this rule will be agency is not required to publish a Regulation W to the extent necessary to notice of proposed rulemaking. 5 U.S.C. apply the FRB rule to savings November 6, 2003. 603. In issuing the interim rule, OTS associations, clarifies the relationship VII. Paperwork Reduction Act of 1995 concluded, for good cause, that it was between section 11(a)(1) of the HOLA not required to publish a notice of and Regulation W, and sets out the The information collection proposed rulemaking. Accordingly, the additional restrictions imposed under requirements in the OTS rules were RFA does not require an initial or final section 11(a)(4) of the HOLA. In light of previously approved under OMB regulatory flexibility analysis. these preexisting rules, OTS does not control number 1550–0078. The final Nonetheless, OTS considered the believe that the final rule will rule incorporates these requirements at likely impact of this final rule on small significantly increase the applicable § 563.41(c)(3) and (4), and does not businesses and believes that the rule burdens for savings associations and make any changes that materially affect will not have a significant impact on a will not result in increased expenditures the overall burden of compliance. substantial number of small entities. by these institutions. Accordingly, OTS OTS has had comprehensive regulations did not prepare a budgetary impact List of Subjects implementing section 11 of the HOLA statement or specifically address the since 1991. Today’s final rule updates 12 CFR Part 559 regulatory alternatives considered. these provisions to incorporate Reporting and recordkeeping Regulation W, interprets Regulation W VI. Effective Date requirements, Savings associations, to the extent necessary to apply the FRB Under 12 U.S.C. 4802(b), final rules Subsidiaries. rule to savings associations, clarifies the that impose additional reporting, relationship between section 11(a)(1) of disclosure, or other new requirements 12 CFR Part 562 the HOLA and Regulation W, and sets on insured depository institutions must Accounting, Reporting and out the additional restrictions imposed take effect on the first day of a calendar under section 11(a)(4) of the HOLA. In recordkeeping requirements, Savings quarter that begins on or after the date associations. light of these preexisting rules, OTS of publication. The Administrative does not believe that the final rule will Procedure Act (5 U.S.C. 553(d)(APA) 12 CFR Part 563 significantly increase the applicable provides that a final rule cannot be burdens for small or large savings made effective less than 30 days after its Accounting, Advertising, Crime, associations. Accordingly, a regulatory publication. Together, these two statutes Currency, Investments, Reporting and flexibility analysis is not required. would require OTS to establish a recordkeeping requirements, Savings V. Unfunded Mandates Act of 1995 January 1, 2004 effective date for this associations, Securities, Surety bonds. final rule. The Unfunded Mandates Reform Act ■ Accordingly, the Office of Thrift Both statutes, however, permit the of 1995, Public Law 104–4 (Unfunded Supervision adopts as final the interim OTS to find good cause for establishing Mandates Act) applies only when an rule published on December 20, 2002 at an earlier effective date. Today’s rule agency is required to issue a notice of 67 FR 77909, amending parts 559, 562, changes generally relieve burdens or proposed rulemaking or issues a final and 563 in Title 12, Chapter V, Code of recognize exceptions to requirements rule for which a notice of proposed Federal Regulations, with the following imposed under the interim final rule. rulemaking was published. 2 U.S.C. changes: For example, the final rule revises 1532. As noted above, OTS determined OTS’s definition of control, generally that a notice of proposed rulemaking PART 559—SUBORDINATE narrowing the definition of affiliate; was not required for the interim final ORGANIZATIONS removes repurchase agreements from rule. Accordingly, OTS concluded that the scope of the section 11 loan the Unfunded Mandates Act does not ■ 1. The authority citation for part 559 prohibition; and clarifies previously require an analysis of this final rule. continues to read as follows: issued guidance on the attribution of Nonetheless, OTS has considered the activities and the calculation of Authority: 12 U.S.C. 1462, 1462a, 1463, impact of the final rule under the quantitative limits. While the final rule 1464, 1828. applies slightly broader presumptions of 30 OTS is aware that the FRB also defined well ■ 2. Amend § 559.3 by revising capitalized with respect to a ‘‘holding company that control for convertible securities and paragraph (l) to read as follows: is not a bank holding company’’ by reference to the nonvoting equity securities and, thus, capital requirements at § 225.2. By its own terms, expands the definition of affiliate in § 559.3 What are the characteristics of, Regulation W applies only to member banks. 67 FR these areas, OTS believes that this and what requirements apply to, 76560, at 76561. A holding company that is not a change should have only a marginal subordinate organizations of Federal bank holding company would include, for example, savings associations? holding companies of OCC-chartered credit card impact on the regulatory burdens companies or trust companies. imposed on savings associations as a * * * * *
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Operating subsidiary Service corporation
******* (l) How do the transactions (1) Section 563.41 of this chapter explains how TWA (2) Section 563.41 of this chapter explains how TWA with affiliates (TWA) regu- applies. Generally, an operating subsidiary is not an applies. Generally, a service corporation is not an af- lations (§ 563.41 of this affiliate, unless it is a depository institution; is directly filiate, unless it is a depository institution; is directly chapter) apply? controlled by another affiliate of the savings associa- controlled by another affiliate of the savings associa- tion or by shareholders that control the savings asso- tion or by shareholders that control the savings asso- ciation; or is an employee stock option plan, trust, or ciation; or is an employee stock option plan, trust, or similar organization that exists for the benefit of similar organization that exists for the benefit of shareholders, partners, members, or employees of shareholders, partners, members, or employees of the savings association or an affiliate. A non-affiliate the savings association or an affiliate. If a savings operating subsidiary is treated as a part of the sav- association directly or indirectly controls a service ings association and its transactions with affiliates of corporation and the service corporation is not other- the savings association are aggregated with those of wise an affiliate under § 563.41 of this chapter, the the savings association. service corporation is treated as a part of the savings association and its transactions with affiliates of the savings association are aggregated with those of the savings association.
*******
PART 563—SAVINGS and to the same extent as if the (b)(11) of this section is treated as part ASSOCIATIONS—OPERATIONS association were a member bank; of the savings association. prohibits certain types of transactions (b) Sections 23A and 23B of the FRA/ ■ 3. The authority citation for part 563 with affiliates; and authorizes OTS to continues to read as follows: Regulation W. A savings association impose additional restrictions on a must comply with sections 23A and 23B Authority: 12 U.S.C. 375b, 1462, 1462a, savings association’s transactions with of the Federal Reserve Act and the 1463, 1464, 1467a, 1468, 1817, 1820, 1828, affiliates. 1831o, 3806; 42 U.S.C. 4106. implementing regulations at 12 CFR part (2) For the purposes of this section, 223 (Regulation W) as if it were a ■ 4. Revise § 563.41 to read as follows: ‘‘savings association’’ is defined at member bank, except as described in the § 563.41 Transactions with affiliates. section 3 of the Federal Deposit following chart. In addition, a savings (a) Scope. (1) This section implements Insurance Act (12 U.S.C. 1813), and also association should read all references to section 11(a) of the Home Owners’ Loan includes any savings bank or any ‘‘the Board’’ or ‘‘appropriate federal Act (12 U.S.C. 1468(a)). Section 11(a) cooperative bank that is a savings banking agency’’ to refer only to ‘‘OTS,’’ applies sections 23A and 23B of the association under 12 U.S.C. 1467a(l). A except for references at 12 CFR FRA (12 U.S.C. 371c and 371c1) to every non-affiliate subsidiary of a savings 223.2(a)(9)(iv), 223.3(h), 223.14(c)(4), savings association in the same manner association as described in paragraph 223.43, and 223.55.
Provision of Regulation W Application
(1) 12 CFR 223.1—Authority, purpose, and scope ...... Does not apply. Section 563.41(a) addresses these matters. (2) 12 CFR 223.2(a)(8)—‘‘Affiliate’’ includes a financial subsidiary ...... Does not apply. Savings association subsidiaries do not meet the stat- utory definition of financial subsidiary. (3) 12 CFR 223.2(a)(12)—Determination that ‘‘affiliate’’ includes other Read to include the following statement: ‘‘Affiliate also includes any types of companies. company that OTS determines, by order or regulation, to present a risk to the safety and soundness of the savings association.’’ (4) 12 CFR 223.2(b)(1)(ii)—‘‘Affiliate’’ includes a subsidiary that is a fi- Does not apply. Savings association subsidiaries do not meet the stat- nancial subsidiary. utory definition of financial subsidiary. (5) 12 CFR 223.3(d)—Definition of ‘‘capital stock and surplus.’’ ...... Does not apply. Capital stock and surplus means ‘‘unimpaired capital and unimpaired surplus,’’ as defined in 12 CFR 560.93(b)(11). (6) 12 CFR 223.3(h)(1)—Section 23A covered transactions include an Read to incorporate § 563.41(c)(1), which prohibits loans or extensions extension of credit to the affiliate. of credit to an affiliate, unless the affiliate is engaged only in the ac- tivities described at 12 U.S.C. 1467a(c)(2)(F)(i), as defined in § 584.2–2 of this chapter. (7) 12 CFR 223.3(h)(2)—Section 23A covered transactions include a Read to incorporate § 563.41(c)(2), which prohibits purchases and in- purchase of or investment in securities issued by an affiliate. vestments in securities issued by an affiliate, other than with respect to shares of a subsidiary. (8) 12 CFR 223.3(k)—Definition of ‘‘depository institution.’’ ...... Read to include the following statement: ‘‘For the purposes of this defi- nition, a non-affiliate subsidiary of a savings association is treated as part of the depository institution.’’ (9) 12 CFR 223.3(p)—Definition of ‘‘financial subsidiary.’’ ...... Does not apply. Savings association subsidiaries do not meet the stat- utory definition of financial subsidiary. (10) 12 CFR 223.3(w)—Definition of ‘‘member bank.’’ ...... Read to include the following statement: ‘‘Member bank also includes a savings association. For purposes of this definition, a non-affiliate subsidiary of a savings association is treated as part of the savings association.’’
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Provision of Regulation W Application
(11) 12 CFR 223.3(aa)—Definition of ‘‘operating subsidiary.’’ ...... Does not apply. Other OTS regulations include a conflicting definition of this same term. Instead, OTS uses the phrase ‘‘non-affiliate sub- sidiary.’’ A non-affiliate subsidiary is a subsidiary of a savings asso- ciation other than a subsidiary described at 12 CFR 223.2(b)(1)(i), (iii) through (v). (12) 12 CFR 223.3(ii)—Definition of ‘‘subsidiary.’’ ...... Read to include the following statement: ‘‘A subsidiary of a savings as- sociation means a company that is controlled by the savings asso- ciation.’’ (13) 12 CFR 223.3(kk)—Definition of ‘‘well capitalized.’’ ...... Read to include the following statement: ‘‘For a savings and loan hold- ing company, however, well-capitalized means that the holding com- pany significantly exceeds OTS expectations for the amount of cap- ital needed to adequately support the holding company’s risk profile, as determined by OTS on a case-by-case basis.’’ (14) 12 CFR 223.31—Application of section 23A to an acquisition of an Read to refer to ‘‘a non-affiliate subsidiary’’ instead of ‘‘operating sub- affiliate that becomes an operating subsidiary. sidiary.’’ (15) 12 CFR 223.32—Rules that apply to financial subsidiaries of a Does not apply. Savings association subsidiaries do not meet the stat- bank. utory definition of financial subsidiary. (16) 12 CFR 223.42(f)(2)—Exemption for purchasing certain market- Read to refer to ‘‘Thrift Financial Report’’ instead of ‘‘Call Report.’’ Ref- able securities. erences to ‘‘state member bank’’ are unchanged. (17) 12 CFR 223.42(g)(2)—Exemption for purchasing municipal securi- Read to refer to ‘‘Thrift Financial Report’’ instead of ‘‘Call Report.’’ Ref- ties. erences to ‘‘state member bank’’ are unchanged. (18) 12 CFR 223.61—Application of sections 23A and 23B to U.S. Does not apply to savings associations or their subsidiaries. branches and agencies of foreign banks.
(c) Additional prohibitions and records that reflect, in reasonable detail, (C) The savings association restrictions. A savings association must all transactions between the savings commenced de novo operations within comply with the additional prohibitions association and its affiliates and any the past two years; and restrictions in this paragraph. other person to the extent that the (D) OTS approved an application or Except as described in paragraph (b) of proceeds of a transaction are used for notice under 12 CFR part 574 involving this section, the definitions in 12 CFR the benefit of, or transferred to, an the savings association or its holding part 223 apply to these additional affiliate. At a minimum, these records company within the past two years; prohibitions and restrictions. must: (E) The savings association entered (1) Loans and extensions of credit. (i) (i) Identify the affiliate; into a consent to merge or a supervisory A savings association may not make a (ii) Specify the dollar amount of the agreement within the past two years; or loan or other extension of credit to an transaction and demonstrate that this (F) OTS or another banking agency affiliate, unless the affiliate is solely amount is within the quantitative limits initiated a formal enforcement engaged in the activities described at 12 in 12 CFR 223.11 and 223.12, or that the proceeding against the savings U.S.C. 1467a(c)(2)(F)(i), as defined in transaction is not subject to those limits; association and the proceeding is § 584.2–2 of this chapter. A loan or (iii) Indicate whether the transaction pending. extension of credit to a third party is not involves a low-quality asset; (ii) OTS must notify the savings prohibited merely because proceeds of (iv) Identify the type and amount of association in writing that it has the transaction are used for the benefit any collateral involved in the imposed the notice requirement and of, or are transferred to, an affiliate. transaction and demonstrate that this must identify the circumstance listed in (ii) If OTS determines that a particular collateral meets the requirements in 12 paragraph (c)(4)(i) of this section that transaction is, in substance, a loan or CFR 223.14 or that the transaction is not supports the imposition of the notice extension of credit to an affiliate that is subject to those requirements; requirement. (v) Demonstrate that the transaction (iii) If OTS has imposed the notice engaged in activities other than those complies with 12 CFR part 223, subpart requirement under this paragraph, a described at 12 U.S.C. 1467a(c)(2)(F)(i), F or that the transaction is not subject savings association must provide a as defined in § 584.2–2 of this chapter, to those requirements; written notice to OTS at least 30 days or OTS has other supervisory concerns (vi) Demonstrate that all loans and before the savings association may enter concerning the transaction, OTS may extensions of credit to affiliates comply into a transaction with an affiliate or a inform the savings association that the with paragraph (c)(1) of this section; and subsidiary. The written notice must transaction is prohibited under this (vii) Be readily accessible for include a full description of the paragraph (c)(1), and require the savings examination and supervisory purposes. transaction. If OTS does not object association to divest the loan, unwind (4) Notice requirement. (i) OTS may during the 30-day period, the savings the transaction, or take other require a savings association to notify association may proceed with the appropriate action. the agency before the savings proposed transaction. (2) Purchases or investments in association may engage in a transaction ■ securities. A savings association may 5. Amend § 563.43 by revising with an affiliate or a subsidiary (other paragraphs (d) and (e) to read as follows: not purchase or invest in securities than exempt transactions under 12 CFR issued by any affiliate other than with part 223). OTS may impose this § 563.43 Loans by savings associations to respect to shares of a subsidiary. For the requirement if: their executive officers, directors, and purposes of this paragraph (c)(2), (A) The savings association is in principal shareholders. subsidiary includes a bank and a troubled condition as defined at * * * * * savings association. § 563.555 of this part; (d) The term subsidiary includes a (3) Recordkeeping. A savings (B) The savings association does not savings association that is controlled by association must make and retain meet its regulatory capital requirements; a company (including for this purpose
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an insured depository institution) that is to 5 U.S.C. 553(b) notice and other FOR FURTHER INFORMATION CONTACT: a savings and loan holding company. A public procedures are not required and Mary Ditto, Center for Food Safety and company has control over a saving it is effective immediately upon Applied Nutrition (HFS–255), Food and association if it: directly or indirectly, or publication in the Federal Register. Drug Administration, 5100 Paint Branch acting through one or more other Further, this action is not a rule as Pkwy., College Park, MD 20740, 202– persons owns, controls, or has the defined in the Regulatory Flexibility 418–3102. power to vote 25 percent or more of any Act, 5 U.S.C. 601–612, and, thus, is SUPPLEMENTARY INFORMATION: In FR Doc. class of voting securities; or would be exempt from the provisions of the Act. 03–19509, appearing on page 46403 in deemed to control the company under List of Subjects in 16 CFR Part 1000 the Federal Register of Tuesday, August § 574.4(a) of this chapter or presumed to 5, 2003, the following corrections are control the company under § 574.4(b) of Organization and functions made: this chapter, and in the latter case, (government agencies). 1. On page 46408, in the second control has not been rebutted. ■ Accordingly, part 1000 is amended as column, under the heading ‘‘D. Notwithstanding any other provision of follows: Adequacy of Olestra’s Label this section, no company shall be Statement 33’’ the first sentence is deemed to own or control another by PART 1000—[AMENDED] corrected to read ‘‘In its fifth objection virtue of its ownership or control of ■ 1. The authority citation for part 1000 and request for a hearing, CSPI shares in a fiduciary capacity. When continues to read as follows: challenges the label statement required used to refer to a subsidiary of a savings by the 1996 final rule, claiming that it association, the term subsidiary means a Authority: 5 U.S.C. 552(a). is not sufficient to protect the public ‘‘subsidiary’’ that is controlled by the § 1000.27 [Amended] from adverse effects associated with savings association within the meaning consumption of olestra.’’ ■ of 12 CFR part 574 of this chapter. 2. In § 1000.27, remove the last 2. On page 46408, in the third (e) References to the Reserve Bank or sentence. column, under the heading ‘‘E. Alleged the Comptroller shall be deemed to § 1000.16 [Amended] Procedural Problems in the Olestra include the Director of OTS; and Proceeding’’ the first sentence is ■ * * * * * 3. In § 1000.16, add at the end the corrected to read ‘‘In its sixth objection sentence ‘‘It administers the National and hearing request, CSPI claims that Dated: September 29, 2003. Injury Information Clearinghouse.’’ By the Office of Thrift Supervision. there were a number of problems with Dated: September 30, 2003. James E. Gilleran, the procedures utilized by FDA to reach Todd A. Stevenson, Director. a decision about the safety of olestra.’’ Secretary, Consumer Product Safety 3. On page 46408, in the third [FR Doc. 03–25217 Filed 10–6–03; 8:45 am] Commission. column, under heading ‘‘E. Alleged BILLING CODE 6720–01–P [FR Doc. 03–25297 Filed 10–6–03; 8:45 am] Procedural Problems in the Olestra BILLING CODE 6335–01–P Proceeding’’ the second to the last sentence on that page is corrected to CONSUMER PRODUCT SAFETY read ‘‘As in the case with its fifth COMMISSION DEPARTMENT OF HEALTH AND objection and hearing request, CSPI 16 CFR Part 1000 HUMAN SERVICES specifically identifies no factual issue underlying any of its six procedural Statement of Organization and Food and Drug Administration complaints.’’ Functions Dated: September 30, 2003. 21 CFR Part 172 AGENCY: Consumer Product Safety Jeffrey Shuren, Commission. [Docket No. 1987F–0179] Assistant Commissioner for Policy. ACTION: Final rule. [FR Doc. 03–25198 Filed 10–6–03; 8:45 am] Food Additives Permitted for Direct BILLING CODE 4160–01–S SUMMARY: The Consumer Product Safety Addition to Food for Human Commission is amending its statement Consumption; Olestra; Correction of organization and functions to reflect AGENCY: DEPARTMENT OF JUSTICE the transfer of the National Injury Food and Drug Administration, HHS. Information Clearinghouse from the Drug Enforcement Administration Directorate for Epidemiology to the ACTION: Final rule; correction. Office of the Secretary. SUMMARY: The Food and Drug 21 CFR Parts 1300, 1309, and 1310 EFFECTIVE DATE: October 7, 2003. Administration (FDA) is correcting a [Docket No. DEA–210F] FOR FURTHER INFORMATION CONTACT: final rule that appeared in the Federal Stephen Lemberg, Office of the General Register of August 5, 2003 (68 FR RIN 1117–AA69 Counsel, Consumer Product Safety 46403). The document denied the Commission, Washington, DC 20207, requests for a hearing and response to Implementation of the telephone (301) 504–7630, email objections it has received on the final Methamphetamine Anti-Proliferation [email protected]. rule that amended the food additive Act; Thresholds for Retailers and for Distributors Required To Submit Mail SUPPLEMENTARY INFORMATION: The regulations to provide for the safe use of Order Reports; Changes to Mail Order reference to the Clearinghouse in sucrose esterified with medium and Reporting Requirements section 1000.27, Directorate for long chain fatty acids (olestra) as a Epidemiology, is being moved to section replacement for fats and oils in savory AGENCY: Drug Enforcement 1000.16, Office of the Secretary. snacks. The document was published Administration (DEA), Justice. Since this rule relates solely to with inadvertent errors. This document ACTION: Final rule. internal agency management, pursuant corrects those errors.
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SUMMARY: This regulation implements 553), including notice of proposed Editor’s Note: This excerpt of the the new threshold requirements and rulemaking and the opportunity for amendment is published for the convenience mail order reporting requirements of the public comment, if it is determined to of the reader. The official text is published Methamphetamine Anti-Proliferation be unnecessary, impracticable, or at 21 U.S.C. 830(b)(3)(D). Act of 2000 (MAPA), which was enacted contrary to the public interest. Most of MAPA also specifically reduces the on October 17, 2000. DEA is amending the requirements of MAPA were set out threshold for drug products containing its regulations to reduce the thresholds in such detail as to be self- pseudoephedrine and for pseudoephedrine and implementing. Therefore the changes in phenylpropanolamine from 24 grams to phenylpropanolamine for retail this rulemaking primarily provide 9 grams of pseudoephedrine or distributors and for distributors required conforming amendments to make the phenylpropanolamine as base. MAPA to submit mail order reports. Also, DEA language of the regulations consistent further establishes a new factor in is amending its regulations to require with that of the law. Hence, DEA finds determining a regulated transaction—a mail order reports for certain export it unnecessary to publish for public package size of 3 grams of transactions. DEA is codifying notice and comment. pseudoephedrine base or exemptions from the mail order Specifically, Title XXXVI, phenylpropanolamine base. The reporting requirements for certain Methamphetamine Anti-Proliferation language in Title XXXVI, Section 3622 distributions to nonregulated persons Act, Section 3652 of the Children’s of the Children’s Health Act of 2000, and certain export transactions. This Health Act, ‘‘Mail Order Requirements,’’ ‘‘Reduction in Retail Sales Transaction rule is consistent with the intent of amends 21 U.S.C. 830(b)(3)(D) to Threshold for Non-Safe Harbor Products MAPA to prevent the diversion of drug exempt certain distributions and export Containing Pseudoephedrine or products to the clandestine manufacture transactions of ephedrine, Phenylpropanolamine,’’ clearly of methamphetamine and amphetamine, pseudoephedrine, and establishes without opportunity for and simultaneously reduce the industry phenylpropanolamine and drug discussion the new requirements. It reporting burden. products containing them from the amends 21 U.S.C. 802(39)(a)(iv)(II) to EFFECTIVE DATE: November 6, 2003. monthly mail order reporting read as follows [emphasis added]: FOR FURTHER INFORMATION CONTACT: requirement as follows [emphasis (II) the quantity of ephedrine, Patricia M. Good, Chief, Liaison and added]: pseudoephedrine, phenylpropanolamine, or Policy Section, Office of Diversion other listed chemical contained in the drug (D) Except as provided in subparagraph (E), included in the transaction or multiple Control, Drug Enforcement the following distributions to a nonregulated transactions equals or exceeds the threshold Administration, Washington, DC 20537, person, and the following export established for that chemical by the Attorney Telephone (202) 307–7297. transactions, shall not be subject to the General, except that the threshold for any SUPPLEMENTARY INFORMATION: reporting requirement in subparagraph (B): sale of products containing pseudoephedrine (i) Distributions of sample packages of drug or phenylpropanolamine by retail What Is DEA’s Legal Authority for This products when such packages contain not distributors or by distributors required to Rule? more than 2 solid dosage units or the submit reports by section 310(b)(3) of this equivalent of 2 dosage units in liquid form, DEA implements the Controlled title [21 U.S.C. 830(b)(3)] shall be 9 grams of not to exceed 10 milliliters of liquid per pseudoephedrine or 9 grams of Substances Act (21 U.S.C. 801–971), as package, and not more than one package is phenylpropanolamine in a single transaction amended by the Chemical Diversion and distributed to an individual or residential and sold in package sizes of not more than Trafficking Act, the Domestic Chemical address in any 30-day period. 3 grams of pseudoephedrine base or 3 grams Diversion Control Act, the (ii) Distributions of drug products by retail of phenylpropanolamine base; * * * distributors that may not include face-to-face Comprehensive Methamphetamine Editor’s Note: This excerpt of the transactions to the extent that such Control Act, and the recent amendment is published for the convenience distributions are consistent with the Methamphetamine Anti-Proliferation of the reader. The official text is published activities authorized for a retail distributor as Act (Pub. L. 106–310, 114 Stat. 1101), at 21 U.S.C. 802(39)(a)(iv)(II). specified in section 102(46). [21 U.S.C. among others. DEA publishes the 802(46)] Under the circumstances, there is no implementing regulations for these (iii) Distributions of drug products to a discretion for deviation from the statutes in title 21 of the Code of Federal resident of a long term care facility (as the changes made by MAPA. Therefore, Regulations (21 CFR) parts 1300 to end. term is defined in regulations prescribed by DEA is implementing these conforming The regulations are designed to prevent the Attorney General) or distributions of drug amendments to the regulations through the diversion of controlled substances products to a long term care facility for a final rule. and listed chemicals to illegal purposes. dispensing to or for use by a resident of that MAPA, which is part of the Children’s facility. Do the Thresholds Apply to All Retail Health Act of 2000, amends the (iv) Distributions of drug products Distributors and All Distributors pursuant to a valid prescription. Controlled Substances Act (CSA) to Required To Submit Mail Order (v) Exports which have been reported to Reports? reduce the retail and mail order the Attorney General pursuant to section thresholds for pseudoephedrine and 1004 [21 U.S.C. 954] or 1018 [21 U.S.C. 971] MAPA mandated that effective phenylpropanolamine (PPA), to include which are subject to a waiver granted under October 17, 2001, both the reduction of certain export transactions under the section 1018(e)(2) [21 U.S.C. 971(e)(2)]. the 24 gram transaction threshold to 9 mail order reporting requirement, and to (vi) Any quantity, method, or type of grams and the addition of the 3 gram provide certain exemptions from the distribution or any quantity, method, or type package size threshold for mail order reporting requirement. This of distribution of a specific listed chemical pseudoephedrine and rule implements the Congressional (including specific formulations or drug phenylpropanolamine drug products products) or of a group of listed chemicals mandate of MAPA. (including specific formulations or drug apply to all retail distributors and all persons required to submit mail order Why Is DEA Publishing a Final Rule? products) which the Attorney General has excluded by regulation from such reporting reports under 21 U.S.C. 830(b)(3). An agency may find good cause to requirement on the basis that such reporting At the retail level, all drug products exempt a rule from the provisions of the is not necessary for the enforcement of this containing pseudoephedrine or Administrative Procedure Act (5 U.S.C. title * * * phenylpropanolamine that do not meet
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the definition of ‘‘ordinary over-the- threshold and above transactions and to requirements any other quantity, counter pseudoephedrine or above-threshold package sizes, that is, method, or type of distribution of a phenylpropanolamine product’’ (see 21 registration, identification, specific listed chemical (or drug product U.S.C. 802(45)) are subject to the recordkeeping, and reporting, as well as containing it) or group of listed threshold requirements of MAPA. This the monthly mail order reports chemicals (or drug products containing includes the single transaction submitted to DEA. them) determined by the Administrator threshold of 9 grams as base and the What Are the Changes to the Mail to be unnecessary for the effective single package size of 3 grams or less of Order Reporting Requirement? enforcement of the Controlled pseudoephedrine or 3 grams or less of Substances Act. phenylpropanolamine as base. The MAPA provides the following What Is the Effect of MAPA on the requirement of registration is waived for exemptions to the mail order reporting Public and on Industry? retail distributors whose activities requirement: Transactions involving consist solely of below-threshold sample packages of drug products, deliveries of prescriptions to consumers MAPA will not adversely impact the distributions to an individual for a public’s access to pseudoephedrine and legitimate medical purpose (21 CFR by retail distributors, distributions to long-term care facilities and their phenylpropanolamine products. The 1309.24(e)). Retail distributors who majority of the products purchased by engage in single transactions at or above residents, mail order prescription deliveries, and exports already reported the public are commonly used 9 grams of pseudoephedrine or medications most of which are available phenylpropanolamine as base or single to DEA on a Form 486 or granted a waiver by the Administrator. These without a prescription at pharmacies, transactions of package sizes containing grocery stores, discount department more than 3 grams of pseudoephedrine were specifically cited in the section of this rulemaking titled, ‘‘Why is DEA stores, and a variety of other retail base or 3 grams of stores. Although the thresholds are phenylpropanolamine base per package publishing a final rule?’’ Congress also granted the Attorney being reduced, these thresholds still will void their waiver of the registration General the authority (delegated to the permit the public adequate access to requirement and must register with Administrator of DEA) to develop these drug products for legitimate DEA. Transactions above these regulations to expand the Congressional medical purposes, which include their thresholds are regulated transactions list of exemptions. use as decongestants for the temporary and subject to all requirements of the relief of nasal congestion. Each of the Controlled Substances Act. For retail What Action Is DEA Taking To Codify products is available as a single entity transactions, this would include the MAPA Amendments in Its or in combination with antihistamines, customer identification, recordkeeping, Regulations? antitussives, analgesics, and and reporting. To implement the requirements of expectorants. Sale of a single package of For those required to submit mail MAPA, DEA is adding the new drug product containing 3 grams or less order reports, the 9 gram transaction definitions of ‘‘drug product’’ and per package of pseudoephedrine or threshold (as base) for a single ‘‘valid prescription’’ at 21 CFR 1300.02, phenylpropanolamine base is not a transaction and the 3 gram package size and updating §§ 1310.03 and 1310.05 to regulated transaction. A single (as base) apply to every transaction reflect the revised reporting transaction of less than 9 grams of involving pseudoephedrine, requirements for mail order pseudoephedrine or phenylpropanolamine or drug products distributions. Specifically, DEA is phenylpropanolamine as base is not a containing them—regardless of the type amending § 1310.05 to explicitly exempt regulated transaction. The chart below of packaging for the products. There are from the reporting requirements the indicates the number of tablets per no exemptions for ordinary over-the- low-risk categories of mail order package and per single transaction that counter pseudoephedrine and transactions previously listed. constitute a regulated transaction. One phenylpropanolamine products. All of DEA also reserves the right to exempt, tablet less would be a non-regulated the requirements of the CSA apply to by regulation, from the reporting transaction.
NUMBER OF TABLETS THAT CONSTITUTE A REGULATED TRANSACTION FOR DOSAGE UNITS OF MARKETED PRODUCTS *
Number of Number of tablets tablets Product type over 3-gram per 9-gram package size transaction
Pseudoephedrine
120-mg Hydrochloride ...... 31 92 120-mg Sulfate ...... 33 98 60-mg Hydrochloride ...... 62 184 60-mg Sulfate ...... 65 195 30-mg Hydrochloride ...... 123 367 30-mg Sulfate ...... 130 390
Phenylpropanolamine
75-mg Hydrochloride ...... 50 149 25-mg Hydrochloride ...... 149 447 12.5-mg Hydrochloride ...... 298 894 6.25-mg Hydrochloride ...... 596 1,788 * Calculated as base.
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For example, if a member of the For those required to submit mail enforcement of law. DEA will consider public purchased product containing order reports, both the 9 gram any suggestions submitted regarding 30-mg pseudoephedrine hydrochloride transaction threshold and the 3 gram additional exemptions to the reporting tablets in a single transaction of 366 package size for pseudoephedrine and requirement under 21 U.S.C. 830(b)(3) tablets, it would not be regulated. phenylpropanolamine drug products that may be warranted. However, if that person purchased 367 apply to every transaction—regardless Technical Amendment or more tablets of the same product in of whether the transaction is one that a single transaction, it would be a must be reported. Single transactions of The final regulations implementing regulated transaction. The member of 9 grams or more of pseudoephedrine or the provisions of the Comprehensive the public would still be permitted to phenylpropanolamine as base are Methamphetamine Control Act (MCA) make such a purchase, but would be regulated transactions and single amended the waiver of the retail required to provide the distributor with transactions of package sizes containing registration activity found in 21 CFR certain information. DEA believes that more than 3 grams of pseudoephedrine 1309.24(e) to include a statement that few members of the public make such or phenylpropanolamine as base are the threshold for retail distributions of large purchases for legitimate personal regulated transactions. Regulated ephedrine, pseudoephedrine and medical use, and thus will not be transactions subject the distributor to phenylpropanolamine is 24 grams in a adversely impacted by this rulemaking. the following requirements— single transaction, regardless of whether Due to concerns regarding possible identification of the customer (21 CFR the product meets the definition of harmful side effects, the Food and Drug 1310.07), recordkeeping (21 CFR ‘‘ordinary over-the-counter Administration initiated action in 1310.04), and reporting (21 CFR 1310.05 pseudoephedrine or November 2000 to remove and 1310.06), in addition to the phenylpropanolamine product.’’ As phenylpropanolamine from the market. requirement to submit monthly reports MAPA amends those thresholds, as As a result, many firms voluntarily of all transactions (21 U.S.C. 830(b)(3)). previously described, a conforming discontinued marketing products MAPA added language requiring technical amendment to 21 CFR containing it. Because MAPA monthly mail order reports for export 1309.24(e) is being made to remove the specifically addresses transactions with nonregulated persons reference to the 24 gram threshold. involving ephedrine, pseudoephedrine, phenylpropanolamine and there remain Regulatory Certifications legitimate veterinary uses for it that will phenylpropanolamine, and drug products containing them which use or ensure some level of its continued Administrative Procedure Act (5 U.S.C. attempt to use the Postal Service, or any production and availability, this action 553) private or commercial carrier. Every continues to apply to export transaction for these chemicals An agency may find good cause to phenylpropanolamine. and for drug products containing them exempt a rule from certain provisions of MAPA will affect persons who sell must be reported on a monthly basis the Administrative Procedure Act (5 drug products containing unless the export transaction is exempt. U.S.C. 553), including notice of pseudoephedrine or Exempt export transactions include proposed rulemaking and the phenylpropanolamine to the public. those reported on a DEA Form 486 and opportunity for public comment, if it is This includes retail distributors and those for which the Administrator has determined to be unnecessary, persons required to submit mail order waived monthly reporting. impracticable, or contrary to the public reports. For retail distributors, single To reduce the burden on those who interest. The requirements of MAPA transactions containing 9 grams or more are subject to the monthly mail order included in this rulemaking were set out of pseudoephedrine or reporting requirement under 21 U.S.C. in such detail as to be self- phenylpropanolamine as base are 830(b)(3), MAPA added exemptions to implementing. Therefore the changes in regulated transactions. Single this requirement. These exemptions this rulemaking provide conforming transactions in which a package include distributions of samples of drug amendments to make the language of contains more than 3 grams of products, deliveries of prescriptions to the regulations consistent with that of pseudoephedrine base or more than 3 consumers by retail distributors, the law. Hence, DEA finds it grams of phenylpropanolamine base are distributions of drug products to long unnecessary to publish for public notice also regulated transactions. Above- term care facilities and their residents, and comment. threshold transactions will still be mail order prescription deliveries, Regulatory Flexibility Act permitted, but will be subject to all the exports reported to DEA on a Form 486, requirements of a regulated transaction, and any quantity, method, or type of The Deputy Assistant Administrator, including registration of the distribution of a specific listed chemical Office of Diversion Control, hereby distributor—as selling over-threshold or group of listed chemicals which the certifies that this rulemaking has been amounts of these products voids the Attorney General has excluded by drafted in accordance with the retail distributor exemption (21 CFR regulation from this reporting Regulatory Flexibility Act (5 U.S.C. 1309.24(e)), identification of customers requirement. These exemptions were 605(b)) , has reviewed this regulation, (21 CFR 1310.07), maintenance of previously cited in the section of this and by approving it certifies that this records (21 CFR 1310.04), and the filing rulemaking titled, ‘‘Why is DEA regulation will not have a significant of reports with the Administration (21 publishing a final rule?’’ The economic impact on a substantial CFR 1310.05, 1310.06). It is important to Administrator of DEA, through the number of small entities. This note, however, that many retail delegation of authority from the regulation will not adversely impact the distributors have already voluntarily Attorney General, may exclude by public’s access to drug products limited their sales in a single transaction regulation from the mail order reporting containing pseudoephedrine and to amounts equal to or less than those requirement any quantity, method, or phenylpropanolamine. At the same finalized in this rulemaking to help type of distribution of listed chemicals time, this regulation will limit the prevent diversion of these products for (including specific formulations or drug potential for diversion of these products the illicit manufacture of products) for which such reporting is to the clandestine manufacture of methamphetamine and amphetamine. considered not necessary for the methamphetamine and amphetamine.
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For mail order reporting, this action Unfunded Mandates Reform Act of 1995 phenylpropanolamine, or other listed exempts from the reporting This rule will not result in the chemical contained in the drug requirements a number of transactions expenditure by State, local and tribal included in the transaction or multiple that currently must be reported, thus governments, in the aggregate, or by the transactions equals or exceeds the reducing the overall reporting burden private sector, of $100,000,000 or more threshold established for that chemical, on many small businesses. in any one year, and will not except that the threshold for any sale of products containing pseudoephedrine Executive Order 12866 significantly or uniquely affect small governments. Therefore, no actions were or phenylpropanolamine by retail The Deputy Assistant Administrator deemed necessary under the provisions distributors or by distributors required further certifies that this rulemaking has of the Unfunded Mandates Reform Act to submit reports by § 1310.03(c) shall been drafted in accordance with the of 1995. be 9 grams of pseudoephedrine or 9 principles of Executive Order 12866 grams of phenylpropanolamine in a Small Business Regulatory Enforcement Section 1(b). DEA has determined that single transaction and sold in package Fairness Act of 1996 this is not a significant regulatory sizes of not more than 3 grams of action. Therefore, this action has not This rule is not a major rule as pseudoephedrine base or 3 grams of been reviewed by the Office of defined by Section 804 of the Small phenylpropanolamine base. For Management and Budget. Business Regulatory Enforcement combination ephedrine products the Fairness Act of 1996. This rule will not threshold for any sale by retail Executive Order 12988 result in an annual effect on the distributors or by distributors required economy of $100,000,000 or more; a to submit reports by § 1310.03(c) shall This rulemaking meets the applicable major increase in costs or prices; or be 24 grams of ephedrine in a single standards set forth in Sections 3(a) and significant adverse effects on transaction. 3(b)(2) of Executive Order 12988. competition, employment, investment, * * * * * Executive Order 13132 productivity, innovation, or on the (33) The term drug product means an ability of United States-based active ingredient in dosage form that has This action has been analyzed in companies to compete with foreign- been approved or otherwise may be accordance with the principles and based companies in domestic and lawfully marketed under the Food, criteria in Executive Order 13132, and it export markets. Drug, and Cosmetic Act for distribution has been determined that this rule does in the United States. not have federalism implications and, List of Subjects (34) The term valid prescription therefore, does not warrant the 21 CFR Part 1300 means a prescription that is issued for preparation of a Federalism Assessment. Chemicals, Definitions, Drug traffic a legitimate medical purpose by an individual practitioner licensed by law Paperwork Reduction Act control. to administer and prescribe the drugs For those required to report under 21 21 CFR Part 1309 concerned and acting in the usual U.S.C. 830(b)(3), MAPA adds the Administrative practice and course of the practitioner’s professional requirement of submitting a monthly procedure, Drug traffic control, List I practice. report for certain export transactions and List II chemicals, Security PART 1309—REGISTRATION OF with nonregulated persons involving measures. MANUFACTURERS, DISTRIBUTORS, ephedrine, pseudoephedrine, 21 CFR Part 1310 IMPORTERS AND EXPORTERS OF phenylpropanolamine, and drug LIST I CHEMICALS [AMENDED] products containing them. However, to Drug traffic control, Exports, Imports, reduce the burden on those affected, List I and List II chemicals, Reporting ■ 1. The authority citation for Part 1309 MAPA exempts monthly reporting of and recordkeeping requirements. continues to read as follows: exports of the above list I chemicals and ■ For the reasons set out above, 21 CFR Authority: 21 U.S.C. 821, 822, 823, 824, drug products containing them when parts 1300, 1309 and 1310 are amended 830, 871(b), 875, 877, 958. they are reported to DEA pursuant to 21 as follows: U.S.C. 954 and 971. ■ 2. Section 1309.24 is amended by MAPA further reduces the reporting PART 1300—DEFINITIONS [AMENDED] revising paragraph (e) to read as follows: burden on the regulated industry ■ 1. The authority citation for Part 1300 § 1309.24 Waiver of registration required to submit reports under 21 continues to read as follows: requirement for certain activities. U.S.C. 830(b)(3) by exempting certain Authority: 21 U.S.C. 802, 871(b), 951, * * * * * other transactions involving ephedrine, 958(f). (e) The requirement of registration is pseudoephedrine, waived for any retail distributor whose ■ 2. Section 1300.02 is amended by phenylpropanolamine and drug activities with respect to List I revising paragraph (b)(28)(i)(D)(2) and by products containing them from the chemicals are limited to the distribution adding paragraphs (b)(33) and (b)(34) to requirement to submit reports as of below-threshold quantities of a read as follows: discussed in this rulemaking. pseudoephedrine, At this time it is not feasible for DEA § 1300.02 Definitions relating to listed phenylpropanolamine, or combination to determine the extent of the impact of chemicals. ephedrine product that is regulated this rulemaking on the regulated * * * * * pursuant to § 1300.02(b)(28)(i)(D) of this industry. Once DEA has determined the (b) * * * chapter, in a single transaction to an impact, it will make the necessary filing (28) * * * individual for legitimate medical use, with the Office of Management and (i) * * * irrespective of whether the form of Budget to adjust the burden of this (D) * * * packaging of the product meets the information collection for the affected (2) The quantity of ephedrine, definition of ‘‘ordinary over-the-counter industry. pseudoephedrine, pseudoephedrine or
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phenylpropanolamine product’’ under § 1310.03 Persons required to keep such transaction as specified in § 1300.02(b)(31) of this chapter. records and file reports. § 1310.05 of this part. * * * * * * * * * * ■ 3. Section 1310.04 is amended by (c) Each regulated person who PART 1310—RECORDS AND revising paragraphs (f)(1)(ii), (c)(1) and engages in a transaction with a REPORTS OF LISTED CHEMICALS (c)(2), (d)(2), (e)(1) and (e)(2), and (f)(2) nonregulated person or who engages in AND CERTAIN MACHINES [AMENDED] to read as follows: an export transaction that involves ■ 1. The authority citation for part 1310 ephedrine, pseudoephedrine, or § 1310.04 Maintenance of records. continues to read as follows: phenylpropanolamine, including drug * * * * * products containing these chemicals, Authority: 21 U.S.C. 802, 830, 871(b). (f) * * * and uses or attempts to use the Postal ■ 2. Section 1310.03 is amended by Service or any private or commercial (1) * * * revising paragraph (c) to read as follows: carrier must file monthly reports of each (ii) * * *
Chemical Threshold by weight
(C) * * * (1) Distributions by retail distributors ...... 9 grams, and sold in package sizes of not more than 3 grams of pseudoephedrine base. (2) Distributions by persons required to report under § 1310.03(c) of 9 grams, and sold in package sizes of not more than 3 grams of this part. pseudoephedrine base.
******* (D) * * * (2) Distributions by persons required to report under § 1310.03(c) of 9 grams, and sold in package sizes of not more than 3 grams of this part. pseudoephedrine base.
******* (E) * * * (1) Distributions by retail distributors ...... 9 grams, and sold in package sizes of not more than 3 grams of phenylpropanolamine base. (2) Distributions by persons required to report under § 1310.03(c) of 9 grams, and sold in package sizes of not more than 3 grams of this part. phenylpropanolamine base.
******* (F) * * * (2) Distributions by persons required to report under § 1310.03(c) of 9 grams, and sold in package sizes of not more than 3 grams of this part. phenylpropanolamine base.
* * * * * (3) Distributions of drug products to a Dated: September 29, 2003. ■ 4. Section 1310.05 is amended by resident of a long term care facility or Laura M. Nagel, adding new paragraphs (f) and (g) to read distributions of drug products to a long Deputy Assistant Administrator, Office of as follows: term care facility for dispensing to or for Diversion Control. use by a resident of that facility. [FR Doc. 03–25100 Filed 10–6–03; 8:45 am] § 1310.05 Reports. (4) Distributions of drug products in BILLING CODE 4410–09–P * * * * * accordance with a valid prescription. (5) Exports which have been reported (f) Except as provided in paragraph (g) to the Administrator under §§ 1313.31 of this section, the following DEPARTMENT OF HOUSING AND and 1313.32 of this chapter or which are distributions to nonregulated persons, URBAN DEVELOPMENT subject to a waiver granted under and the following export transactions, § 1313.21 of this chapter. 24 CFR Part 982 are not subject to the reporting (g) The Administrator may revoke any [Docket No. FR–4759–C–04] requirements in § 1310.03(c): or all of the exemptions listed in (1) Distributions of sample packages paragraph (f) of this section for an RIN 2577–AC39 of drug products when those packages individual regulated person if the contain not more than two solid dosage Administrator finds that drug products Housing Choice Voucher Program units or the equivalent of two dosage distributed by the regulated person are Homeownership Option: Eligibility of units in liquid form, not to exceed 10 being used in violation of the Units Owned or Controlled by a Public milliliters of liquid per package, and not regulations in this chapter or the Housing Agency; Correction more than one package is distributed to Controlled Substances Act. The AGENCY: Office of the Assistant an individual or residential address in Administrator will notify the regulated Secretary for Public and Indian any 30-day period. person of the revocation, as provided in Housing, HUD. (2) Distributions of drug products by § 1313.41(a) of this chapter. The ACTION: Final rule; correction. retail distributors that may not include revocation will be effective upon receipt face-to-face transactions to the extent of the notice by the person. The SUMMARY: On September 17, 2003, HUD that such distributions are consistent regulated person has the right to an published a final rule adopting without with the activities authorized for a retail expedited hearing regarding the change an October 28, 2002, interim distributor as specified in revocation, as provided in § 1313.56(a) rule establishing the eligibility of units § 1300.02(b)(29) of this chapter. of this chapter. owned or substantially controlled by a
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public housing agency (PHA) for collection of the reclamation fee will II. Submission of the Proposed purchase under the Housing Choice assure that Pennsylvania’s Surface Amendment Voucher Program homeownership Mining Conservation and Reclamation The required amendment we are option. The amendatory instruction in Fund can be operated in a manner that removing as a result of this rulemaking the final rule contained a technical will meet the alternative bonding is codified at 30 CFR 938.16(h). We error. The document makes the system requirements contained in the required the amendment in a May 31, necessary correction. Federal regulations. In addition, the 1991, final rule (56 FR 24687) (1991 DATES: Effective Date: The effective date amendment required Pennsylvania to rulemaking). By letter dated June 5, for the September 17, 2003, final rule is clarify the procedures to be used for 2003 (Administrative Record No. PA unchanged. The final rule will take bonding the surface impacts of 802.27), Pennsylvania sent us a effect on October 17, 2003. underground mines and the procedures document entitled, ‘‘Pennsylvania FOR FURTHER INFORMATION CONTACT: to reclaim underground mining permits Bonding System Program Gerald J. Benoit, Office of Public and where the operator has defaulted on the Enhancements’’ (program enhancements Indian Housing, Department of Housing obligation to reclaim. In response to the document). The letter was sent in and Urban Development, Room 4210, amendment, Pennsylvania submitted response to the October 1, 1991, notice 451 Seventh Street, SW., Washington, information to us describing existing sent to Pennsylvania under 30 CFR DC 20410–5000; telephone (202) 708– and planned changes and enhancements 732.17(c) through (e) (1991 notice). In a 0477. (This is not a toll-free number.) to its bonding program that we have second letter, also dated June 5, 2003 Hearing- or speech-impaired individuals found satisfactorily address the (Administrative Record No. PA 802.28), Pennsylvania stated that the material may access this number via TTY by amendment’s requirements. calling the toll-free Federal Information submitted with the first letter also Relay Service at 1–800–877–8339. EFFECTIVE DATE: October 7, 2003. addresses the first part of the 1991 rulemaking dealing with its alternative SUPPLEMENTARY INFORMATION: FOR FURTHER INFORMATION CONTACT: bonding system (ABS). The second ■ The final rule FR Doc. 03–23636, George Rieger, Acting Director, letter also clarified that bonding for the published on September 17, 2003, (68 FR Harrisburg Field Office, Telephone: surface impacts of underground mines 54335) is corrected as follows: (717) 782–4036, e-mail: and the procedures to reclaim ■ On page 54336, in the second column, [email protected]. underground mining permits where the correct the amendatory instruction to operator has defaulted on the obligation read as follows: SUPPLEMENTARY INFORMATION: to reclaim, are handled by conventional ■ Accordingly, for the reasons stated in I. Background on the Pennsylvania Program bonds and are not, and have not been, the preamble, the interim rule for part II. Submission of the Proposed Amendment a part of the alternative bonding 982 of title 24 of the Code of Federal III. OSM’s Findings program at issue in the first part of the Regulations, published on October 28, IV. Summary and Disposition of Comments 1991 rulemaking. This later information 2002, 67 FR 65864, as corrected on V. OSM’s Decision was intended to address the remainder November 6, 2002, 67 FR 67522, is VI. Procedural Determinations of the 1991 rulemaking. In a letter to promulgated as final, without change. I. Background on the Pennsylvania Pennsylvania dated June 12, 2003 Dated: October 1, 2003. Program (Administrative Record No. PA 802.29), Camille Acevedo, we found the actions taken, as described Associate General Counsel for Legislation and Section 503(a) of the Act permits a in the attachment to the first letter, were Regulations. State to assume primacy for the sufficient to resolve our 1991 notice. [FR Doc. 03–25325 Filed 10–6–03; 8:45 am] regulation of surface coal mining and Therefore, we terminated that notice, BILLING CODE 4210–33–P reclamation operations on non-Federal which addressed deficiencies in the and non-Indian lands within its borders Pennsylvania ABS. We found the letters by demonstrating that its State program were also responsive to the required DEPARTMENT OF THE INTERIOR includes, among other things, ‘‘a State program amendment at 30 CFR law which provides for the regulation of 938.16(h) and proposed removing that Office of Surface Mining Reclamation surface coal mining and reclamation provision codified in the 1991 and Enforcement operations in accordance with the rulemaking. We announced our proposal to requirements of the Act * * *; and remove the required amendment in the 30 CFR Part 938 rules and regulations consistent with June 26, 2003, Federal Register (68 FR [PA–144–FOR] regulations issued by the Secretary 37987). In the same document, we pursuant to the Act.’’ See 30 U.S.C. Pennsylvania Regulatory Program opened the public comment period and 1253(a)(1) and (7). On the basis of these provided an opportunity for a public criteria, the Secretary of the Interior AGENCY: Office of Surface Mining hearing or meeting on removing the Reclamation and Enforcement (OSM), conditionally approved the required amendment. We did not hold Interior. Pennsylvania program on July 30, 1982. a public hearing because no one You can find background information ACTION: Final rule. requested one. We received a request for on the Pennsylvania program, including a public meeting, but it was withdrawn SUMMARY: We are removing a required the Secretary’s findings, the disposition before the meeting was held. The public amendment to the Pennsylvania of comments, and conditions of comment period ended on July 28, 2003. regulatory program (the Pennsylvania approval in the July 30, 1982, Federal We received comments from two program) under the Surface Mining Register (47 FR 33050). You can also Federal agencies (the United States Control and Reclamation Act of 1977 find later actions concerning Environmental Protection Agency, (SMCRA or the Act). The amendment Pennsylvania’s program and program Region III, and the United States required Pennsylvania to demonstrate amendments at 30 CFR 938.11, 938.12, Department of Labor, Mine Safety and that the revenues generated by its 938.15 and 938.16. Health Administration’s (MSHA) New
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Stanton and Wilkes-Barre Offices). We indicated that the actions taken by through a number of financial, and also received comments from Citizens Pennsylvania, as described in its June 5, reclamation mechanisms at discharges for Pennsylvania’s Future (PennFuture) 2003, letter, were sufficient to resolve on current primacy forfeitures covered and the Pennsylvania Coal Association the 1991 notice. Because we have by the ABS. (PCA). completed our administrative decision After careful consideration of the terminating the 1991 notice as a comments we received, we have found III. OSM’s Findings separate and distinct action not subject that the actions taken, as described in Following are the findings we made to the public notice and review the June 5, 2003, submission, including concerning removing the required procedures governing this rulemaking, Pennsylvania’s shift from an ABS to amendment under SMCRA and the we will not respond to comments on conventional bonds, adequately address Federal regulations at 30 CFR 732.15 terminating that action in this the requirements of 30 CFR 938.16(h). and 732.17. We are removing the rulemaking. Pennsylvania’s conversion from the required amendment at 30 CFR The purpose of our June 26, 2003, ABS to full cost bonding, renders moot 938.16(h). proposed rule was to seek public that portion of the required amendment As we noted in our proposed comment on whether Pennsylvania’s concerned with the solvency of the rulemaking concerning removal of 30 actions taken in response to the 1991 Fund. Also, the clarification that CFR 938.16(h), our oversight activities notice were sufficient to remove the bonding for the surface effects of had determined that Pennsylvania’s required amendment at 30 CFR underground mining has not been a part ABS contained unfunded reclamation 938.16(h) imposed in the 1991 of the Fund and has been (and will liabilities for backfilling, grading, and rulemaking. In that rulemaking, we continue to be) handled by conventional revegetation. In addition, our oversight required the amendment as a result of bonds is sufficient to address the determined that the ABS was financially our review of changes Pennsylvania remainder of the required amendment. incapable of abating or treating made to its program at 25 Pa. Code Therefore, 30 CFR 938.16(h) is being pollutional discharges from bond 86.17 which describes Pennsylvania’s removed. forfeiture sites. In the 1991 notice, we permit and reclamation fees. In the 1991 notified Pennsylvania of these rulemaking, we indicated that the IV. Summary and Disposition of deficiencies. In the course of approving proposed revisions raised questions Comments a proposed program amendment to the concerning the ability of Pennsylvania’s Public Comments Pennsylvania regulatory program in the ABS to meet the requirements of 30 CFR 1991 rulemaking, we imposed the 800.11(e) (56 FR at 24689). We also We asked for public comments on the required amendment codified at 30 CFR required information from Pennsylvania amendment (Administrative Record No. 938.16(h). That amendment required that would demonstrate that the PA 802.31), and received responses Pennsylvania to demonstrate that the revenues generated by the collection of from PennFuture and PCA. We will first revenues generated by its collection of the reclamation fee are sufficient. discuss the PennFuture comments and the reclamation fee will assure that its The requirement was generated then the comments from PCA. Surface Mining Conservation and because of our uncertainty that the Fund At the outset, however, we wish to Reclamation Fund (Fund) can be could be operated in a manner that will clarify the scope of the subject matter operated in a manner that will meet the meet the ABS requirements of 30 CFR for which we requested comments, ABS requirements contained in the 800.11(e). Our uncertainty resulted from particularly as it relates to satisfaction of Federal regulations. In addition, the information Pennsylvania reported that the first portion of the 1991 rulemaking. amendment required Pennsylvania to an analysis of the solvency of the Fund In the June 26, 2003, Federal Register clarify the procedures to be used for for 1989 and 1990 showed a deficit in Notice announcing our intention to bonding the surface impacts of both years. In addition, our review of consider the removal of the required underground mines and the procedures proposed revisions to 25 Pa. Code 86.17 amendment at 30 CFR 938.16(h), we to reclaim underground mining permits left questions as to the procedures to be noted that the 1991 notice ‘‘dealt with where the operator has defaulted on the used for bonding the surface impacts of the same subject matter, i.e., the obligation to reclaim. The 1991 notice underground mines and the procedures solvency of the State’s Surface Mining stated that Pennsylvania’s ABS was no to reclaim underground mining permits Conservation and Reclamation Fund, as longer in conformance with Federal where the operator has defaulted on the does the first portion of * * * 30 CFR requirements and mandated that obligation to reclaim. We were 938.16(h).’’ We stated further that: Pennsylvania propose amendments or uncertain about the relationship of the Since we are now satisfied that the State’s descriptions of amendments to address ABS and fees collected under 25 Pa. bonding program enhancements adequately the identified deficiencies. Thus, the Code 86.17 to the reclamation of address our concerns about the ability of the 1991 notice addressed the same issue underground mining permits where bonding program to ensure the completion of covered by the 1991 rulemaking. bonds were forfeited. the reclamation plans for all operations on In the June 5, 2003, letter the The June 5, 2003, PADEP submission which the operators default on their obligations to reclaim, we are proposing the Pennsylvania Department of provides a complete description of removal of the first portion of 30 CFR Environmental Protection (PADEP) ongoing and planned activities that 938.16(h). 68 FR at 37988. responded to the deficiencies noted in address the issues that formed the basis our 1991 notice by sending us the for 30 CFR 938.16(h). Those activities We then clarified the scope of the program enhancements document. This include: (1) The appropriation of $5.5 opportunity to comment as follows: document, jointly prepared by OSM and million for land reclamation, (2) We are seeking your comments on whether PADEP, explains steps that Continued collection of the permit fee at OSM should consider the information Pennsylvania has taken, and plans to 25 Pa. Code 86.17(e), (3) Requiring new submitted by Pennsylvania sufficient to take, to assure appropriate bonding for permits to post conventional bonds and satisfy the required amendment at 30 CFR 938.16(h). Because we decided on June 12, both land reclamation and postmining requiring existing active/inactive 2003, that PADEP’s bonding program discharge treatment on existing active/ permits to replace ABS coverage with enhancements satisfy the concerns expressed inactive permits and forfeited sites. In conventional bonds, and (4) The in our October 1, 1991, Part 732 Notification our June 12, 2003, letter to PADEP, we targeting of significant resources Letter, we are not seeking comments on the
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adequacy of those bonding program participate’’ in this proceeding, as public comments, including any enhancements. required by 5 U.S.C. 553(c). It claims information provided, on that proposal. As such, we were effectively asking this also violates our obligation to PennFuture commented that because for comment as to the validity of the ‘‘consider all relevant information’’ in OSM’s proposed deletion of the proposition that the first portion of the making our decision as required by 30 actuarial study requirement from 30 required amendment and the 1991 CFR 732.17(h)(7). CFR 938.16(h) is entirely dependent on notice were one and the same and that, We disagree that we have violated the this finding that the program therefore, there was nothing more notice and comment requirements of 5 enhancements are adequate, it would needed from Pennsylvania to satisfy 30 U.S.C. 553(c) and 30 CFR 732.17(h). We seem indisputable that comments or CFR 938.16(h). This question, we have provided the public a meaningful data contesting its adequacy constitute believe, is markedly different from the opportunity to participate in this relevant information for OSM to question, not open for comment, of rulemaking and have considered all consider under 30 CFR 732.17(h)(7). whether actions taken as described in relevant information in making our PennFuture further stated that the the program enhancements document decision on the proposal to remove the notice of proposed rulemaking prevents satisfied the 1991 notice on deficiencies required amendment at 30 CFR such information and that OSM will not in the ABS. 938.16(h). Our June 26, 2003, proposed consider comments on the adequacy of Nevertheless, we recognize that the rule specifically identified that the the bonding program enhancements June 26, 2003, Federal Register Notice proposal to remove 30 CFR 938.16(h) is document. based upon the information contained PennFuture has mischaracterized the may not have presented the scope of in the June 5, 2003, PADEP submission commenting opportunities provided by proposed action upon which comment that was submitted in response to our this rulemaking. As discussed in was invited with optimal clarity and 1991 notice. In addition, the proposed response to previous comments, the that, as a result, members of the public rule specifically requested comments on notice initiating this rulemaking activity may have reasonably believed that they whether we should consider the specifically identified that the proposal were invited to comment not only on information submitted by Pennsylvania to remove 30 CFR 938.16(h) is based whether resolution of the 1991 Notice sufficient to satisfy the required upon the information contained in the also resolved the first part of 30 CFR amendment at 30 CFR 938.16(h). June 5, 2003, PADEP submission that 938.16(h), but also on the sufficiency of The June 12, 2003, administrative addressed our 1991 notice. In addition, actions described in the program decision by OSM with regard to the the notice specifically requested enhancements document to address the satisfaction of the 1991 notice was a comments on whether we should deficiencies in the ABS, and, further, on separate and distinct action not subject consider the information submitted by the adequacy of Pennsylvania’s bonding to the public notice and review Pennsylvania sufficient to satisfy the program as a whole. For this reason, we procedures governing this rulemaking. required amendment at 30 CFR are addressing their comments on these To assist the public in commenting, 938.16(h). While comments addressing latter two issues. However, we continue OSM decided that it was appropriate to the basis for OSM’s administrative to maintain that they are outside the clarify in this rulemaking that it will decision that the 1991 notice has been scope of this rulemaking. consider comments to the extent that resolved are not part of this rulemaking, The PennFuture comments dated July they address the satisfaction of 30 CFR OSM is considering comments to the 28, 2003 (Administrative Record No. PA 938.16(h) and that comments that extent that they address the satisfaction 802.36), were made on behalf of the address the 1991 notice will be of the requirements at 30 CFR 938.16(h). Pennsylvania Federation of Sportsmen’s considered as non-responsive to this PennFuture has suggested that OSM Clubs, Inc., the Pennsylvania Chapter of rulemaking. has firmly committed itself to the the Sierra Club, Pennsylvania Trout, PennFuture commented that our pre- positions that the program Inc., Tri-State Citizens Mining Network, rulemaking commitment to finding that enhancements are adequate and that the Inc., and Mountain Watershed the program enhancements are adequate actuarial study requirement of 30 CFR Association, Inc. violate the notice and comment 938.16(h) therefore may be terminated. On July 25, 2003 (Administrative requirements of 5 U.S.C. 553(c) and 30 PennFuture stated that agencies engaged Record No. PA 802.35), PennFuture CFR 732.17(h) and is violating our in rulemaking or similar decisions that wrote us concerning our termination of obligation to serve as a fully informed, are subject to notice and comment the 1991 notice. PennFuture has impartial decision maker. procedures may not foreordain the requested that we incorporate the We disagree with the comment’s results by agreement. Additionally comments of its July 25 letter into the presumption that our involvement with PennFuture stated that OSM must treat comments on removal of 30 CFR the program enhancements document the adequacy of the ‘‘program 938.16(h). We will consider those has violated the notice and comment enhancements’’ as an open issue that it comments to the extent that they requirements of 5 U.S.C. 553(c) and 30 can decide only after inviting public address the removal of 30 CFR CFR 732.17(h) or that it compromises comment on the issue and giving due 938.16(h). However, comments that our role as a decision maker. Interaction consideration to the input in receives. pertain to whether the June 5, 2003, of our staff with State regulatory Finally, PennFuture stated that OSM submission satisfies the 1991 notice and authorities in the administration of their therefore should publish a new notice of comments on the 30 CFR 732.17(c) programs or in the development of State proposed rulemaking, expressly invite through (e) process are considered as policies and procedures and State comment on the adequacy of the non-responsive to this rulemaking. program amendments is a routine program enhancements to address the PennFuture commented that OSM is practice. That interaction does not alter concerns about the ability of the refusing to hear from the public on the the fact that once material is submitted bonding program to ensure the adequacy of the June 5, 2003, PADEP to us for consideration and a regulatory completion of the reclamation plans for submission of the program action is proposed in the Federal all operations on which the operators enhancements document and that in Register, as was done in this case, any default on their obligations to reclaim, doing so, OSM has violated the public’s final decision will be based upon the and then make its decision whether to right to a meaningful ‘‘opportunity to merits after full consideration of the delete the actuarial study requirement
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from 30 CFR 938.16(h) only after it commenting on the notice of proposed always has the option to terminate use appropriately considers all relevant rulemaking. Further, PennFuture’s of its ABS and require conventional information it receives. extensive comments on this rulemaking bonds to replace ABS coverage. In doing We disagree with the comments. The exhibit an extensive review of the basis so, a State does not have an obligation results of this rulemaking were not for proposing removal of 30 CFR to make its ABS solvent before foreordained by agreement. The fact that 938.16(h). converting to a conventional bonding OSM staff worked with PADEP staff in PennFuture commented that PADEP system (CBS) and requiring applicants developing the program enhancements has failed to provide the hard proof of to post conventional bonds and existing document does not constitute a binding financial soundness and sufficient permittees to replace ABS coverage with agreement on OSM as it relates to this reclamation performance required by 30 conventional bonds. Such a requirement rulemaking. As provided for under 30 CFR 938.16(h) and that until PADEP would be well beyond what is required CFR.732.17(c) through (e), OSM has submits an actuarial study or similar of a CBS under 30 CFR part 800 where separately exercised its decision-making analysis showing that its bonding posted bonds are deficient or insolvent, authority to review actions taken by program actually guarantees complete as well as beyond anything OSM would PADEP to address the issues identified reclamation of all permanent program be able to require should it withdraw in the 1991 notice and concluded that sites, the first requirement of 30 CFR approval of a State program because of the 1991 notice has been resolved. 938.16(h) will remain unresolved and an inadequate ABS. In the case of There is no requirement for public therefore must remain in place. Pennsylvania, which initiated this notice before revising or terminating We disagree with the comment, which process in 2001, terminating reliance such notices and the basis for our June misstates the scope of the required upon the ABS and requiring all 12, 2003, decision terminating the 1991 amendment. The scope of 30 CFR applicants and permittees to shift to notice is beyond the scope of this 938.16(h) was limited to deficiencies in conventional bonds did not require a rulemaking. Separately, we published a the ABS. PADEP has terminated program amendment because the proposed rulemaking to obtain public reliance upon the ABS for its regulatory program already included a CBS, which input on whether the information program and demonstrated that the ABS was being applied to underground submitted by Pennsylvania in the June did not play a role in bonding for the mines. 5, 2003, PADEP submission provides surface effects of underground mining. PennFuture commented that the ABS sufficient basis for the removal of the As such, the Pennsylvania regulatory Bond Forfeiture Discharge Workplan requirements at 30 CFR 938.16(h). We program now operates consistent with (Workplan) and the program are now making our final decision after 30 CFR 800.11(a) through (d) rather than enhancements document attempt to reviewing all responsive comments. under (e) as was cited in the required balance the books not by expanding the Therefore, further public participation amendment. While there are residual assets of the ABS to match the long-term in this decision is not warranted. issues in the transition from the ABS to treatment costs it must cover, but by PennFuture requested that OSM conventional bonds, they are adequately attempting to write off many of those publish a new notice that completely addressed in the program enhancements liabilities, and perhaps all of them. explains why it believes the program document. We disagree with the comment. We enhancements have been adequately PennFuture commented that the can find no provisions in the Workplan addressed. fundamental reason PADEP still is where PADEP proposes to ‘‘write-off’’ Again, we have decided not to adopt unable to submit an actuarial study or primacy discharges forfeited under the the suggestion to publish a new notice similar information demonstrating the Pennsylvania ABS. To the contrary, the with revised discussions of how the solvency of its bonding program is that Workplan provides for continued program enhancements document the program remains insolvent and revenue to the Fund; precludes the addresses the requirements at 30 CFR unable to guarantee treatment of all the addition of any more potential liabilities 938.16(h). The notice of proposed post-mining discharges emanating from to the Fund by halting its use for new rulemaking for this action provides a permanent program sites. PennFuture permits; reduces potential obligations to complete description of the events also indicated that in order to the Fund by requiring the replacement leading up to the requirements imposed demonstrate the ‘‘soundness or financial of ABS coverage with conventional at 30 CFR 938.16(h). The notice also solvency’’ of its bonding program, bonds or other financial guarantees at provides a summary of the activities PADEP first would have to make its existing permits; and provides a proposed and undertaken by PADEP bonding program fiscally sound. structured approach to achieving that potentially satisfy the outstanding Again, the comment misstates the reclamation of pollutional discharges by issues as well as a listing of the specific scope of the required amendment, targeting significant resources through a documents that form the basis for our which is limited to the ABS. In the case variety of financial and reclamation proposal. Because it was not reasonable of a State operated ABS, the State’s mechanisms at current primacy or practical for us to publish the obligation to expend funds to reclaim a forfeitures which fall under the ABS. voluminous documents in the Federal forfeited site extends to all assets of the Any initiative to eliminate the revenue Register, we made these documents ABS unless the scope of reclamation to the fund would be an amendment to available to the public in both paper and covered by the ABS is expressly limited. the program, which could not be electronic form upon request. In Where it is determined that an ABS implemented without going through the addition, we offered the opportunity for lacks sufficient assets to cover the full program amendment process, including a public hearing where interested cost of reclamation for which it is opportunity for public comment. persons could seek clarification of any applicable, as was the case with PennFuture commented that until points needed to facilitate their ability Pennsylvania in the required PADEP has actually implemented all of to provide meaningful comment. We amendment, the State must take steps to its ‘‘program enhancements’’ and believe that the Federal Register notice, sufficiently increase the assets of the actually shown that they achieve the the information we made available to ABS to cover existing and reasonably objectives applicable to all SMCRA the public, and the opportunity for a anticipated obligations. Efforts to fix an bonding programs, it cannot satisfy the public hearing provided sufficient ABS are evaluated on their ability to first requirement of 30 CFR 938.16(h) to information to persons interested in make the ABS solvent. However, a State ‘‘demonstrate’’ the adequacy and
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solvency of its bonding program. underground mines. We agree that of underground mining.’’ Volume 18, PennFuture further stated that because Pennsylvania needs to modify its Pennsylvania Bulletin, 3385, June 16, the program enhancements document program to include a mandatory bond 1990. (Emphasis added) Since the 1990 does not (and cannot) provide that adjustment provision. However, changes ‘‘clarified,’’ rather than proof, OSM must leave the first imposing such a required amendment is ‘‘created,’’ the reclamation fee requirement of 30 CFR 938.16(h) in beyond the scope of 30 CFR 938.16(h). exemption for underground operators, place, and must institute Part 733 In any case, a commitment to propose PADEP’s June 5, 2003 assertion that proceedings based on PADEP’s failure to such an amendment was included in the ‘‘[b]onding of surface impacts of satisfy it. program enhancement document. In underground mines has always been Again, the comment misstates the fact, the proposed amendment has now under a conventional bonding system’’ scope of the required amendment, been received by OSM and we have is consistent with previously approved which is limited to the ABS. In fact, if published it for comment in a separate and currently approved regulations. The we were to accept the comment and FR notice. discretionary authority under 25 Pa. initiate a Part 733 action and ultimately PennFuture commented that because Code 86.152 and 86.149(b)(7) provided take over all or a portion of the authorization in 25 Pa. Code PADEP with the option of adjusting Pennsylvania’s approved program or 86.17(e) to use reclamation fees on all bonds on sites it determined were substitute a Federal Program, we bond forfeiture sites is part of the OSM- covered by the ABS. In addition, there couldn’t begin to address the problems approved State regulatory program, were no program restrictions preventing caused by the deficiencies in the ABS as PADEP may not deviate from the terms PADEP from allocating the reclamation well as the program enhancements of that program through an unwritten fees collected to those sites where bonds document does. PADEP has provided a policy or a mere letter to OSM. were adjusted pursuant to the credible approach to addressing PennFuture asserted that the plain terms discretionary authority. The required outstanding bond program reclamation of the permit fee regulation at 25 Pa. amendment at 30 CFR 938.16(h) responsibilities and OSM has concluded Code 86.17(b), approved at primacy, requested that Pennsylvania clarify its that the required amendment at 30 CFR required payment of the $50 per acre fee existing procedures with regard to that 938.16(h) is satisfied. Therefore, OSM by everyone planning to engage in process. PADEP has done so, by stating has no basis for initiating proceedings surface mining activities (a term that in its June 5, 2003, letter that under 30 CFR part 733. included surface activities associated underground mines are not subject to PennFuture raised questions on with an underground mining operation). the reclamation fee, and that the ABS PADEP’s June 5, 2003, letter regarding That provision was deleted in 1991 and moneys are not used for reclaiming the payment of reclamation fees by replaced with 25 Pa. Code 86.17(e), underground mines. We believe these underground mine operators. which expressly exempts underground statements are legally supported by the The 1991 rulemaking at 30 CFR operators from the permit fee flexible language contained in the 938.16(h) required Pennsylvania to requirement, but does not expressly State’s regulations at 25 Pa. Code 86.17 clarify the procedures to be used for prohibit the use of fee moneys to and 86.152. Moreover, and as stated bonding the surface impacts of reclaim surface effects of underground above, PADEP is now requiring all mine underground mines and the procedures mining. PennFuture further stated that if permits to post a full cost reclamation to reclaim underground mining permits PADEP wants to place such a restriction bond and PADEP has proposed a where the operator has defaulted on the on the use of the funds, the only way number of enhancements, as well as an obligation to reclaim. OSM imposed the it can do so is through a program amendment making it clear that bond requirement to clarify bonding forfeiture amendment. PennFuture believes that adjustment will be mandatory when funding procedures and the the explanation presented in PADEP’s adjustment is needed. responsibilities of the ABS. Bond June 5, 2003, letter does not resolve, but PennFuture commented that the program shortfalls have been rather highlights, an inconsistency PADEP technical guidance document documented by the 1993 Milliman & between the terms of the approved that remains in effect provides that the Robertson actuarial study and the Pennsylvania program and its mine drainage treatment component for February 2000 PADEP Assessment implementation and that the an underground anthracite (see PADEP Report. Because PADEP has clarified inconsistency can be ‘‘clarified’’ in only Technical Guidance Document No. 563– that it has not been relying on the ABS one of two ways: (1) PADEP’s 2504–45 1, ‘‘Bonding: Anthracite for bond coverage for the surface effects elimination of the unpromulgated and Underground Mines’’ (February 15, of underground mines that portion of unapproved restriction on the use of the 1997)) is limited to the cost of replacing the required amendment has been ABS reclamation fees, or (2) PADEP’s the treatment system. satisfied. submission and our approval of a We appreciate the commenter PennFuture commented that program amendment incorporating the pointing out that Pennsylvania’s 1997 statements that underground mines are restriction that PADEP claims to apply guidance document is not consistent bonded under a CBS is erroneous in practice. with our 1997 acid mine drainage because, lacking a mandatory site- We do not agree with PennFuture’s (AMD) policy statement issued shortly specific bond adjustment provision, assertion that 25 Pa. Code 86.17(b) after their guidance document (while Pennsylvania’s approved program has prevented PADEP from establishing and the Pennsylvania guidance document never included a conventional SMCRA operating within the boundaries of the reflects Federal bonding requirements bonding system. Pennsylvania ABS. Pennsylvania’s for underground mines promulgated in We do not agree with this comment. regulation at 25 Pa. Code 86.17(b) 1980, those requirements were The fact that Pennsylvania did not have provided the authority to collect a simplified with that express provision a mandatory adjustment provision does permit application fee. When limiting bonding to the cost of removing not alter the fact that, under its Pennsylvania deleted subsection (b) and or replacing the treatment system being approved program, it had been added subsection (e) in 1990, it stated removed in 1983). However, that accepting conventional bonds as that ‘‘[s]ection 86.17 is changed to inappropriate limitation in the guidance providing full bond coverage, separate clarify that the $50 per acre reclamation document is not germane to the from the ABS, for the surface effects of fee does not apply to the surface effects requirements of 30 CFR 938.16(h) nor
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our basis for proposing to remove it. Please review our responses to a sites covered by the ABS. We have Therefore, the comment is outside the number of similar comments above. consistently judged efforts to correct scope of this action. PADEP’s June 5, 2003, submission does identified deficiencies in an ABS by that PennFuture indicated that the satisfy the requirements of 30 CFR same standard. However, this is the first program enhancements document 938.16(h). In addition, PADEP has time we have faced a situation in which suggests that PADEP will include long provided a credible approach to a State has decided to replace ABS bond term treatment costs in calculating the addressing residual reclamation coverage for new and existing permits water treatment component of obligations covered by the ABS. These with conventional bonds rather than conventional bonds, but the formula it include the provision of $5.5 million for trying to fix a deficient ABS and provides (in Appendix 1) incongruously land reclamation, the conversion of continue reliance upon it. Again, when does not take into account the costs of active mine permits to full cost bonding, the bond coverage being provided to replacing the treatment system. and the development of a long-term operations as part of an approved First, the approach to calculating treatment approach to pollutional program under 30 CFR 800.11(e) is costs for conventional bonds is outside discharges on active and forfeited mine determined to be insufficient, it is the scope of the 1991 rulemaking sites. Forfeiture situations such as those appropriate to require replacement of codified at 30 CFR 938.16(h) and our presented by C&K Coal Company are that bond coverage with a conventional basis for proposing to remove it. In any unfortunate and are representative of bond posted under 30 CFR 800.11(a) case, we have found that PADEP’s the types of challenges that PADEP faces through (d). That is what OSM would approach to calculating the annual as it addresses those residual do if we were to institute a Federal treatment cost includes a component for obligations. We have committed to a bonding program in Pennsylvania or recapitalization. Our technical staff has cooperative partnership with PADEP any other State with an ABS. However, been working with PADEP on refining that will target the resources of both there is no obligation to make the bond treatment cost calculations and confirms agencies towards the implementation of coverage under subsection (e) solvent that the cost of reconstructing the the bond program enhancements put before doing so. That does not mean that discharge treatment system is included. forth by PADEP under the program the obligation to treat forfeiture Please note that PADEP plans to address enhancements document. We are discharges goes away. That obligation this issue through a specific guidance confident that the shift from the ABS to remains first with the permittee. document that will be open to public conventional bonds (which brings the Second, it resides with the bond comment. We encourage you to contact Pennsylvania program into conformance coverage to the extent funds are PADEP and notify them of your interest with Federal requirements) together available. However, Pennsylvania, or to review and comment on new and with ongoing and planned any other State, is only obligated to treat revised technical guidance documents. enhancements to address the residual forfeiture discharges to the extent bond PennFuture commented that the ABS obligations, constitutes the best funds are available. method for calculating the bond for an approach to resolving residual PennFuture stated that by using a underground mine can be ‘‘clarified’’ obligations of the ABS such as the one watershed approach to address primacy once and for all only if it is part of the referenced in the comment. forfeiture discharges, OSM is attempting OSM-approved, OSM-enforceable State PennFuture commented that we to hide the failure of PADEP and OSM regulatory program. should allow the required program to ensure full implementation of the Underground bond calculation amendment codified at 30 CFR reclamation plan for every primacy procedures are part of the approved 938.16(h) to remain in place, and should forfeiture site. program. Consistent with Federal now institute the Parp 733 proceedings We do not believe this comment is regulatory programs, States may we should have initiated in early 1992 within the scope of this rulemaking. implement bonding calculations and based on PADEP’s failure to satisfy the However, we will respond. We support bond rates through agency guidelines. two requirements codified therein. PADEP’s approach to address all mine Pennsylvania maintains bond rate Please see our response above to drainage problems in the guidelines through its Technical similar comments. The required Commonwealth, including those from Guidance Document system. We have amendment at 30 CFR 938.16(h) has primacy forfeitures, on a watershed generally not required the submission of been satisfied and we have no basis for basis. Given the range of State and those guidance documents as program initiating proceedings under 30 CFR Federal government programs and amendments nor would we expect to part 733. citizen based mine drainage treatment unless they seemed to conflict with the The following comments from efforts ongoing in Pennsylvania, PADEP approved program. In any case, the PennFuture are derived from its letter to must carefully consider each primacy method for calculating the bond amount us dated July 25, 2003, regarding our forfeiture discharge in the context of all for conventional bonds required to be action in terminating the 1991 notice. pollution in the watershed. Without posted for the surface effects of As we noted above, we are identifying such an approach, scarce programmatic underground mines is beyond the scope and responding to these comments only and technical resources could be of this rulemaking which, as previously to the extent that they arguably apply to wasted. SMCRA and the 30 CFR part explained, is limited to the ABS. removal of the required amendment at 800 bonding regulations do not prohibit PennFuture commented that PADEP’s 30 CFR 938.16(h) and have not already the regulatory authority from June 5, 2003, submission does not been addressed above. implementing discharge abatement satisfy the first requirement of 30 CFR PennFuture stated that OSM has flip- activities in the context of an entire 938.16(h) to demonstrate that flopped from its previous insistence that watershed. Pennsylvania’s bonding program all forfeiture discharges receive timely PennFuture stated that it will take guarantees timely and complete treatment. years for the agencies to perform all the reclamation of all bond forfeiture sites. We do not agree with this comment. studies, calculate all the wasteload PADEP has not submitted such proof, We have consistently required, in allocations, create the priority lists, and the unfolding situation with C&K Pennsylvania as well as other states, evaluate the available funding and other Coal Company shows that it is unable to that any ABS must have sufficient assets mechanisms, and confront the hard do so. to complete the reclamation plan of all decisions to formally abandon certain
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primacy discharges. PennFuture stated We do not agree with the comment. efforts to effectively allocate staff that in the meantime, the primacy PADEP’s plan for converting existing resources or to improve the forfeiture discharges will continue to operations from the ABS to environmental outcome of program flow without treatment, and the list of conventional bonds was designed to operations. See 56 FR 55080, 55084 them will grow longer. maximize the number of sites obtaining (October 24, 1991) (‘‘To the extent that While we do not believe it is within conventional bonds and minimize the [State programs] provide only for a the scope of this rulemaking, we agree number of forfeitures that might be ranking of sites for reclamation without with the comment that collecting the triggered by the conversion process. It compromising the requirement that all appropriate scientific information and also addresses the water treatment sites for which bonds were posted be developing effective abatement plans component in a manner consistent with properly reclaimed, however, they are may require a considerable amount of OSM’s 1997 AMD policy statement as not inconsistent with * * * SMCRA time. However, PADEP and we have applied under programs with ***’’) Likewise, there are no committed to a joint agency cooperative conventional bonds. provisions under SMCRA or the 30 CFR approach to developing watershed plans PennFuture submitted a list of part 800 bonding regulations that that will successfully abate forfeiture activities ongoing in the Pennsylvania prevent the regulatory authority discharges. We acknowledge that until regulatory program, in support of a implementing discharge abatement such time as a discharge abatement plan contention that Pennsylvania’s activities in the context of an entire becomes effective, certain discharges transition to a CBS is not complete. watershed. OSM supports PADEP’s may go untreated. PennFuture commented that based upon approach to address all mine drainage PennFuture commented that the the submitted reasons, Pennsylvania is problems in the Commonwealth, program enhancements document fails still operating an ABS. including those from primacy to show that sufficient financial We acknowledge that the Fund still forfeitures, on a watershed basis. As we guarantees have been or will be posted exists. However, with regard to the noted above, PADEP must carefully for active and inactive discharge sites to comment and its relevance to the consider each primacy forfeiture prevent the discharges from going removal of the required amendment at discharge in the context of all pollution untreated after forfeiture occurs. 30 CFR 938.16(h), we note that PADEP, in the watershed. Without such an Again, while we believe this comment rather than continuing efforts to make approach, programmatic and technical is outside the scope of this rulemaking, the ABS solvent, is now requiring all resources could be wasted. We disagree we will respond. PADEP has invested a mine permits to post a full cost that the discharge Workplan would great deal of effort in developing a reclamation bond. We also acknowledge allow PADEP to ‘‘write-off’’ sites based remedy to the inadequacies of the that, through implementation of the upon a treatment threshold established classic bonding approach to long-term workplan described in the on a priority list. We expect that some discharges. In the short-term, it has used enhancements document, PADEP is discharges will be addressed under its enforcement and compliance process continuing efforts to further reduce the abatement plans where treatment may to initiate a number of treatment trusts residual potential obligations to the not be at the specific discharge location on active mine sites. It has invested staff Fund by obtaining other forms of or may be carried out in combination resources in the development of a financial guarantees for those potential with non-primacy forfeiture discharges. workable trust approach. For the long- obligations where possible. However, However, we anticipate that all primacy term, PADEP has committed a process that does not alter the fact that the forfeiture pollutional discharges will be where operators will have to put up a required actions described in 30 CFR addressed by PADEP. separate bond that will provide for long- 938.16(h) are now moot because PennFuture commented that OSM has term treatment in the event of a Pennsylvania chose a different course to previously ruled on the prioritization of forfeiture. If operators refuse or are address the issues raised. bond forfeiture reclamation in the unable to come up with the bond, PennFuture commented that the October 24, 1991, Federal Register (56 PADEP will use its enforcement and Workplan is inconsistent with SMCRA FR 55080), when it stated that ‘‘neither compliance process to have the operator because it allows primacy discharges to SMCRA nor the Federal regulations commit to building a financial be lumped with all other post mining provide for prioritizing sites for assurance (trust) over a specified period discharges under a prioritized reclamation, since both presume that of time. PADEP’s approach is within reclamation approach. That process, site-specific bonds, together with their approved statutory and regulatory PennFuture contends, is inconsistent necessary supplemental funding from requirements and will take some time to with SMCRA. PennFuture further stated alternative bonding systems, will be be fully implemented. We agree that it that, under SMCRA, primacy sites are immediately available and adequate to is possible that certain sites may forfeit legally distinctive and are not supposed cover reclamation costs for each site.’’ their bonds leaving insufficient funds to be thrown in with every other 56 FR at 55084. for the immediate treatment of any abandoned coal mine in the State and In response, we note that our October pollutional discharges. In such cases, that the Workplan explicitly allows for 24, 1991, finding, also stated that PADEP has committed to addressing the primacy forfeiture discharges to go prioritization would be inconsistent sites as part of their watershed approach without treatment based on the with SMCRA where it ‘‘would allow under the Workplan. unavailability of funds, and it high priority sites to be reclaimed while PennFuture commented that the bond effectively writes off some primacy neglecting lower priority sites.’’ Id. The conversion program was a misdirected discharges permanently because they Workplan calls for reclamation, effort because instead of focusing on the fall below the treatment threshold on including water treatment, for all major problem of mine drainage the priority list. permanent program sites, even though treatment guarantees, PADEP conducted We do not agree that the Workplan is some will have to wait longer than a multi-year effort to revamp parts of its inconsistent with SMCRA. As we have others, and some will be treated on a program for guaranteeing land stated in a previous decision on a watershed basis. Neither of these reclamation, which consumed Pennsylvania bonding amendment, approaches equates to a ‘‘write-off’’ of considerable resources of both mine SMCRA does not prevent regulatory permanent program site reclamation operators and PADEP staff. authorities from prioritizing reclamation costs.
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In support of its previous comment programmatic responsibility to assure PennFuture specifically questioned the that OSM and PADEP cannot ‘‘write- that sufficient funds are available in the availability of Growing Greener grants off’’ outstanding obligations of an ABS, event of forfeiture does not make the and the 10% Set-Aside under the PennFuture referenced past OSM State liable for completing the SMCRA Abandoned Mine Land decisions in Missouri (56 FR at 21281), reclamation plan. Program. Kentucky (57 FR at 37090), and West Penn Future commented that the While we believe this comment falls Virginia (60 FR at 51918) (codifying Workplan wrongly classifies Title V outside the scope of this rulemaking, we quoted language at 30 CFR 948.16(lll)). primacy bond forfeiture sites as a subset will address it. We do not agree with the We do not agree that The Workplan of ‘‘[t]he universe of abandoned mine comment. The Workplan provides for will ‘‘write-off’’ primacy forfeiture lands,’’ and that PADEP has decided PADEP to develop and maintain a discharges. The Workplan provides for that discharges from primacy forfeiture statewide strategy using a number of PADEP to develop and maintain a sites are properly classified as nonpoint financial and reclamation resources. statewide strategy and to dedicate staff source discharges for TMDL purposes. Growing Greener Grants and the 10% resources expeditiously to address Penn Future takes issue with the letter Set-Aside represent potentially primacy forfeiture discharges. The from the Environmental Protection significant resources and have been Workplan also provides for periodic Agency dated November 7, 2001, that used to achieve meaningful reclamation reporting on the status of the discharge discusses the use of TMDL’s when in the treatment of post-mining inventory, reclamation addressing discharges on abandoned pollutional discharges. While the extent accomplishments, and to provide us mine sites. of their contribution will have to be with information on program issues While we believe this comment falls determined on an annual basis, past encountered during the process. In outside the scope of this rule making, accomplishments demonstrate their addition, the Workplan makes we will address it. We disagree with the value to the overall Workplan approach information on the statewide strategy, Penn Future’s characterization of the to pollution abatement. site-specific abatement plans and letter with regard to the Workplan. The PennFuture commented that abatement schedules available to the Workplan does not address whether treatment bonds and trust funds will not public. We have concluded that the specific discharges are point or non- prevent future primacy forfeitures. development of a statewide strategy and point sources. Primacy forfeiture PennFuture stated that although the site-specific plans with periodic discharges will be addressed by PADEP posting of full-cost water treatment reporting and public involvement through a variety of financial and bonds or, as an alternative to those provides a process that will address all reclamation mechanisms consistent bonds, establishment of treatment trusts primacy forfeiture discharges in a with Pennsylvania’s approved may curb the rate of growth of the ABS manner that will maximize the Environmental Protection Agency (EPA) funding shortfall, they will not prevent environmental benefits on a watershed water quality program. The Workplan that shortfall from expanding or the list basis. At the same time, we reiterate an includes a commitment by PADEP to of untreated primacy forfeiture earlier response that pointed out that make discharge abatement plans discharges from lengthening. converting from an ABS that is deficient available to the public. At that time, the While we believe this comment is to conventional bonds is quite distinct public will have an opportunity to outside the scope of this rulemaking, we from efforts to maintain and correct comment on the treatment of discharges agree that bonds and trusts funds deficiencies in an ABS, as was done by on a site-by-site basis. specifically covering the treatment of Missouri, Kentucky and West Virginia. Penn Future commented that the pollutional may not be a final solution Again, Pennsylvania is not obligated to Workplan fails to mention any for every discharge. However, we make its ABS solvent before replacing discharges addressed by remining or the believe these efforts will significantly the ABS with conventional bonds. ‘‘rec-in-lieu’’ program. reduce the potential shortfall of the PennFuture commented that it While we believe this comment falls ABS. PADEP has invested a great deal disagreed with the discussion in the outside the scope of this rule making, of effort in developing a remedy to the program enhancements document that we will address it. The value of inadequacies of the classic bonding dealt with bond program ‘‘liability’’ remining efforts in Pennsylvania is well approach to long-term discharges. In the versus ‘‘programmatic accountability.’’ known and OSM and PADEP chose to short-term, it has used its enforcement PennFuture stated that the document not devote the considerable space and compliance process to initiate a makes no effort to explain the needed to establish the value of the number of treatment trusts on active distinction between the State not being activity. Persons interested in the mine sites. It has invested staff ‘‘liable’’ for treatment costs on bond accomplishments of the remining resources to the development of a forfeiture sites and it having program in Pennsylvania can visit the workable trust approach. For the long- ‘‘programmatic accountability’’ to EPA website and obtain a copy of the term, PADEP has committed to a ensure there is sufficient funding document ‘‘Coal Remining—Best process whereby operators will have to available for that purpose. Management Practices Guidance put up a separate bond that will provide While this comment is outside the Manual’’ (EPA 821–B–01–010). Under for long-term treatment in the event of scope of this rulemaking we will clarify Section 6 of that document, there is a a forfeiture. If operators refuse or are the point. Again, the operator remains considerable amount of information on unable to come up with the bond, liable for all unfinished reclamation the water quality accomplishments of PADEP will use its enforcement and obligations, including water treatment at remining in Pennsylvania. Both compliance process to force the operator a forfeited site. The regulatory authority reclamation mechanisms, and to commit to building a financial has an obligation to use forfeited and/ particularly remining, present assurance (trust) over a specified period or ABS funds to complete the opportunities for PADEP to address of time. This is an approach PennFuture reclamation plan to the extent funds are primacy forfeiture discharges. supported in a request for comments on available. The regulatory authority also PennFuture commented that PADEP OSM’s Advance Notice of Proposed has programmatic accountability to is unable to pledge future use or Rulemaking published in the Federal assure that there are sufficient funds availability of certain resources as part Register on May 17, 2002 regarding available. However, failure to fulfill its of the discharge abatement Workplan. AMD bonding issues (67 FR 35070). We
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believe that treatment bonds and trust not put Pennsylvania operators at a many impoundments in Pennsylvania funds will lead to successful treatment competitive disadvantage. attached to bankrupt mines that have of many more discharges than could be In its third point, PCA indicated that not been abandoned. MSHA noted that successfully treated employing the there exists a bonding crisis in the the conversion of all active and inactive classic approach to conventional mining industry making it difficult for mining permits to a full cost bonding, and will also remove potential operators to obtain bonds and it believes conventional bond should allow obligations to the ABS. that surety bonding will not be available Pennsylvania to reclaim these sites. PCA submitted comments on July 28, to address postmining discharges. PCA MSHA concluded by noting that it had 2003 (Administrative Record No. PA wants us and PADEP to acknowledge no objections to removing the required 802.37). PCA commented that it the need to review options in light of amendment at 30 CFR 938.16(h). supported the removal of the required the bonding crisis and to ensure that our We agree with MSHA’s comments. amendment at 30 CFR 938.16(h). efforts to implement the joint workplan Environmental Protection Agency (EPA) However, PCA believed that it was are designed to avoid further worsening Comments important that the final rulemaking of bonding difficulties. clarify the nature of the removal through We acknowledge the problems Under 30 CFR 732.17(h)(11)(i) we four points. We will respond to each operators have in securing bonds. We requested comments on the amendment point in turn. believe that the trust fund option from EPA (Administrative Record No. In its first point, PCA indicated that described as part of the bonding PA 802.31). EPA responded on July 17, it believes that Pennsylvania’s proposal enhancements document is a valid 2003 (Administrative Record No. PA for financial assurances at sites with alternative that will assist operators in 802.34) that it appears that PADEP has post mining discharges is more detailed their meeting reclamation requirements provided sufficient information to and advanced than any proposed without adding to the burden of justify removal of the required Federal regulatory requirements. PCA securing conventional bonds. The trust amendment at 30 CFR 938.16(h). EPA wanted us to state clearly that fund provisions will also assist in further indicated that it determined that Pennsylvania may make changes to its securing the release of conventional there are no apparent inconsistencies proposed submission and that changes bonds, thus assisting operators to secure with the Clean Water Act or other will be subject to public participation. conventional bonds for other minesites. statutes or regulations under its We acknowledge PCA’s support of In its fourth and final point, PCA jurisdiction. removal of the required amendment. As indicated that operators have been V. OSM’s Decision we noted earlier, in our proposed rule treating discharges from minesites for of June 26, 2003, we requested years. Often, these treated discharges are Based on the above findings, we are comments on PADEP’s submission of entering streams that are severely removing the required amendment at 30 the program enhancements document as degraded which means the treatment CFR 938.16(h). it related to removal of the required has little or no benefit to the hydrologic VI. Procedural Determinations amendment at 30 CFR 938.16(h). We balance of the receiving watershed. In believe that Pennsylvania has the those cases, PCA indicated that it may Executive Order 12630—Takings existing statutory and regulatory not be prudent for PADEP to require This rule does not have takings authority to implement the provisions operators to post a conventional bond or implications. This determination is discussed in the document. As such, a trust fund for perpetual treatment. based on the analysis performed for the there is no need for the document to be As previously stated, the operator counterpart Federal regulation. submitted to us for processing as a remains liable for completing the program amendment under 30 CFR part reclamation plan, including water Executive Order 12866—Regulatory 732. While Pennsylvania is free to make treatment, and the regulatory authority Planning and Review changes to the document, we will be has a programmatic accountability to This rule is exempted from review by closely monitoring any such changes to assure that adequate financial resources the Office of Management and Budget insure that they are based on are available in the event of bond under Executive Order 12866. Pennsylvania’s approved program. Any forfeiture. Therefore, we do not agree Executive Order 12988—Civil Justice changes that are not based on the with this comment. Reform approved program will be subject to the program amendment standards of 30 Federal Agency Comments The Department of the Interior has CFR part 732, including public Under 30 CFR 732.17(h)(11)(i) and conducted the reviews required by participation. section 503(b) of SMCRA, we requested section 3 of Executive Order 12988 and In its second point, PCA is concerned comments on the amendment from has determined that this rule meets the with Pennsylvania’s plans to move various Federal agencies with an actual applicable standards of subsections (a) ahead with implementing a trust fund or potential interest in the Pennsylvania and (b) of that section. However, these system that could put operators at a program (Administrative Record No. PA standards are not applicable to the competitive disadvantage because it is 802.31). On July 3, 2003 (Administrative actual language of State regulatory more detailed, comprehensive and Record No. PA 802.32), MSHA’s Wilkes- programs and program amendments rigorous than other states require. PCA Barre Office wrote to us noting that it because each program is drafted and is also concerned that the trust fund had no comments on the proposal. promulgated by a specific State, not by system could put some operators out of On July 16, 2003 (Administrative OSM. Under sections 503 and 505 of business altogether. PCA requests that Record No. PA 802.33), MSHA’s New SMCRA (30 U.S.C. 1253 and 1255) and PADEP implement a treatment trust Stanton Office wrote to us indicating the Federal regulations at 30 CFR fund system that is no more stringent that before a mine is abandoned, MSHA 730.11, 732.15, and 732.17(h)(10), than any Federal program. requires that all underground mine decisions on proposed State regulatory We disagree with the premise of the openings are sealed and refuse piles and programs and program amendments comment. We believe that the steps impoundments are abandoned submitted by the States must be based PADEP is taking are consistent with according to its requirements at 30 CFR solely on a determination of whether the Federal requirements and, as such, will 77.215. MSHA observed that there are submittal is consistent with SMCRA and
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its implementing Federal regulations major Federal actions within the regulation did not impose an unfounded and whether the other requirements of meaning of section 102(2)(C) of the mandate. 30 CFR parts 730, 731, and 732 have National Environmental Policy Act (42 List of Subjects in 30 CFR Part 938 been met. U.S.C. 4332(2)(C)). Intergovernmental relations, Surface Executive Order 13132—Federalism Paperwork Reduction Act mining, Underground mining. This rule does not have Federalism This rule does not contain Dated: September 18, 2003. implications. SMCRA delineates the information collection requirements that Brent Wahlquist, roles of the Federal and State require approval by OMB under the governments with regard to the Paperwork Reduction Act (44 U.S.C. Regional Director, Appalachian Regional Coordinating Center. regulation of surface coal mining and 3507 et seq.). ■ reclamation operations. One of the For the reasons set out in the preamble, Regulatory Flexibility Act purposes of SMCRA is to ‘‘establish a 30 CFR part 938 is amended as set forth nationwide program to protect society The Department of the Interior below: certifies that this rule will not have a and the environment from the adverse PART 938—PENNSYLVANIA effects of surface coal mining significant economic impact on a operations.’’ Section 503(a)(1) of substantial number of small entities ■ 1. The authority citation for part 938 SMCRA requires that State laws under the Regulatory Flexibility Act (5 continues to read as follows: U.S.C. 601 et seq.). The State submittal, regulating surface coal mining and Authority: 30 U.S.C. 1201 et seq. reclamation operations be ‘‘in which is the subject of this rule, is based accordance with’’ the requirements of upon counterpart Federal regulations for § 938.16 [Amended] SMCRA, and section 503(a)(7) requires which an economic analysis was ■ 2. Section 938.16 is amended by that State programs contain rules and prepared and certification made that removing and reserving paragraph (h). such regulations would not have a regulations ‘‘consistent with’’ [FR Doc. 03–25300 Filed 10–6–03; 8:45 am] regulations issued by the Secretary significant economic effect upon a BILLING CODE 4310–05–P pursuant to SMCRA. substantial number of small entities. In making the determination as to whether Executive Order 13175—Consultation this rule would have a significant and Coordination With Indian Tribal economic impact, the Department relied LIBRARY OF CONGRESS Governments upon data and assumptions for the Copyright Office In accordance with Executive Order counterpart Federal regulations. 13175, we have evaluated the potential Small Business Regulatory Enforcement 37 CFR Part 260 effects of this rule on Federally- Fairness Act recognized Indian tribes and have [Docket No. 2001–1 CARP DSTRA2] determined that the rule does not have This rule is not a major rule under 5 substantial direct effects on one or more U.S.C. 804(2), the Small Business Determination of Reasonable Rates Indian tribes, on the relationship Regulatory Enforcement Fairness Act. and Terms for the Digital Performance between the Federal Government and This rule: (a) Does not have an annual of Sound Recordings by Preexisting Indian tribes, or on the distribution of effect on the economy of $100 million; Subscription Services (b) Will not cause a major increase in power and responsibilities between the AGENCY: Copyright Office, Library of costs or prices for consumers, Federal Government and Indian Tribes. Congress. Pennsylvania does not regulate any individual industries, Federal, State, or ACTION: Final rule: technical Native Tribal lands. local government agencies, or geographic regions; and (c) Does not amendment. Executive Order 13211—Regulations have significant adverse effects on SUMMARY: The Copyright Office of the That Significantly Affect The Supply, competition, employment, investment, Distribution, or Use of Energy Library of Congress is making a non- productivity, innovation, or the ability substantive technical amendment to its On May 18, 2001, the President issued of U.S.-based enterprises to compete final regulations adjusting the royalty Executive Order 13211 which requires with foreign-based enterprises. This rates and terms under the Copyright Act agencies to prepare a Statement of determination is based upon the fact for the statutory license for the use of Energy Effects for a rule that is (1) that the Pennsylvania submittal, which sound recordings by preexisting considered significant under Executive is the subject of this rule, is based upon subscription services for the period Order 12866, and (2) likely to have a counterpart Federal regulations for January 1, 2002, through December 31, significant adverse effect on the supply, which an analysis was prepared and a 2007. distribution, or use of energy. Because determination made that the Federal DATES: Effective Date: August 4, 2003. this rule is exempt from review under regulation was not considered a major Applicability Date: The regulations Executive Order 12866 and is not rule. apply to the license period January 1, expected to have a significant adverse Unfunded Mandates 2002 through December 31, 2007. effect on the supply, distribution, or use FOR FURTHER INFORMATION CONTACT: of energy, a Statement of Energy Effects This rule will not impose an David O. Carson, General Counsel, or is not required. unfunded mandate on State, local, or tribal governments or the private sector Tanya M. Sandros, Senior Attorney, National Environmental Policy Act of $100 million or more in any given Copyright Arbitration Royalty Panel, This rule does not require an year. This determination is based upon P.O. Box 70977, Southwest Station, environmental impact statement the fact that the Pennsylvania submittal, Washington, D.C. 20024. Telephone: because section 702(d) of SMCRA (30 which is the subject of this rule, is based (202) 707–8380. Telefax: (202) 252– U.S.C. 1292(d)) provides that agency upon counterpart Federal regulations for 3423. decisions on proposed State regulatory which an analysis was prepared and a SUPPLEMENTARY INFORMATION: Section program provisions do not constitute determination made that the Federal 106(6) of the Copyright Act, title 17 of
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the United States Code, gives copyright PART 260—RATES AND TERMS FOR the Agency receives adverse comments owners of sound recordings an PREEXISTING SUBSCRIPTION or a request for public hearing, we will exclusive right to perform their SERVICES’ DIGITAL TRANSMISSIONS withdraw this direct final rule by copyrighted works publicly by means of OF SOUND RECORDINGS AND THE publishing a timely withdrawal in the a digital audio transmission. This right MAKING OF EPHEMERAL Federal Register. is limited by section 114(d), which PHONORECORDS The incorporation by reference of allows certain noninteractive digital certain publications listed in the rule is ■ audio services to make digital 1. The authority citation for part 260 approved by the Director of the Federal transmissions of a sound recording continues to read as follows: Register as of December 8, 2003. under a compulsory license, provided Authority: 17 U.S.C. 114, 801(b)(1). ADDRESSES: To request a public hearing, that the services pay a reasonable § 260.7 [Amended] please contact Anne Pastorkovich, royalty fee and comply with the terms Attorney/Advisor, Transportation & ■ of the statutory license. Moreover, these 2. Section 260.7 is amended by Regional Programs Division, U.S. services may make any necessary removing ‘‘the cost of the administration Environmental Protection Agency, 1200 ephemeral reproductions to facilitate of the collection and distribution of the Pennsylvania Avenue, NW., (6406J), the digital transmission of the sound royalty payments’’ and adding ‘‘any Washington, DC 20460 or by e-mail to recording under a second license set costs deductible under 17 U.S.C. [email protected]. No forth in section 112(e) of the Copyright 114(g)(3)’’ in its place. confidential business information (CBI) Act. Dated: September 5, 2003. should be submitted by e-mail. On June 18, 2003, the Copyright Marybeth Peters, EPA has established a public docket Office published final regulations Register of Copyrights. for this direct final rule under Docket ID effectuating an agreement on the terms James H. Billington, No. OAR–2003–0050, which is available that would govern SoundExchange 1 for public viewing at the Air and when it functions as the designated The Librarian of Congress. [FR Doc. 03–25381 Filed 10–6–03; 8:45 am] Radiation Docket and Information agent for the purpose of receiving Center (EPA/DC) in the EPA Docket BILLING CODE 1410–33–P royalty payments and statements of Center, EPA West, Room B102, 1301 account from nonexempt subscription Constitution Avenue, NW., Washington digital transmission services for DC. The EPA Docket Center Public ENVIRONMENTAL PROTECTION transmissions of sound recordings made Reading Room is open from 8:30 a.m. to AGENCY under a statutory license prior to 4:30 p.m., Monday through Friday, January 1, 2002. 68 FR 36469 (June 18, 40 CFR Part 80 excluding legal holidays. The telephone 2003). Pursuant to the agreement, the number for the Reading Room is (202) Office amended § 260.7 by removing the [FRL–7566–6 ] 566–1744, and the telephone number for word ‘‘fees’’ and replacing it with the the Air and Radiation Docket and Use of Alternative Analytical Test word ‘‘payments.’’ 68 FR at 36470. Information Center is (202) 566–1742. Methods in the Reformulated Gasoline, On July 3, 2003, the Copyright Office An electronic version of the public Anti-Dumping, and Tier 2 Gasoline published final regulations docket is available through EPA Dockets Sulfur Control Programs implementing an agreement to adjust (EDOCKET) at http://www.epa.gov/ the royalty rates and terms for the AGENCY: Environmental Protection edocket. Use EDOCKET to submit or section 114 license for the use of sound Agency (EPA). view public comments, access the index recordings by preexisting subscription ACTION: Direct final rule. listings of the contents of the public services for the current license period— docket, and to access those documents January 1, 2002, through December 31, SUMMARY: This direct final rule allows in the public docket that are available 2007. 68 FR 39837 (July 3, 2003). the use of certain alternative analytical electronically. Once in the system, Pursuant to the second agreement, the test methods for measuring sulfur in select ‘‘search,’’ then key in the docket Office amended § 260.7 once again; gasoline and butane to be used in the ID number identified above. however, the amendatory language did Federal reformulated gasoline (RFG) and Any comments related to the direct not reflect the aforementioned anti-dumping program and the Federal final rule should be submitted to EPA amendment made on June 18. As a gasoline sulfur control program. This within 30 days of this notice, and result, the intended amendment to the direct final rule also establishes that a according to the following detailed final clause of § 260.7 could not be refinery may use any reasonable test instructions: Submit your comments to effectuated. The technical amendment method designed for measuring the EPA online using EDOCKET (our published today rectifies this oversight, sulfur content of butane until January 1, preferred method) or by mail to EPA correctly identifying the language being 2004. After that date, either the Docket Center, Environmental amended. designated analytical test method or an Protection Agency (6102T), 1200 List of Subjects in 37 CFR Part 260 allowed alternative analytical test Pennsylvania Avenue, NW, Washington, method must be used. The purpose of Copyright, Digital audio DC 20460. today’s rule is to grant temporary EPA’s policy is the public comments, transmissions, Performance right, Sound flexibility until we issue a recordings. whether submitted electronically or in comprehensive performance-based paper format, will be made available for Final Regulation analytical test methods rule and to public viewing in EDOCKET as EPA fulfill the terms of a recent settlement receives them and without charge, ■ In consideration of the foregoing, the agreement related to gasoline sulfur test unless the comment contains Copyright Office amends part 260 of 37 methods. copyrighted material, CBI, or other CFR as follows: DATES: This direct final rule is effective information whose public disclosure is 1 SoundExchange is an unincorporated division December 8, 2003, unless we receive otherwise restricted by statute, is not of the Recording Industry Association of America, adverse comments or a request for a included in the official public docket, Inc. that administers statutory licenses. public hearing by November 6, 2003. If and will not be available for public
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viewing in EDOCKET. For further about this rule or to request a hearing, I. Regulated Entities information about the electronic docket, contact Anne Pastorkovich, Attorney/ see EPA’s Federal Register notice Advisor, Transportation & Regional Entities potentially regulated by the describing the electronic docket at 67 Programs Division, (202) 564–8987 or by action are those that use analytical test FR 38102 (May 31, 2002), or go to e-mail at pastorkovich.anne- methods to comply with the RFG, anti- http://www.epa.gov/edocket. [email protected]. dumping, and gasoline sulfur control FOR FURTHER INFORMATION CONTACT: If program. Regulated categories and you would like further information SUPPLEMENTARY INFORMATION: entities include:
SIC Examples of potentially regulated Category NAICSs Codes a Codes b parties
Industry ...... 324110 2911 Petroleum refiners. Industry ...... 422710 5171 Gasoline Marketers and Distributors. 422720 5172 a North American Industry Classification System (NAICS). b Standard Industrial Classification (SIC) system code.
This table is not intended to be requirements for all gasoline 2 and considering comments received from exhaustive, but rather provides a guide establishing stricter tailpipe emissions the regulated industry during the for readers regarding entities likely to be standards for all passenger vehicles, gasoline sulfur rulemaking process, regulated by this action. This table lists including sport utility vehicles (SUVs), including comments supportive of all entities that we are now aware could minivans, vans and pick-up trucks. The ASTM D 2622–98 as the designated potentially be regulated by this action. gasoline sulfur control program begins method, we decided to require the use Other types of entities not listed in this phasing-in in 2004, and, in general, of ASTM D 2622–98 for measuring table could also be regulated by this refiners must meet a refinery average sulfur content. We did not name any action. To determine whether your sulfur standard of 30 ppm beginning in alternative analytical test methods business is regulated by this action, you 2005 and a per gallon cap standard of because we anticipated that a should carefully examine the 80 ppm beginning in 2006 (with the comprehensive performance-based applicability criteria in part 80 of Title exception of challenged refiners, and analytical test method approach rule 40 of the Code of Federal Regulations. gasoline sold in certain western states would be issued in the near future. A If you have any questions regarding the subject to geographic phase-in). comprehensive performance based test applicability of this action to a Under the RFG, anti-dumping and methods approach would allow anyone particular entity, consult the person gasoline sulfur program, refiners, to qualify additional analytical test listed in the preceding section of this importers, and oxygenate blenders are methods for use in demonstrating document. required to test RFG and conventional compliance with program requirements. gasoline for certain parameters, We now know that a comprehensive II. Background and Summary of including sulfur levels, aromatic performance based test methods Today’s Action content, benzene content, and oxygen rulemaking will take more time to Section 211(k) of the Clean Air Act content. Test methods for determining complete than originally anticipated. (CAA) directs EPA to establish these parameters are specified in the We feel that permitting specific ASTM standards requiring the greatest regulation. For the sulfur content of test methods to be used as alternative reduction in emissions of ozone forming gasoline, 40 CFR 80.46(a)(1) specifies analytical test methods now provides a volatile organic compounds (VOCs) and American Society for Testing and bridge to a more comprehensive toxic air emissions achievable through Materials (ASTM) standard method D– performance based test methods the reformulation of conventional 2622–98, entitled, ‘‘Standard Test approach in the future and grants gasoline, considering cost, other health Method for Sulfur in Petroleum refiners, importers and blenders and environmental factors and energy Products by Wavelength Dispersive X- significant flexibility and potential cost requirements. The Act requires that RFG Ray Fluorescence Spectrometry’’ as the savings in meeting their testing meet certain content standards for designated test method. In addition, the requirements. oxygen, benzene, and heavy metals. gasoline sulfur rulemaking required a As discussed in a May 16, 2003 RFG must be used in certain ozone test method for determining the sulfur Federal Register notice,3 Antek nonattainment areas, called ‘‘covered content of butane blended into Instruments, which manufactures areas.’’ The CAA also requires EPA to gasoline—ASTM standard method D testing equipment, filed a petition establish anti-dumping standards 3246–96, entitled ‘‘Standard Test challenging the final gasoline sulfur applicable to conventional gasoline Method for Sulfur in Petroleum Gas by control rule. EPA and Antek entered used in the rest of the country. The Oxidative Microcoulometry.’’ into negotiations and reached a Administrator signed the final RFG and In the gasoline sulfur control proposed settlement agreement. The anti-dumping regulations on December rulemaking, we specifically requested proposed settlement agreement outlined 15, 19931 and these regulations became comments on the designated test a proposed rule which would identify effective in January 1995. method. We also requested comments ASTM D 5453–00e1 as an alternative test on other ASTM methods. After In 2000, EPA issued regulations method refiners and importers could establishing lower sulfur content use to comply with the requirement to 2 ‘‘Control of Air Pollution from New Motor test gasoline for sulfur content, provided Vehicles: Tier 2 Motor Vehicles Emissions 1 ‘‘Regulation of Fuels and Fuel Additives: Standards and Gasoline Sulfur Control Standards for Reformulated and Conventional Requirements—Final Rule,’’ 65 FR 6698 (February 3 See ‘‘Notice of Proposed Settlement Agreement; Gasoline—Final Rule,’’ 59 FR 7812 (February 16, 10, 2000). See also 40 CFR part 80 subpart H for Request for Public Comment,’’ 68 FR 26604 (May 1994). See 40 CFR part 80 subparts D, E, and F. regulations applicable to gasoline sulfur. 16, 2003).
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the test result is correlated with ASTM importer, or blender chooses to measure The Order defines ‘‘significant D 2622–98. In today’s action, EPA is butane levels with this alternative regulatory action’’ as one that is likely revising its regulations to include such analytical test method, the results must to result in a rule that may: a provision. The proposed settlement be correlated to D 3246–96, ‘‘Standard (1) Have an annual effect on the agreement was available for comment Test Method for Sulfur in Petroleum Gas economy of $100 million or more or until June 16, 2003. No adverse by Oxidative Microcoulometry,’’ which adversely affect in a material way the comments were received. is the test method currently designated economy, a sector of the economy, For the reasons discussed above, we in the existing rule. productivity, competition, jobs, the are revising 40 CFR 80.46(a) to allow the Some refiners and butane suppliers environment, public health or safety, or use of ASTM D 5453–00e1, entitled expressed concern that the designated State, local, or tribal governments or ‘‘Standard Test Method for test method is not currently in wide use. communities; Determination of Total Sulfur in Light When we issued the final gasoline (2) Create a serious inconsistency or Hydrocarbons, Motor Fuels and Oils by sulfur control regulations, we did not otherwise interfere with an action taken Ultraviolet Fluorescence,’’ ASTM D intend to require the use of this method or planned by another agency; 6428–99, entitled ‘‘Test Method for until January 1, 2004. However, the final (3) Materially alter the budgetary Total Sulfur in Liquid Aromatic regulation inadvertently did not specify impact of entitlements, grants, user fees, Hydrocarbons and Their Derivatives by that date and we are clarifying the or loan programs or the rights and Oxidative Combustion and effective date by this action. Until obligations of recipients thereof; or Electrochemical Detection,’’ and ASTM January 1, 2004, any test method may be (4) Raise novel legal or policy issues D 3120–96 (Reapproved 2002)e1, entitled used to test the sulfur content of butane. arising out of legal mandates, the ‘‘Standard Test Method for Trace We believe that this direct final rule, President’s priorities, or the principles Quantities of Sulfur in Light Petroleum and our intent to establish a set forth in the Executive Order.’’ Hydrocarbons by Oxidative comprehensive performance based test This direct final rule is not a Microcoulometry.’’ Refiners and method approach in the future, will significant regulatory action within the importers would be able to choose advance the purposes of the ‘‘National meaning of the Executive Order. It will which of these test methods best fits Technology Transfer and Advancement not have an annual effect on the their needs for compliance Act of 1995,’’ (NTTAA) section 12(d) of economy of $100 million or more and is measurements. We believe that Public Law 104–113, and Office of not expected to have any adverse permitting the use of these test methods Management and Budget (OMB) economic effects as described in the is desirable from the standpoint of Circular A–119. Both of these Order. This direct final rule does not permitting regulated parties more documents are designed to encourage raise issues of consistency with the flexibility. A refiner or importer would the adoption of standards developed by actions taken or planned by other be able to determine gasoline sulfur ‘‘voluntary consensus bodies’’ and to agencies, will not materially alter the e1 content using ASTM D 5453–00 or any reduce reliance on government-unique cited budgetary impacts, and does not of the specified alternative analytical standards where such consensus raise any novel legal or policy issues as test methods named in the rule, standards would suffice. This direct defined in the Order. provided that the refiner or importer final rule would provide for the use of B. Paperwork Reduction Act result is correlated to ASTM D 2622–98. alternative test methods for the In order to ‘‘correlate’’ a test result This direct final rule would not add measurement of sulfur in gasoline and any new requirements involving the from an alternative test method to the butane under the RFG, anti-dumping, designated test method, a laboratory collection of information as defined by and gasoline sulfur control programs. the Paperwork Reduction Act, 44 U.S.C. would have to develop and apply a Allowing these test methods, which are ‘‘correlation equation’’ to the alternative 3501 et seq. Today’s rule would only widely available and approved by test method result. Because the permit more flexibility to parties in their ASTM, a ‘‘voluntary consensus body,’’ ‘‘correlation equation’’ is designed to choice of analytical test methods. OMB is directly consistent with the goals of provide a prediction of the designated has approved the information collection the NTTAA and OMB Circular A–119. requirements contained in the final test method result from the use of an Any environmental effects of today’s alternative test method, the ‘‘correlation reformulated gasoline (RFG) and anti- proposed action would be minimal, as equation’’ eliminates bias between the dumping rulemaking and gasoline it would merely grant limited flexibility designated test method and the sulfur control rulemaking has assigned to regulated parties in their choice of alternative test method, so results may OMB control number 2060–0277. test method for determining the sulfur be compared between these methods. Burden means the total time, effort, or content of gasoline and butane. The After applying the correlation equation, financial resources expended by persons economic effects of today’s proposed the results obtained from an alternative to generate, maintain, retain, or disclose action are expected to be positive, since test method should be equivalent to the or provide information to or for a federal it permits regulated parties the result you would obtain if you had used agency. This includes the time needed flexibility to choose the test method the designated test method. Users of a to review instructions; develop, acquire, correlation equation should periodically they will use to comply with existing install, and utilize technology and verify its correlation to the designated regulations. systems for the purposes of collecting, test method. III. Administrative Requirements validating, and verifying information, This direct final rule also permits the processing and maintaining use of ASTM D 4468–85 (Reapproved A. Executive Order 12866: Regulatory information, and disclosing and 2000), ‘‘Standard Test Method for Total Planning and Review providing information; adjust the Sulfur in Gaseous Fuels by Under Executive Order 12866, (58 FR existing ways to comply with any Hydrogenolysis and Rateometric 51,735 (October 4, 1993)) the Agency previously applicable instructions and Colorimetry’’ as an alternative test must determine whether the regulatory requirements; train personnel to be able method for butane, because it is an action is ‘‘significant’’ and therefore to respond to a collection of ASTM approved method that some subject to OMB review and the information; search data sources; refiners may elect to use. If a refiner, requirements of the Executive Order. complete and review the collection of
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information; and transmit or otherwise sector. Under section 202 of the UMRA, substantial direct effects on the States, disclose the information. An Agency EPA generally must prepare a written on the relationship between the national may not conduct or sponsor, and a statement, including a cost-benefit government and the States, or on the person is not required to respond to a analysis, for proposed and final rules distribution of power and collection of information unless it with ‘‘Federal mandates’’ that may responsibilities among the various displays a currently valid OMB control result in expenditures to state, local, levels of government, as specified in number. The OMB control numbers for and tribal governments, in the aggregate, Executive Order 13132. The direct final EPA’s regulations are listed in 40 CFR or to the private sector, of $100 million rule is limited to permitting flexibility Part 9 and 48 CFR Chapter 15. or more in any one year. Before in the choice of test methods. Thus, promulgating an EPA rule for which a Executive Order 13132 does not apply C. Regulatory Flexibility Act written statement is needed, section 205 to this direct final rule. EPA has determined that it is not of the UMRA generally requires EPA to F. Executive Order 13175: Consultation necessary to prepare a regulatory identify and consider a reasonable and Coordination with Indian Tribal flexibility analysis in connection with number of regulatory alternatives and Governments this final rule. For purposes of assessing adopt the least costly, most cost- the impacts of today’s direct final rule effective or least burdensome alternative Executive Order 13175, entitled on small entities, small entity is defined that achieves the objectives of the rule. ‘‘Consultation and Coordination with as: (1) A small business that has not The provisions of section 205 do not Indian Tribal Governments’’ (65 FR more than 1,500 employees (13 CFR apply when they are inconsistent with 67249, November 6, 2000), requires EPA 121.201); (2) a small governmental applicable law. Moreover, section 205 to develop an accountable process to jurisdiction that is a government of a allows EPA to adopt an alternative other ensure ‘‘meaningful and timely input by city, county, town, school district or than the least costly, most cost-effective tribal officials in the development of special district with a population of less or least burdensome alternative if the regulatory policies that have tribal than 50,000; and (3) a small Administrator publishes with the final implications.’’ ‘‘Policies that have tribal organization that is any not-for-profit rule an explanation why that alternative implications’’ is defined in the enterprise which is independently was not adopted. Before EPA establishes Executive Order to include regulations owned and operated and is not any regulatory requirements that may that have ‘‘substantial direct effects on dominant in its field. significantly or uniquely affect small one or more Indian tribes, on the After considering the economic governments, including tribal relationship between the Federal impacts of today’s final rule on small governments, it must have developed government and the Indian tribes, or on entities, EPA has concluded that this under section 203 of the UMRA a small the distribution of power and action will not have a significant government agency plan. The plan must responsibilities between the Federal economic impact on a substantial provide for notifying potentially government and Indian tribes.’’ number of small entities. In determining affected small governments, enabling This direct final rule does not have whether a rule has a significant officials of affected small governments tribal implications. It will not have economic impact on a substantial to have meaningful and timely input in substantial direct effects on tribal number of small entities, the impact of the development of EPA regulatory governments, on the relationship concern is any significant adverse proposals with significant Federal between the Federal government and economic impact on small entities, intergovernmental mandates, and Indian tribes, or on the distribution of since the primary purpose of the informing, educating, and advising power and responsibilities between the regulatory flexibility analyses is to small governments on compliance with Federal government and Indian tribes, identify and address regulatory the regulatory requirements. as specified in Executive Order 13175. alternatives ‘‘which minimize any Today’s rule contains no federal This proposed rule would apply to significant economic impact of the mandates (under the regulatory parties required to test gasoline and proposed rule on small entities.’’ 5 provisions of Title II of the UMRA) for butane for gasoline and butane and does U.S.C. 603 and 604. Thus, an agency state, local or tribal governments or the not impose any enforceable duties on may certify that a rule will not have a private sector. The rule imposes no communities of Indian tribal significant economic impact on a enforceable duty on any state, local or governments. Thus, Executive Order substantial number of small entities if tribal governments or the private sector. 13175 does not apply to this rule. the rule relieves regulatory burden, or E. Executive Order 13132: Federalism G. Executive Order 13045: Protection of otherwise has a positive economic effect Executive Order 13132, entitled Children From Environmental Health & on all of the small entities subject to the Safety Risks rule. ‘‘Federalism’’ (64 FR 43255, August 10, We have therefore concluded that 1999), requires EPA to develop an Executive Order 13045: Protection of today’s direct final rule will relieve accountable process to ensure Children from Environmental Health regulatory burden for all small entities. ‘‘meaningful and timely input by State Risks and Safety Risks (62 FR 19885, By permitting alternative analytical test and local officials in the development of April 23, 1997) applies to any rule that: methods for the measurement of sulfur regulatory policies that have federalism (1) Is determined to be economically in gasoline and butane, smaller entities implications.’’ ‘‘Policies that have significant as defined under E.O. 12866, will be granted greater flexibility in federalism implications’’ is defined in and (2) concerns an environmental performing compliance testing. the Executive Order to include health or safety risk that EPA has reason regulations that have ‘‘substantial direct to believe may have a disproportionate D. Unfunded Mandates Reform Act effects on the States, on the relationship effect on children. If the regulatory Title II of the Unfunded Mandates between the national government and action meets both criteria, the Agency Reform Act of 1995 (UMRA), Public the States, or on the distribution of must evaluate the environmental health Law 104–4, establishes requirements for power and responsibilities among the or safety effects of the planned rule on Federal agencies to assess the effects of various levels of government.’’ children, and explain why the planned their regulatory actions on State, local, This direct final rule does not have regulation is preferable to other and tribal governments and the private federalism implications. It will not have potentially effective and reasonably
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feasible alternatives considered by the House of Representatives, and the Fluorescence Spectrometry’’ or by one Agency. Comptroller General of the United of the alternative methods specified in EPA interprets E.O. 13045 as applying States prior to publication of the rule in paragraph (a)(3) of this section. only to those regulatory actions that are the Federal Register. A major rule (2) Beginning January 1, 2004, the based on health or safety risks, such that cannot take effect until 60 days after it sulfur content of butane must be the analysis required under section 5– is published in the Federal Register. determined by the use of ASTM 501 of the Order has the potential to This action is not a ‘‘major rule’’ as standard method D 3246–96, entitled influence the regulation. This direct defined by 5 U.S.C. 804(2). This direct ‘‘Standard Test Method for Sulfur in final rule is not subject to E.O. 13045, final rule will be effective December 8, Petroleum Gas by Oxidative entitled ‘‘Protection of Children from 2003. Microcoulometry’’ or by the alternative Environmental Health Risks and Safety method specified in paragraph (a)(4) of K. Statutory Provisions and Legal Risks’’ (62 FR 19885, April 23, 1997), this section. Authority because it does not involve decisions on (3) Any refiner or importer may use environmental health risks or safety Statutory authority for today’s direct any of the following methods for risks that may disproportionately affect final rule comes from sections 211(c), determining the sulfur content of children. 211(i) and 211(k) of the CAA (42 U.S.C. gasoline; provided the refiner or 7545(c) and (k)). Section 211(c) and H. Executive Order 13211: Actions That importer test result is correlated with 211(i) allows EPA to regulate fuels that Significantly Affect Energy Supply, the method specified in paragraph (a)(1) contribute to air pollution which Distribution, or Use of this section: endangers public health or welfare, or (i) ASTM standard method D 5453– This direct final rule is not an which impairs emission control 00e1, entitled, ‘‘Standard Test Method economically ‘‘significant energy equipment. Section 211(k) prescribes for Determination of Total Sulfur in action’’ as defined in Executive Order requirements for RFG and conventional Light Hydrocarbons, Motor Fuels and 13211, ‘‘Actions Concerning Regulations gasoline and requires EPA to Oils by Ultraviolet Fluorescence,’’ or That Significantly Affect Energy Supply, promulgate regulations establishing (ii) ASTM standard method D 6428– Distribution, or Use’’ (66 FR 28355 (May these requirements. Additional support 99, entitled, ‘‘Test Method for Total 22, 2001)) because it does not have a for the fuels controls in today’s rule Sulfur in Liquid Aromatic significant adverse effect on the supply, comes from sections 114(a) and 301(a) Hydrocarbons and Their Derivatives by distribution, or use of energy. of the CAA. Oxidative Combustion and I. National Technology Transfer and List of Subjects in 40 CFR Part 80 Electrochemical Detection,’’ or Advancement Act (iii) ASTM standard method D 3120– Environmental protection, Air 96 (Reapproved 2002)e1, entitled Section 12(d) of the National pollution control, Fuel additives, ‘‘Standard Test Method for Trace Technology Transfer and Advancement Gasoline, Diesel, Imports, Incorporation Quantities of Sulfur in Light Petroleum Act of 1995 (NTTAA), Public Law No. by reference, Motor vehicle pollution, Hydrocarbons by Oxidative 104–113, 12(d) (15 U.S.C. 272 note) Reporting and recordkeeping Microcoulometry.’’ directs EPA to use voluntary consensus requirements. (4) Beginning January 1, 2004, any standards in its regulatory activities Dated: September 24, 2003. refiner or importer may determine the unless to do so would be inconsistent sulfur content of butane using ASTM with applicable law or otherwise Marianne Lamont Horinko, standard method D 4468–85 impractical. Voluntary consensus Acting Administrator. (Reapproved 2000), ‘‘Standard Test standards are technical standards (e.g., ■ For the reasons described in the Method for Total Sulfur in Gaseous materials specifications, test methods, preamble, part 80 of Title 40 of the Code Fuels by Hydrogenolysis and sampling procedures, and business of Federal Regulations is amended as Rateometric Colorimetry, ‘‘provided practices) that are developed or adopted follows: that the refiner or importer result is by voluntary consensus standards correlated with the method specified in bodies. The NTTAA directs EPA to PART 80—[AMENDED] paragraph (a)(2) of this section. provide Congress, through OMB, ■ 1. The authority citation for part 80 explanations when the Agency decides * * * * * continues to read as follows: not to use available and applicable (h) Incorporations by reference. voluntary consensus standards. Authority: 42 U.S.C. 7414, 7545, and ASTM standard methods D 3606–99, This direct final rule advances the 7601(a). entitled ‘‘Standard Test Method for goals of the NTTAA by adopting test * * * * * Determination of Benzene and Toluene methods developed by voluntary ■ 2. Section 80.46 is amended by in Finished Motor and Aviation consensus standards bodies. revising paragraphs (a) and (h) to read as Gasoline by Gas Chromatography;’’ D follows: 1319–02a, entitled ‘‘Standard Test J. Congressional Review Act Method for Hydrocarbon Types in The Congressional Review Act, 5 § 80.46 Measurement of reformulated Liquid Petroleum Products by U.S.C. 801 et seq., as added by the Small gasoline fuel parameters. Fluorescent Indicator Adsorption;’’ D Business Regulatory Enforcement Act of (a) Sulfur. Sulfur content of gasoline 4815–99, entitled ‘‘Standard Test 1996, generally provides that before a and butane must be determined by use Method for Determination of MTBE, rule may take effect, the agency of the following methods: ETBE, TAME, DIPE, tertiary-Amyl promulgating the rule must submit a (1) The sulfur content of gasoline Alcohol and C1 to C4 Alcohols in rule report, which includes a copy of must be determined by use of American Gasoline by Gas Chromatography;’’ D the rule, to each House of the Congress Society for Testing and Materials 2622–98, entitled ‘‘Standard Test and to the Comptroller General of the (ASTM) standard method D 2622–98, Method for Sulfur in Petroleum United States. EPA will submit a report entitled ‘‘Standard Test Method for Products by Wavelength Dispersive X- containing this rule and other required Sulfur in Petroleum Products by Ray Fluorescence Spectrometry;’’ D information to the U.S. Senate, the U.S. Wavelength Dispersive X-Ray 3246–96, entitled ‘‘Standard Test
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Method for Sulfur in Petroleum Gas by content of gasoline they produce or ADDRESSES: You can inspect copies of Oxidative Microcoulometry;’’ D 5191– import. the administrative record for this action 01, entitled, ‘‘Standard Test Method for * * * * * at EPA’s Region IX office during normal Vapor Pressure of Petroleum Products ■ 4. Section 80.340 is amended by business hours by appointment. If you (Mini Method);’’ D 5599–00, entitled, revising paragraph (b)(2)(ii) to read as wish to schedule a visit, please contact ‘‘Standard Test Method for follows: Dave Jesson, as indicated below. You Determination of Oxygenates in can inspect copies of the submitted Gasoline by Gas Chromatography and § 80.340 What standards and requirements materials by appointment at the Oxygen Selective Flame Ionization apply to refiners producing gasoline by following locations: Detection;’’ D 5769–98, entitled, blending blendstocks into previously certified gasoline (PCG)? EPA, Region IX, 75 Hawthorne Street, San ‘‘Standard Test Method for Francisco, CA 94105–3901. Determination of Benzene, Toluene, and * * * * * California Air Resources Board, 1001 ‘‘I’’ Total Aromatics in Finished Gasolines (b) * * * Street, Sacramento, CA 95814. by Gas Chromatography/Mass (2) * * * FOR FURTHER INFORMATION CONTACT: Spectrometry,’’ D 86–01, entitled, (ii) The testing must be performed by Dave Jesson, EPA Region IX, at (415) ‘‘Standard Test Method for Distillation the method specified in § 80.46(a)(2) or 972–3957, or [email protected]. of Petroleum Products at Atmospheric by the alternative method specified in Pressure;’’ D 5453–00e1, entitled, § 80.46(a)(4). SUPPLEMENTARY INFORMATION: ‘‘Standard Test Method for * * * * * Throughout this document, ‘‘we,’’ ‘‘us,’’ Determination of Total Sulfur in Light and ‘‘our’’ refer to EPA. ■ 5. Section 80.350 is amended by Hydrocarbons, Motor Fuels and Oils by revising paragraph (b)(2) to read as I. Proposed Action Ultraviolet Fluorescence;’’ D 6428–99, follows: entitled, ‘‘Test Method for Total Sulfur On August 15, 2003 (68 FR 48848), we in Liquid Aromatic Hydrocarbons and § 80.350 What alternative sulfur standards proposed to approve minor revisions to Their Derivatives by Oxidative and requirements apply to importers who the boundaries of the Los Angeles-South Combustion and Electrochemical transport gasoline by truck? Coast Air Basin Area (‘‘South Coast Air Detection;’’ D 3120–96 (Reapproved * * * * * Basin’’) and the Southeast Desert Air 2002)e1, entitled ‘‘Standard Test Method (b) * * * Basin.1 These revisions were requested for Trace Quantities of Sulfur in Light (2) The sampling and testing shall be on November 18, 2002, by the California Petroleum Hydrocarbons by Oxidative performed using the methods specified Air Resources Board (CARB) under CAA Microcoulometry;’’ and D 4468–85 in § 80.330(b) and § 80.46(a)(1) or one of section 107(d)(3)(D), which authorizes (Reapproved 2000), ‘‘Standard Test the alternative test methods listed in States to submit revised area Method for Total Sulfur in Gaseous § 80.46(a)(3), respectively. designations. Fuels by Hydrogenolysis and * * * * * The purposes of CARB’s request are Rateometric Colorimetry ‘‘are to: incorporated by reference in this [FR Doc. 03–25133 Filed 10–6–03; 8:45 am] section. These incorporations by BILLING CODE 6560–50–P (1) enlarge the South Coast Air Basin reference were approved by the Director to include the Banning Pass area, of the Federal Register in accordance thereby excluding the area from the ENVIRONMENTAL PROTECTION with 5 U.S.C. 552(a) and 1 CFR part 51. Southeast Desert; AGENCY Copies may be obtained from the (2) harmonize the boundaries of the 2 American Society for Testing and 40 CFR Part 81 Coachella Valley area by changing Materials, 100 Barr Harbor Dr., West them to match the PM–10 area Conshohocken, PA 19428–2959. Copies [CA087–DESIG; FRL–7568–3] boundaries; and may be inspected at the Air Docket (3) correct the eastern boundary of the Center, room B–108, U.S. Clean Air Act Area Designations; South Coast Air Basin with respect to Environmental Protection Agency, California CO. Docket Nos. A–97–03, A–2002–15 and AGENCY: Environmental Protection We proposed to approve these OAR–2003–0050, 1200 Pennsylvania Agency (EPA). redesignations and apply the boundary Avenue, NW, Washington, DC 20460, or ACTION: Final rule. changes to all affected pollutants, at the Office of the Federal Register, because the revisions comply with the National Archives and Records SUMMARY: EPA is finalizing approval of relevant provisions of CAA section Administration, 800 North Capitol minor changes in the boundaries 107(d)(3)(D) and apply equally to other Street, NW, Suite 700, Washington, DC. between areas in Southern California pollutants for which the areas have ■ 3. Section 80.330 is amended by established under the Clean Air Act for existing designations. Our proposed revising paragraph (c)(1) to read as purposes of addressing the national action contains more information about follows: ambient air quality standards (NAAQS) the proposed revisions and our § 80.330 What are the sampling and for 1-hour ozone, particulate matter evaluation. testing requirements for refiners and (PM–10), carbon monoxide (CO), importers? nitrogen dioxide (NO2), and sulfur 1 The Los Angeles-South Coast Air Basin Area * * * * * dioxide (SO2), and the prior NAAQS for includes all of Orange County and the more total suspended particulate matter populated portions of Los Angeles, San Bernardino, (c) Test method for measuring sulfur and Riverside Counties. The Southeast Desert Air content of gasoline. (1) For purposes of (TSP). Basin includes portions of Los Angeles, San paragraph (a) of this section, refiners We are approving these boundary Bernardino, and Riverside Counties. For a and importers shall use the method changes under the Clean Air Act as description of the current boundaries of the basins amended in 1990 (CAA or the Act). and subareas for each pollutant, see 40 CFR 81.305. provided in § 80.46(a)(1) or one of the 2 The Coachella Valley area is part of the alternative test methods listed in EFFECTIVE DATE: This rule is effective on Southeast Desert nonattainment area for ozone and § 80.46(a)(3) to measure the sulfur November 6, 2003. is its own PM–10 nonattainment area.
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II. Public Comments and EPA substantial direct effect on one or more is published in the Federal Register. Responses Indian tribes, on the relationship This action is not a ‘‘major rule’’ as Our proposed action provided a 30- between the Federal Government and defined by 5 U.S.C. section 804(2). day public comment period. During this Indian tribes, or on the distribution of Under section 307(b)(1) of the Clean period, we received no comments. power and responsibilities between the Air Act, petitions for judicial review of Federal Government and Indian tribes, this action must be filed in the United III. EPA Action as specified by Executive Order 13175 States Court of Appeals for the As authorized in section 107(d)(3)(D), (65 FR 67249, November 9, 2000). This appropriate circuit by December 8, EPA is taking final action to: action also does not have Federalism 2003. Filing a petition for (1) revise the boundary of the South implications because it does not have reconsideration by the Administrator of Coast Air Basin to incorporate the substantial direct effects on the States, this final rule does not affect the finality Banning Pass; on the relationship between the national of this rule for the purposes of judicial (2) amend the boundary of the government and the States, or on the review nor does it extend the time Coachella Valley area (Riverside County distribution of power and within which a petition for judicial portion of the Southeast Desert Air responsibilities among the various review may be filed, and shall not Basin for 1-hour ozone) to correspond to levels of government, as specified in postpone the effectiveness of such rule the PM–10 boundary for the area; and Executive Order 13132 (64 FR 43255, or action. This action may not be (3) approve the State’s request to August 10, 1999). This action merely challenged later in proceedings to make a typographical correction to the approves a state rule implementing a enforce its requirements. (See section boundary of the South Coast Air Basin Federal standard, and does not alter the 307(b)(2).) with respect to CO. relationship or the distribution of power We are making the first two changes and responsibilities established in the List of Subjects in 40 CFR Part 81 for all pollutants for which the areas are Clean Air Act. This rule also is not Environmental protection, Air designated in our regulations (40 CFR subject to Executive Order 13045 pollution control, National parks, Part 81). Thus, the boundary changes ‘‘Protection of Children from Wilderness areas. apply to 1-hour ozone, PM–10, CO, NO2, Environmental Health Risks and Safety Dated: September 23, 2003. SO2, and TSP. We are amending the Risks’’ (62 FR 19885, April 23, 1997), descriptions of the areas in 40 CFR because it is not economically Deborah Jordan, 81.305 for TSP, CO, 1-Hour Ozone, and significant. Acting Regional Administrator, Region IX. NO2. No changes are required in the 40 In reviewing SIP submissions, EPA’s ■ Part 81, chapter I, title 40 of the Code CFR 81.305 designation tables for PM– role is to approve state choices, of Federal Regulations is amended as 10 and SO2, since the tables for these provided that they meet the criteria of follows: pollutants do not specify boundaries the Clean Air Act. In this context, in the and the area names need not be absence of a prior existing requirement PART 81—[AMENDED] changed. for the State to use voluntary consensus standards (VCS), EPA has no authority ■ 1. The authority citation for part 81 IV. Statutory and Executive Order continues to read as follows: Reviews to disapprove a SIP submission for failure to use VCS. It would thus be Authority: 42 U.S.C. 7401 et seq. Under Executive Order 12866 (58 FR inconsistent with applicable law for 51735, October 4, 1993), this action is EPA, when it reviews a SIP submission, ■ 2. Section 81.305 is amended as not a ‘‘significant regulatory action’’ and to use VCS in place of a SIP submission follows: therefore is not subject to review by the that otherwise satisfies the provisions of ■ a. In the table for ‘‘California-TSP’’ by Office of Management and Budget. For the Clean Air Act. Thus, the revising the entry for Riverside County this reason, this action is also not requirements of section 12(d) of the under ‘‘Southeast Desert Air Basin’’; subject to Executive Order 13211, National Technology Transfer and ■ b. In the table for ‘‘California—Carbon ‘‘Actions Concerning Regulations That Advancement Act of 1995 (15 U.S.C. Monoxide’’ by revising the entry for Significantly Affect Energy Supply, 272 note) do not apply. This rule does Riverside County (part) under ‘‘Los Distribution, or Use’’ (66 FR 28355, May not impose an information collection Angeles-South Coast Air Basin Area’’; by 22, 2001). This action merely approves burden under the provisions of the revising the entry for San Bernandino state law as meeting Federal Paperwork Reduction Act of 1995 (44 County (part) under ‘‘Los Angeles-South requirements and imposes no additional U.S.C. 3501 et seq.). Coast Air Basin Area’’; and by revising requirements beyond those imposed by The Congressional Review Act, 5 the entry for Riverside County (part) state law. Accordingly, the U.S.C. section 801 et seq., as added by under the ‘‘Southeast Desert Air Basin’’; Administrator certifies that this rule the Small Business Regulatory ■ c. In the table for ‘‘California—Ozone will not have a significant economic Enforcement Fairness Act of 1996, (1–Hour Standard)’’ by revising the entry impact on a substantial number of small generally provides that before a rule for Riverside County (part) under ‘‘Los entities under the Regulatory Flexibility may take effect, the agency Angeles-South Coast Air Basin Area’’; Act (5 U.S.C. 601 et seq.). Because this promulgating the rule must submit a and by revising the entry for Riverside rule approves pre-existing requirements rule report, which includes a copy of County (part) under the ‘‘Southeast under state law and does not impose the rule, to each House of the Congress Desert modified AQMA area’’; any additional enforceable duty beyond and to the Comptroller General of the ■ d. In the table for ‘‘California-NO2’’ by that required by state law, it does not United States. EPA will submit a report revising the entry for ‘‘Riverside County contain any unfunded mandate or containing this rule and other required (portion within S.E. Desert AQMA) significantly or uniquely affect small information to the U.S. Senate, the U.S. County’’; and by revising the entry for governments, as described in the House of Representatives, and the ‘‘Riverside County, non-AQMA portion Unfunded Mandates Reform Act of 1995 Comptroller General of the United County.’’ (Pub. L. 104–4). States prior to publication of the rule in The revisions read as follows: This rule also does not have tribal the Federal Register. A major rule implications because it will not have a cannot take effect until 60 days after it § 81.305 California.
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CALIFORNIA—TSP
Does not meet pri- Does not meet sec- Cannot be Better than national Designated area mary stand- ondary standards classified standards ards
******* Southeast Desert Air Basin:
******* Riverside County (Coachella Valley planning area) ...... X Riverside County (remainder of County).
*******
CALIFORNIA—CARBON MONOXIDE
Designation Classification Designated area Date 1 Type Date 1 Type
******* Los Angeles—South Coast Air Basin Area Attainment.
******* Riverside County (part) that portion of Riverside County which lies to the west of a line described as follows: 1. Beginning at the Riverside-San Diego County bound- ...... Nonattainment ...... Serious ary and running north along the range line common to Range 4 East and Range 3 East, San Bernardino Base and Meridian; 2. then east along the Township line common to Town- ship 8 South and Township 7 South; 3. then north along the range line common to Range 5 East and Range 4 East; 4. then west along the Township line common to Town- ship 6 South and Township 7 South to the southwest corner of Section 34, Township 6 South, Range 4 East; 5. then north along the west boundaries of Sections 34, 27, 22, 15, 10, and 3, Township 6 South, Range 4 East; 6. Then west along the Township line common to Town- ship 5 South and Township 6 South; 7. Then north along the range line common to Range 4 East and Range 3 East; 8. Then west along the south boundaries of Sections 13, 14, 15, 16, 17, and 18, Township 5 South, Range 3 East; 9. then north along the range line common to Range 2 East and Range 3 East to the Riverside-San Bernardino county line. San Bernardino County (part)—that portion of San ...... Nonattainment ...... Serious Bernardino County which lies south and west of a line de- scribed as follows: 1. Beginning at the San Bernardino-Riverside County boundary and running north along the range line com- mon to Range 3 East and Range 2 East, San Bernardino Base and Meridian; 2. Then west along the Township line common to Town- ship 3 North and Township 2 North to the San Bernardino-Los Angeles County boundary.
******* Southeast Desert Air Basin
******* Riverside County (part) Portion excluding Los Angeles- ...... Unclassifiable/Attain- South Coast Air Basin. ment.
******* 1 This date is November 15, 1990, unless otherwise noted.
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*****
CALIFORNIA—OZONE (1-HOUR STANDARD)
Designation Classification Designated area Date 1 Type Date 1 Type
******* Los Angeles—South and Coast Air Basin Area
******* Riverside County (part) that portion of Riverside County which lies to the west of a line described as follows: 1. Beginning at the Riverside-San Diego County bound- 11/15/90 Nonattainment ...... 11/15/90 Extreme. ary and running north along the range line common to Range 4 East and Range 3 East, San Bernardino Base and Meridian; 2. then east along the Township line common to Town- ship 8 South and Township 7 South; 3. then north along the range line common to Range 5 East and Range 4 East; 4. then west along the Township line common to Town- ship 6 South and Township 7 South to the southwest corner of Section 34, Township 6 South, Range 4 East; 5. then north along the west boundaries of Sections 34, 27, 22, 15, 10, and 3, Township 6 South, Range 4 East; 6. then west along the Township line common to Town- ship 5 South and Township 6 South; 7. then north along the range line common to Range 4 East and Range 3 East; 8. then west along the south boundaries of Sections 13, 14, 15, 16, 17, and 18, Township 5 South, Range 3 East; 9. then north along the range line common to Range 2 East and Range 3 East to the Riverside-San Bernardino county line.
******* Southeast Desert Modified AQMA Area:
******* Riverside County ...... 11/15/90 Nonattainment ...... 11/15/90 Severe-17 Coachella Valley planning area—that portion of Riverside County which lies to the east of a line described as fol- lows: 1. Beginning at the Riverside-San Diego County bound- ary and running north along the range line common to Range 4 East and Range 3 East, San Bernardino Base and Meridian; 2. then east along the Township line common to Town- ship 8 South and Township 7 South; 3. then north along the range line common to Range 5 East and Range 4 East; 4. then west along the Township line common to Town- ship 6 South and Township 7 South to the southwest corner of Section 34, Township 6 South, Range 4 East; 5. then north along the west boundaries of Sections 34, 27, 22, 15, 10, and 3, Township 6 South, Range 4 East; 6. then west along the Township line common to Town- ship 5 South and Township 6 South; 7. then north along the range line common to Range 4 East and Range 3 East; 8. then west along the south boundaries of Sections 13, 14, 15, 16, 17, and 18, Township 5 South, Range 3 East;
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CALIFORNIA—OZONE (1-HOUR STANDARD)—Continued
Designation Classification Designated area Date 1 Type Date 1 Type
9. then north along the range line common to Range 2 East and Range 3 East to the Riverside-San Bernardino County line and that portion of Riverside County which lies to the west of a line described as follows: That segment of the southwestern boundary line of Hydrologic Unit Number 18100100 within Riv- erside County, further described as follows: 10. Beginning at the Riverside-Imperial County bound- ary and running north along the range line common to Range 17 East and Range 16 East, San Bernardino Base and Meridian; 11. then northwest along the ridge line of the Chuckwalla Mountains, through Township 8 South, Range 16 East and Township 7 South, Range 16 East, until the Black Butte Mountain, elevation 4504 feet; 12. then west and northwest along the ridge line to the southwest corner of Township 5 South, Range 14 East; 13. then north along the range line common to Range 14 East and Range 13 East; 14. then west and northwest along the ridge line to Monument Mountain, elevation 4834 feet; 15. then southwest and then northwest along the ridge line of the Little San Bernardino Mountains to Quail Mountain, elevation 5814 feet; 16. then northwest along the ridge line to the Riverside- San Bernardino County line
******* 1 This date is November 15, 1990, unless otherwise noted.
* * * * *
CALIFORNIA—NO2
Cannot be classi- Designated area Does not meet primary standards fied or better than national standards
Riverside County (Coachella Valley planning area)
******* Riverside County (portion not within South Coast Air Basin or Coachella ...... X Valley planning area).
*******
[FR Doc. 03–25136 Filed 10–6–03; 8:45 am] ENVIRONMENTAL PROTECTION SUMMARY: In Federal Register BILLING CODE 6560–50–P AGENCY documents of February 3, 1993 and March 31, 1994, the Commonwealth of 40 CFR Parts 239 and 258 Virginia received Federal determinations of partial program [FRL–7569–4] adequacy for its Municipal Solid Waste Landfill permit program under section Virginia: Approval of Financial 4005 of the Resource Conservation and Assurance Regulations for the Recovery Act (RCRA). This section Commonwealth’s Municipal Solid requires states to develop and Waste Landfill Permitting Program implement permit programs that ensure that Municipal Solid Waste Landfills AGENCY: Environmental Protection Agency (EPA). (MSWLF) which may receive hazardous household waste or small quantity ACTION: Immediate final rule. generator waste are obligated to comply
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with the revised Federal MSWLF Municipal Solid Waste Landfill subject to Executive Order 13211 Criteria. Initially, Virginia submitted to permitting program. because it is not a significant regulatory EPA for approval relevant regulations action as defined in Executive Order Statutory and Executive Order Reviews that corresponded to all sections of 40 12866. CFR part 258 except for Subpart G, This rule only approves State solid 9. National Technology Transfer Financial Assurance Criteria. On waste requirements pursuant to RCRA Advancement Act—EPA approves State November 21, 2001, the Commonwealth section 4005 and imposes no programs as long as they meet criteria of Virginia adopted financial assurance requirements other than those imposed required by RCRA, so it would be regulations for MSWLFs and on January by State law (see SUPPLEMENTARY inconsistent with applicable law for 21, 2003 submitted these regulations to INFORMATION, above). Therefore, this rule EPA, in its review of a State program, EPA for approval. Subject to the complies with applicable executive to require the use of any particular opportunity for public review and orders and statutory provisions as voluntary consensus standard in place comment, this notice approves follows. of another standard that meets the Virginia’s financial assurance 1. Executive Order 12866: Regulatory requirements of RCRA. Thus, section regulations. Planning Review—The Office of 12(d) of the National Technology Management and Budget has exempted DATES: This approval shall become Transfer and Advance Act does not effective December 8, 2003 unless this rule from its review under apply to this rule. 10. Congressional Review Act—EPA adverse comments are received on or Executive Order 12866. 2. Paperwork Reduction Act—This will submit a report containing this rule before November 6, 2003. rule does not impose an information and other information required by the ADDRESSES: Written comments should collection burden under the Paperwork Congressional Review Act (5 U.S.C. 801 be sent to Mike Giuranna, RCRA State Reduction Act. et seq.) to the U.S. Senate, the U. S. Programs Branch, Waste & Chemicals 3. Regulatory Flexibility Act—After House of Representatives, and the Management Division (3WC21), U.S. considering the economic impacts of Comptroller General of the United EPA Region III, 1650 Arch Street, today’s rule on small entities under the States prior to publication in the Philadelphia, Pennsylvania 19103– Regulatory Flexibility Act, I certify that Federal Register. This action is not a 2029, telephone: (215) 814–3298. this rule will not have a significant ‘‘major rule’’ as defined by 5 U.S.C. Comments may also be submitted economic impact on a substantial 804(2). This action will be effective electronically through the Internet to: number of small entities. December 8, 2003. [email protected] or by 4. Unfunded Mandates Reform Act— facsimile at (215) 814–3163. You may Because this rule approves pre-existing List of Subjects examine copies of the materials requirements under state law and does 40 CFR Part 239 submitted by Virginia during normal not impose any additional enforceable business hours at EPA, Region III or at Environmental protection, duty beyond that required by state law, Administrative practice and procedure, the offices of the Virginia Department of it does not contain any unfunded Environmental Quality (VADEQ) at 629 Intergovernmental relations, Waste mandate or significantly or uniquely treatment and disposal. East Main Street, Richmond, Virginia affect small governments, as described 23219, Phone Number (804) 698–4238, in the Unfunded Mandates Act. 40 CFR Part 258 attn: John Ely. 5. Executive Order 13132: Reporting and recordkeeping FOR FURTHER INFORMATION CONTACT: Federalism—Executive Order 13132 requirements, Waste treatment disposal, Mike Giuranna, Mailcode 3WC21, RCRA does not apply to this rule because it Water pollution control. State Programs Branch, U.S. EPA Region will not have federalism implications Authority: This document is issued under III, 1650 Arch Street, Philadelphia, PA (i.e., substantial direct effects on the 19103–2029, Phone Number: (215) 814– the authority of section 2002, 4005 and States, on the relationship between the 4010(c) of the Solid Waste Disposal Act, as 3298, e-mail: [email protected]. national government and the States, or amended, 42 U.S.C. 6912, 6945 and 6949(a). SUPPLEMENTARY INFORMATION: In Federal on the distribution of power and Register notices of February 3, 1993, (58 responsibilities among the various James W. Newsom, FR 6955) and March 31, 1994, (59 FR levels of government). Acting Regional Administrator, Region III. 15201) EPA determined that all portions 6. Executive Order 13175: [FR Doc. 03–25398 Filed 10–6–03; 8:45 am] of Virginia’s Municipal Solid Waste Consultation and Coordination with BILLING CODE 6560–50–P Landfill permitting program, with the Indian Tribal Governments—Executive exception of the financial assurance Order 13175 does not apply to this rule portion, were equivalent to EPA’s because it will not have tribal DEPARTMENT OF HOMELAND regulations for such programs under 40 implications (i.e., substantial direct SECURITY CFR part 258. On January 21, 2003, effects on one or more Indian tribes, on Virginia submitted its financial the relationship between the Federal Federal Emergency Management assurance regulations to EPA for Government and Indian tribes, or on the Agency approval. After a thorough review, EPA distribution of power and determined that Virginia’s financial responsibilities between the Federal 44 CFR Part 67 assurance regulations, as defined under Government and Indian tribes). 9 VAC 20–70, Commonwealth of 7. Executive Order 13045: Protection Final Flood Elevation Determinations Virginia Financial Assurance of Children from Environmental Health AGENCY: Federal Emergency Regulations for Solid Waste Disposal, & Safety Risks—This rule is not subject Management Agency, Emergency Transfer and Treatment Facilities, are to Executive Order 13045 because it is Preparedness and Response Directorate, adequate to assure compliance with the not economically significant and it is Department of Homeland Security. Federal criteria as defined at 40 CFR not based on health or safety risks. ACTION: Final rule. part 258, subpart G (§§ 258.70 through 8. Executive Order 13211: Actions 258.74). This determination will give that Significantly Affect Energy Supply, SUMMARY: Base (1% annual chance) full Federal approval to Virginia’s Distribution, or Use—This rule is not Flood Elevations (BFEs) and modified
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BFEs are made final for the Protection Act of 1973, 42 U.S.C. 4104, List of Subjects in 44 CFR Part 67 communities listed below. The BFEs and 44 CFR Part 67. and modified BFEs are the basis for the FEMA has developed criteria for Administrative practice and floodplain management measures that floodplain management in floodprone procedure, Flood insurance, Reporting each community is required either to areas in accordance with 44 CFR Part and recordkeeping requirements. adopt or to show evidence of being 60. ■ Accordingly, 44 CFR Part 67 is already in effect in order to qualify or Interested lessees and owners of real amended to read as follows: remain qualified for participation in the property are encouraged to review the National Flood Insurance Program proof Flood Insurance Study and FIRM PART 67—[AMENDED] (NFIP). available at the address cited below for EFFECTIVE DATE: The date of issuance of each community. ■ 1. The authority citation for Part 67 the Flood Insurance Rate Map (FIRM) The BFEs and modified BFEs are continues to read as follows: showing BFEs and modified BFEs for made final in the communities listed below. Elevations at selected locations Authority: 42 U.S.C. 4001 et seq.; each community. This date may be Reorganization Plan No. 3 of 1978, 3 CFR, obtained by contacting the office where in each community are shown. National Environmental Policy Act. 1978 Comp., p. 329; E.O. 12127, 44 FR 19367, the FIRM is available for inspection as 3 CFR, 1979 Comp., p. 376. indicated in the table below. This rule is categorically excluded from the requirements of 44 CFR Part 10, § 67.11 [Amended] ADDRESSES: The final BFEs for each Environmental Consideration. No community are available for inspection environmental impact assessment has ■ 2. The tables published under the at the office of the Chief Executive been prepared. authority of § 67.11 are amended as Officer of each community. The Regulatory Flexibility Act. The follows: respective addresses are listed in the Mitigation Division Director of the table below. Emergency Preparedness and Response #Depth in FOR FURTHER INFORMATION CONTACT: feet above Directorate certifies that this rule is ground. Doug Bellomo, P.E. Hazard exempt from the requirements of the Source of flooding and location *Elevation Identification Section, Emergency in feet Regulatory Flexibility Act because final (NGVD). Preparedness and Response Directorate, or modified BFEs are required by the Federal Emergency Management Flood Disaster Protection Act of 1973, CALIFORNIA Agency, 500 C Street SW., Washington, 42 U.S.C. 4104, and are required to DC 20472, (202) 646–2903. establish and maintain community San Luis Obispo County, (FEMA Docket No. B–7435) SUPPLEMENTARY INFORMATION: The eligibility in the NFIP. No regulatory Federal Emergency Management Agency flexibility analysis has been prepared. Los Berros Creek: Approximately 750 feet makes the final determinations listed Regulatory Classification. This final downstream of El Conpo below of BFEs and modified BFEs for rule is not a significant regulatory action Road ...... *103 each community listed. The proposed under the criteria of Section 3(f) of Approximately 4,000 feet BFEs and proposed modified BFEs were Executive Order 12866 of September 30, downstream of State Route published in newspapers of local 1993, Regulatory Planning and Review, 101 ...... None Approximately 1,200 feet up- circulation and an opportunity for the 58 FR 51735. stream of State Route 101 None community or individuals to appeal the Executive Order 12612, Federalism. Maps are available for in- proposed determinations to or through This rule involves no policies that have spection at the San Luis the community was provided for a federalism implications under Executive Obispo County Public Works period of ninety (90) days. The Order 12612, Federalism, dated October Department, County Govern- ment Center, Room 207, 976 proposed BFEs and proposed modified 26, 1987. Osos Street, San Luis BFEs were also published in the Federal Executive Order 12778, Civil Justice Obispo, California. Register. Reform. This proposed rule meets the This final rule is issued in accordance applicable standards of Section 2(b)(2) with Section 110 of the Flood Disaster of Executive Order 12778.
#Depth in feet above ground. *Elevation in feet Source of flooding and location (NGVD) Communities affected +Elevation in feet (NAVD).
Washington: Whatcom County and Incorporated Areas, (FEMA Docket No. B–7310). Johnson Creek: At the confluence with Sumas River ...... *38 Whatcom County (Uninc. Areas), City of Bel- lingham, City of Everson, City of Fern- dale, City of Lummi In- dian Nation, City of Lynden, City of Nooksack, and City of Sumas Samish River:
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#Depth in feet above ground. *Elevation in feet Source of flooding and location (NGVD) Communities affected +Elevation in feet (NAVD).
Approximately 2,900 feet downstream of Wickersham Road at the County Boundary ...... *267 At Burlington Northern Railroad ...... *311 Squalicum Creek: Approximately 200 feet upstream of Chicago, Milwaukee, St. Paul, and Pacific Railroad ...... *127 Approximately 2,000 feet upstream of Dewey Road ...... *206 Sumas River: Approximately 1,700 feet downstream of Jones Road at the International Boundary ...... *34 Whatcom County (Uninc. Areas), City of Bel- lingham, City of Everson, City of Fern- dale, City of Lummi In- dian Nation, City of Lynden, City of Nooksack, and City of Sumas Approximately 1,000 feet upstream of Massey Road ...... *93 Sumas River Left Overbank Divided Flow: Approximately 200 feet downstream of Telegraph Road ...... *56 Approximately 6,300 feet upstream of Kadin Road ...... *69 Terrell Creek: Approximately 500 feet downstream of Alderson Road ...... *8 At Helweg Road ...... *10
Addresses: Whatcom County (Unincorporated Areas): Maps are available for inspection at Whatcom County Public Works Department, Division of Engineering, 311 Grand Avenue, Suite 108, Bel- lingham, Washington. City of Bellingham: Maps are available for inspection at the Community Development Department, 210 Lottie Street, Bellingham, Washington. City of Everson: Maps are available for inspection at City Hall, 111 West Main Street, Everson, Washington. City of Ferndale: Maps are available for inspection at the Planning Department, 5694 Second Avenue, Ferndale, Washington. City of Lummi Indian Nation: Maps are available for inspection at the Planning Department, 2828 Kwina Road, Bellingham, Washington. City of Lynden: Maps are available for inspection at the Planning Department, 323 Front Street, Lynden, Washington. City of Nooksack: Maps are available for inspection at City Hall, 103 West Madison Street, Nooksack, Washington 98276. City of Sumas: Maps are available for inspection at City Hall, 433 Cherry Street, Sumas, Washington.
Washington: Whatcom County and Incorporated Areas, (FEMA Docket No. B–7430) ...... Strait of Georgia at Point Roberts: ...... Whatcom County At Point Roberts Marina ...... *8 (Uninc. Areas) South Edwards Drive along Southern Shore ...... *11 Birch Bay Northwest Shore: At intersection of Seahome Road and Seahome Court ...... *8 Whatcom County (Uninc. Areas) At Cottonwood Beach ...... *9 Along shoreline near intersection of Halda Road and Nitinat Road ...... *14 Strait of Georgia at Sandy Point: At marina ...... *8 Whatcom County (Uninc. Areas) and Lummi In- dian Reservation Along eastern shoreline ...... *9 Along western shoreline, west of marina ...... *14 Strait of Georgia at Village Point: Along West Shore Drive ...... *9 Whatcom County (Uninc. Areas) Along southern shoreline ...... *10 Lummi Bay:
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#Depth in feet above ground. *Elevation in feet Source of flooding and location (NGVD) Communities affected +Elevation in feet (NAVD).
Approximately 600 feet from intersection of East Turtle Lane and Shore Drive ...... *8 Whatcom County (Uninc. Areas) Along shoreline near intersection of Lummi Park Road and Lane Split Road ...... *10 Bellingham Bay at Hermosa Beach: East of Lummi Shore Road ...... *8 Whatcom County (Uninc. Areas) and Lummi In- dian Reservation Lummi Bay at Gooseberry Point: At intersection of Lummi View Drive and Haxton Way ...... *8 Whatcom County (Uninc. Areas) and Lummi In- dian Reservation Approximately 300 feet west of intersection of Lummi View Drive and Haxton Way ...... *9 Bellingham Bay at Eliza Island: In the south-facing valley of Eliza Island ...... *8 Whatcom County (Uninc. Areas) At the southern shore of Eliza Island ...... *10 At the western shore of Eliza Island ...... *10
Addresses: Whatcom County (Unincorporated Areas): Maps are available for inspection at Whatcom County Public Works Department, Division of Engineering, 311 Grand Avenue, Suite 108, Bel- lingham, Washington. Lummi Indian Reservation: Maps are available for inspection at the Lummi Indian Business Council Planning Department, 2828 Kwina Road, Bellingham, Washington.
(Catalog of Federal Domestic Assistance No. 32665 and 32666. A final flood Dated: September 30, 2003. 83.100, ‘‘Flood Insurance’’) elevation determination will be made at Anthony S. Lowe, Dated: September 30, 2003. a later date. Mitigation Division Director, Emergency Anthony S. Lowe, Preparedness and Response Direcorate. EFFECTIVE DATE: This rescission is Mitigation Division Director, Emergency [FR Doc. 03–25344 Filed 10–6–03; 8:45 am] effective as of the date of this Preparedness and Response Directorate. BILLING CODE 6718–03–P [FR Doc. 03–25345 Filed 10–6–03; 8:45 am] publication. BILLING CODE 6718–04–P FOR FURTHER INFORMATION CONTACT: Doug Bellomo, P.E., Hazard FEDERAL COMMUNICATIONS DEPARTMENT OF HOMELAND Identification Section, Emergency COMMISSION SECURITY Preparedness and Response Directorate, Federal Emergency Management 47 CFR Part 24 Federal Emergency Management Agency, 500 C Street SW., Washington, Agency DC 20472, (202) 646–2903. [WT Docket No. 97–82; FCC 03–98] SUPPLEMENTARY INFORMATION: FEMA 44 CFR Part 67 Competitive Bidding Procedures published a notice of final flood [Docket No. FEMA–7772] elevation determination for Collier AGENCY: Federal Communications County, Florida and Incorporated Areas, Commission. Rescission of Final Flood Elevation on June 2, 2003, at FR 68, 32665 and ACTION: Final rule; correction. Determination 32666. Following coordination with Collier County, it was determined that SUMMARY: On July 21, 2003, (68 FR AGENCY: Federal Emergency 42984), the Wireless Management Agency, Emergency additional time is needed to develop Telecommunications Bureau published Preparedness and Response Directorate, flood hazard data for the Golden Gates final rules in the Order, addressing five Department of Homeland Security. Estates area located within the Unincorporated Areas of Collier County petitions for reconsideration filed in ACTION: Final rule. and the City of Naples. Therefore, the response to the Commission’s Part 1 Order on Reconsideration of the Third SUMMARY: The Federal Emergency final flood elevation for Collier County, Report and Order, and Fifth Report and Management Agency (FEMA or Agency) Florida and Incorporated Areas is Order. rescinds the final flood elevation hereby rescinded in accordance with determination published for Collier Section 110 of the Flood Disaster DATES: Effective September 19, 2003. County, Florida and Incorporated Areas Protection Act of 1973, 42 U.S.C. 4104 FOR FURTHER INFORMATION CONTACT: Gary (including the City of Everglades, City of until further notice. Michaels, Auctions and Industry Naples, City of Marco Island, and the Analysis Division, Wireless Unincorporated Areas of Collier Telecommunications Bureau, at (202) County), on June 2, 2003, at 68 FR 418–0660.
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SUPPLEMENTARY INFORMATION: The Washington, DC. This document may Following delisting, BLM will designate Wireless Telecommunications Bureau also be purchased from the E. hooveri as a ‘‘sensitive species’’ published a document revising the Commission’s duplicating contractor, pursuant to BLM Manual 6840 and general competitive bidding rules for all Qualex International, Portals II, 445 California State Manual Supplement H– auctionable services in the Federal 12th Street, SW., CY–B402, Washington, 6840.06, to provide for continued Register of July 21, 2003 (68 FR 42984). DC, 20554, telephone (202) 863–2893, protection and monitoring of the species This document corrects the Federal facsimile (202) 863–2898, or via e-mail on BLM lands. The post-delisting Register as it appeared. [email protected]. monitoring, required under section 4 of In rule FR Doc. 03–18430 published the Act, will be facilitated by BLM’s List of Subjects in 47 CFR Part 73 on July 21, 2003 (68 FR 42984) make the implementation of their Caliente following correction: Digital television broadcasting, Resource Management Plan (RMP) (BLM ■ 1. On page 42999, in the third column Television. 1996). Under the RMP and separate and on line 19, instruction 29 is Federal Communications Commission. agreements, BLM will monitor the corrected to read as follows: Barbara A. Kreisman, species and monitor residual threats at Chief, Video Division, Media Bureau. representative sites within four E. § 24.720 [Corrected] hooveri metapopulations. [FR Doc. 03–25333 Filed 10–6–03; 8:45 am] ■ 29. Amend § 24.720 by removing DATES: This rule is effective October 7, BILLING CODE 6712–01–P paragraphs (b)(3), (b)(4), (c), and (d), 2003. redesignating paragraphs (e), (f), (g), (h), ADDRESSES: The administrative record (i), and (j) as paragraphs (c), (d), (e), (f), DEPARTMENT OF THE INTERIOR for this rule is available for inspection, (g), and (h), redesignating the Note to by appointment, during normal business Paragraph (j) as the Note to Paragraph (h) Fish and Wildlife Service hours at the Sacramento Fish and and revising paragraph (b) introductory Wildlife Office of the U.S. Fish and text and newly redesignated paragraph 50 CFR Part 17 Wildlife Service, 2800 Cottage Way, (g) to read as follows: Room W–2605, Sacramento, CA 95825– Federal Communications Commission. RIN 1018–AG41 1864, (telephone 916/414–6600). Marlene Dortch, Endangered and Threatened Wildlife FOR FURTHER INFORMATION CONTACT: Secretary. and Plants; Removing Eriastrum Graciela Hinshaw, Sacramento Fish and [FR Doc. 03–25245 Filed 10–6–03; 8:45 am] hooveri (Hoover’s woolly-star) from the Wildlife Office, at the above address or BILLING CODE 6712–01–P Federal List of Endangered and telephone 916/414–6600. Threatened Species SUPPLEMENTARY INFORMATION: FEDERAL COMMUNICATIONS AGENCY: Fish and Wildlife Service, Background COMMISSION Interior. Eriastrum hooveri (Hoover’s woolly- ACTION: Final rule. star) was first collected in 1935 by 47 CFR Part 73 Gregory Lyons near Little Panoche [DA 03–2925, MM Docket No. 01–43, RM– SUMMARY: We, the U.S. Fish and Creek, western Fresno County, in the 10041] Wildlife Service (Service), have San Joaquin Valley of California. In determined that Eriastrum hooveri 1943, Willis Jepson described the plant Digital Television Broadcast Service; (Hoover’s woolly-star) is no longer a as Hugelia hooveri, citing a 1937 Jackson, MS threatened species pursuant to the collection by Robert Hoover (the Endangered Species Act of 1973 (Act), namesake for the scientific and common AGENCY: Federal Communications as amended. This determination is names). Later, Herbert Mason (1945) Commission. based on the discovery of new transferred the species along with the ACTION: Final rule. populations and implementation of rest of the woolly-stars to the genus SUMMARY: The Commission, by this recovery actions that contributed Eriastrum. document, dismisses a petition for rule substantially towards meeting delisting Eriastrum hooveri, an annual herb of making filed by Civic License Holding criteria outlined in the ‘‘Recovery Plan the phlox family (Polemoniaceae), Company, Inc. requesting the For Upland Species of the San Joaquin produces many wire-like stems and tiny substitution of DTV channel 9 for DTV Valley, California’’ (Recovery Plan) white to pale blue flowers that are less channel 51 at Jackson, Mississippi. See (USFWS 1998). than 5 millimeters (mm) (0.2 inch (in)) 66 FR 12749, February 28, 2001. With Beginning in 1990, recovery efforts for across. The flowers are nearly hidden in this action, this proceeding is this species succeeded in locating tufts of woolly hair. The leaves are terminated. additional populations, discovering thread-like and may have two narrow through research that Eriastrum hooveri lobes near the base. Standing 1 to 20 FOR FURTHER INFORMATION CONTACT: Pam is more resilient and less vulnerable to centimeters (cm) (0.4 to 8 in) tall, the Blumenthal, Media Bureau, (202) 418– disturbance activities than previously species has grayish, fuzzy stems, which 1600. known, and achieving protection are often branched (Munz and Keck SUPPLEMENTARY INFORMATION: This is a through cooperation with Federal, State, 1959; USFWS 1998). The most synopsis of the Commission’s Report and private entities on more than important characteristics for and Order, MM Docket No. 01–43, 114,400 hectares (286,000 acres) of E. distinguishing this species from other adopted September 23, 2003, and hooveri habitat. The management Eriastrum species are the flower size released October 1, 2003. The full text practices of, and commitments by, the and the ratio between the length of the of this document is available for public U.S. Bureau of Land Management corolla and the length of the lobes on inspection and copying during regular (BLM), on whose land a substantial the petals (petals are highly colored business hours in the FCC Reference number of the new populations have portions of the flower and collectively Information Center, Portals II, 445 12th been found, will afford adequate are called the corolla). Characteristics of Street SW., Room CY–A257, protection to the species upon delisting. the stamen (male reproductive organ)
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can also help identify this species to a private interest, Occidental population clusters by BLM), by using (Taylor and Davilla 1986). Petroleum Corporation). existing public lands and other areas The seed of Eriastrum hooveri is small A status survey of Eriastrum hooveri already dedicated to conservation. The and dust-like, and dispersed by the conducted in 1986 identified 10 four metapopulations from largest to wind. The stems of dead plants often historical populations as extirpated, 2 smallest are: (1) The Kettleman Hills break at the soil surface and the plants others as presumed extirpated, and area in Fresno and Kings Counties; (2) are conical-shaped, characteristic of a approximately 40 percent of the the Carrizo Plain-Elkhorn Plain-Temblor seed that disperses via the historically reported populations as Range-Caliente Mountains-Cuyama ‘‘tumbleweed’’ strategy. Laboratory remaining (Taylor and Davilla 1986). At Valley-Sierra Madre Mountains area in germination of seeds was achieved by the time of the status survey, the San Luis Obispo, Santa Barbara, and wetting seed on filter paper, and there majority of the E. hooveri known extreme western Kern Counties; (3) the was rapid and complete germination of populations were from alluvial valleys. Lokern-Elk Hills-Buena Vista Hills- new seed (Taylor and Davilla 1986). The Hilly terrain was only documented in Coles Levee-Maricopa-Taft area in Kern small flowers of E. hooveri might three instances, from the Temblor County; and (4) the Antelope Plain-Lost suggest self-pollination (Taylor and Range, and the authors were unable to Hills-Semitropic area in Kern County. Davilla 1986). gain access to this area during the status Recovery goals included protecting Eriastrum hooveri was originally survey. Taylor and Davilla (1986) populations throughout the species’ thought to have a range that was mostly reported that most remaining geographic range (at the time thought to east of the Coastal Range in San Joaquin populations were situated on ‘‘islands’’ be from San Benito and Fresno Counties Valley, California, and distributed in a of native habitat in an otherwise ‘‘sea’’ in the north, south to the Cuyama discontinuous fashion within valley of intensively managed agricultural Valley), representing a variety of saltbush scrub and valley sink scrub lands, thereby leaving the remaining topographic positions (valley floor, from Fresno County in the north, south populations vulnerable to destruction. slopes) and community types (chenopod to the Temblor Range (Kern and San Our subsequent listing of E. hooveri as scrub and grasslands), at elevations a threatened species in 1990 relied Luis Obispo Counties), with very ranging from 50 to 915 meters (m) (165 heavily on the data and the threats limited distribution south of the to 3,000 feet (ft)). Because public lands assessment presented in the Taylor and Temblor Range, in the Cuyama Valley have varying multi-use mandates, and Davilla 1986 status report, as well as on (San Luis Obispo and Santa Barbara therefore may or may not afford additional surveys conducted between Counties) (Taylor and Davilla 1986). ‘‘protection’’ to plants under threat, 1986 and 1990 (55 FR 29361). The The San Joaquin Valley lies between the specific commitments were needed to listing noted that 118 populations Coast Ranges and the Sierra Nevada, protect the populations from existed, only 9 of which occurred on and on the southern end is bordered by incompatible uses such as heavy oilfield public lands or in undeveloped the Transverse Ranges. The climate of development, commercial development, foothills. The remaining 109 the San Joaquin Valley is a product of flooding or rising groundwater levels, populations (92 percent) were and dense vegetation due to these surrounding mountain ranges. considered to be threatened by Precipitation in the San Joaquin Valley proliferation of nonnative plants or conversion of valley floor native habitat suppression of fires. Low and moderate is low; it averages less than 25 cm (10 to agricultural land, oil and gas in) per year, with localized areas oilfield development and grazing were development, urbanization, reservoir not considered incompatible uses. The averaging far less. As a result, the San construction, uncontrolled heavy sheep Recovery Plan recommended a Joaquin Valley climate can be classified grazing, disposal of nutrient-laden minimum acreage and plant density for as arid or desertic. The San Joaquin agricultural effluent, and nonnative E. hooveri and continuation of the Valley floor is composed of thousands invasive plants (55 FR 29361). Based on monitoring of trends at representative of feet of sediments deposited by runoff these threats, we listed E. hooveri as a sites within each of the four recognized from the surrounding mountains. Below threatened species under the Act on July metapopulations. As 33 other species these sediments lie important petroleum 19, 1990 (55 FR 29361). and natural gas deposits (Schoenherr In 1990, we initiated recovery were also covered in this multispecies 1992). The extraction of these resources planning for 11 listed species, including Recovery Plan, the ecosystem-level accounts for some of the native habitat Eriastrum hooveri, and 23 candidates or strategy recommended a network of loss and degradation in the San Joaquin species of concern that share the same large-scale preserves and conservation Valley and adjacent foothills. ecosystem (USFWS 1998). While the areas that represented all natural Conversion of this arid land to pastures development of the final Recovery Plan communities in the San Joaquin Valley and agricultural farmland also has was being accomplished, the recovery upland ecosystems. The Recovery Plan replaced native habitat and introduced needs of listed species were stated that, within this network, habitat nonnative grasses and shrubs. simultaneously being addressed. During management would be compatible with Prior to 1986, Eriastrum hooveri was the 8 years of planning, Federal and traditional and ongoing land uses such known from 19 sites (sites are clusters State agencies conducted extensive as grazing and oil exploration. Prior to of plants that may be part of a larger surveys and research and learned new the completion of the Recovery Plan, it population as documented by BLM) in information about E. hooveri biology, was discovered that E. hooveri could San Luis Obispo, Kern, Fresno, and including its abundance and tolerate a certain amount of natural and Santa Barbara Counties in California. distribution and its response to man-made disturbances. Most of these sites occurred on private disturbance. The recovery strategy in The listing and subsequent recovery property on the San Joaquin and the final Recovery Plan reflects pre-plan planning efforts resulted in increased Cuyama valley floors or on public land recovery efforts. inventory activities for Eriastrum located in the foothills of the southern The recovery strategy, put forth in the hooveri throughout its range. Surveys in part of the San Joaquin Valley (the 1998 Recovery Plan, stated that recovery the Mojave Desert area resulted in the Naval Petroleum Reserve (NPR–1 and for Eriastrum hooveri could be discovery of E. hooveri more than 140 NPR–2) administered by the U.S. accomplished within four kilometers (km) (87 miles mi) southeast Department of Energy, later turned over metapopulations (defined as a larger of the previously known range. Surveys
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into remote areas by the BLM and the ft) elevation in the Los Padres National sites with E. hooveri ranged from a low Los Padres National Forest, as well as Forest in 1993 led to the discovery of of 5% to a high of 93%; the amount of routine surveys at the NPR–1 and NPR– three populations of Eriastrum hooveri bare ground varied between 5% and 2, resulted in the discovery of many in Tennison Canyon, Goode Canyon, 90%, and the amount of cryptogamic new occurrences (an occurrence is and Castro Canyon (Danielsen et al. crusting varied between 0% and 80% analogous to a population and is 1994). These populations were 800 m (EGG 1995b). The wide-ranging values defined here as a cluster of plants (500 ft) higher in elevation than all other in plant cover and bare ground for sites separated from the nearest cluster by at known populations, and the first to be with E. hooveri indicate that, although least 0.25 mile) of E. hooveri. Through located in habitat dominated by juniper. this species does better in sparsely a section 7 consultation with the In 1998, Boyd and Porter (1999) found vegetated areas, it is found in areas of Service, the U.S. Department of Energy E. hooveri in two locations southeast of dense vegetation (E. Cypher, pers. conducted periodic monitoring of six the Tehachapi Mountains within comm. 2003). A 1995 report by EG&G representative E. hooveri sites from the Antelope Valley, Los Angeles County. documented E. hooveri responses to early to mid 1990s (EG&G 1994, 1996). These occurrences in the Mojave Desert varying rainfall and found that this Responses to precipitation patterns on represent an extension of the range of species, like most annual species, north and south slopes and ridgetops the species by approximately 140 km appears to be sensitive to changes in were documented (EG&G 1996), and (87 mi) to the southeast from the nearest precipitation compared to the shrub and increased attention was focused on population in the San Joaquin Valley. grass components of the community observations of and research into the Additional surveys in the Antelope (EG&G 1996). Soils with cryptogamic plants’ response to various levels of Valley, conducted through 2002, crusts are naturally open surface areas habitat disturbance. The pertinent documented numerous occurrences of where nonnative grasses do not seem to recovery planning and implementation E. hooveri from near Rosamond, in Kern encroach (Lewis pers. comm. 1995). The efforts, along with their results, are County, and south to Lancaster, in Los association that E. hooveri has with summarized below. Angeles County. In 2003, 7 to 12 million cryptogamic crusting may be more plants, roughly distributed over a 100- related to lower annual plant densities Surveys square-mi area, were also found near (especially lower numbers of nonnative Abundance: The results of the 1986 Edwards Air Force Base (Ray Bransfield, grasses) than to an affinity with some status survey, which led to the USFWS, pers. comm. 2003; Patrick aspect of the crusting. Areas of crusting Eriastrum hooveri listing, reflected its Buorsier, H.T. Harvey and Associates, are found throughout the species’ range known distribution at the time, but did pers. comm. 2003). (R. Lewis pers. comm. 1995), and not reflect the species’ larger In summary, surveys have resulted in although ground disturbance will distribution documented after 1990, the discovery of many more valley floor eliminate the crusting, the complex of probably as a consequence of the sites as well as foothill sites, and have mosses, algae, and other cryptogamic drought period and the resulting poor shown that Eriastrum hooveri organisms that compose the crust have growing E. hooveri conditions during populations discontinuously range in been observed to come back two years the two years preceding the survey the north from the Ciervo/Panoche area after ground disturbance (Holmstead (EG&G 1995a). Surveys by Federal of the San Joaquin Valley in Fresno and and Anderson 1998) in areas where E. agencies following the listing of the San Benito Counties, southward to hooveri is found. species in 1990 coincided with a change Antelope Valley in Los Angeles County, During above-average annual rainfall in precipitation, particularly in 1993, a distance of approximately 314 km (196 periods, Eriastrum hooveri responds when abundant spring rainfall created mi). A total of 1,128 new sites have been quickly and well (successful seed favorable growing conditions for annual found on BLM land. Along with the germination, larger plants, and a higher plants (EG&G 1994, 1995b). The increase in the number of sites, the probability of being detected during favorable growing conditions along with distribution and range of E. hooveri has surveys), whereas during years of the surveys resulted in a dramatic increased. E. hooveri has been below-average annual rainfall, plants increase in the number of E. hooveri confirmed at elevations of 3,000 ft and that germinate reach a height of only 1 known populations, the size of its has been found to occur in two in and are less likely to be detected topographical and elevational range additional habitat types: Juniper during surveys (Ellen Cypher, distribution, and a clearer woodland and Mojave Desert. The Endangered Species Recovery Program, understanding of its habitat species has a greater abundance, pers. comm. 2003; Jay Hinshaw, Bureau associations. distribution, and range than previously of Indian Affairs, pers. comm. 2003). Distribution: In 1992 and 1994, BLM thought. In 1995, EG&G reported that ground staff surveyed private and public lands disturbance did not significantly affect and estimated that about 1,000 Research Eriastrum hooveri and that the species Eriastrum hooveri sites occupied At the time of listing, Eriastrum was found as abundantly on disturbed approximately 970 ha (2,426 ac) (BLM hooveri was identified as preferring sites as on undisturbed sites (EG&G 1992, 1994). By 1998, the U.S. areas with lower annual plant densities 1995a). The average E. hooveri density Department of Energy had and stable, silty to sandy soils that often was higher on sites where mechanical comprehensively surveyed over 60 exhibit cryptogamic crusting (a thin ground disturbance (typical of oilfield percent of NPR–1 for E. hooveri, and microbiotic layer at the soil surface development) was observed, and lower over 400 locations were documented; in generally composed of a complex of on sites where other types of addition, the species was also mosses, algae, bacteria, fungi, and disturbance (by grazing, alluvial discovered on NPR–2 (Brian Cypher, lichens, or a combination of these) (55 deposit, fire, unknown) were observed Enterprise Advisory Services, Inc., pers. FR 29361). Since listing, E. hooveri has (EG&G 1995a). Furthermore, a study on comm. 1998; Russ Lewis, BLM, pers. also been found on stable soils that do the effects of simulated oilfield comm. 2002; Jay Hinshaw, Bureau of not exhibit crusting (BLM 1994), and on disturbance and top soil salvage showed Indian Affairs, pers. comm. 2003). sandy loam and loamy soils (EG&G that, although surface disturbance Range: Surveys for another plant 1995a). Research results in 1994 negatively affected E. hooveri density species at 820 to 910 m (2,700 to 3,000 documented that vascular plant cover at for at least two years, this species
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recolonized disturbed plots within two (1) 75% of Occupied Habitat (as of (2) 260 Hectares (640 Acres) or More of growing seasons from seed naturally 1998) on Public Lands in Each of the Occupied Habitat on the San Joaquin dispersed from adjacent habitat Four Metapopulations Should Be Valley Floor Is Secured and Protected (Hinshaw et al. 1998). Secured and Protected From (This Need Not Be in Addition to the In summary, research efforts, as part Incompatible Uses Above, But May Be Within the Above) The second delisting criterion has of the recovery process, have shown that Although difficult to quantify due to been met. Because patches of Eriastrum Eriastrum hooveri is more resilient and annual variability in size of populations, less vulnerable than previously thought. hooveri may vary in size annually due we believe that the intent of this to rainfall, we considered all E. hooveri Observations criterion has been met because a habitat in protected areas where the substantial amount of land, species is known to occur as occupied The Recovery Plan was developed for approximately 114,400 ha (286,000 ac), habitat. There are protected occurrences arid-land species in a part of California containing substantial portions of the of E. hooveri found within the southern that receives 10 in (25 cm) or less of four metapopulations or potential San Joaquin Valley floor, in BLM’s annual precipitation. Both below- habitat is in a ‘‘protected status’’ (as Lokern ACEC, 1,244 ha (3,110 ac), and average (drought) and above-average defined in the Recovery Plan) (G. the Elk Hills Conservation Area, 1,408 precipitation can cause severe Warrick, Center for Natural Lands ha (3,520 ac). Other protected areas on population variations for Eriastrum Management, pers. comm., 2002; Mary the San Joaquin Valley floor containing hooveri, and other species covered in Ann McCrary, California Department of E. hooveri occurrences are the CDFG’s the Recovery Plan, if such extreme Fish and Game (CDFG), in litt. 2002; Alkali Sink Ecological Reserve, 372 ha conditions extend for more than 1 year USFWS 1998, Ann Knox, BLM, in litt. (930 ac), Lokern Ecological Reserve, 330 (USFWS 1998). The status survey that 1997). Two BLM Areas of Critical ha (825 ac) (USFWS 1998), and the preceded listing of E. hooveri followed Environmental Concern (ACEC), a private conservation area of Coles Levee a 2-year drought, and during the early National Monument, four CDFG Ecosystem Reserve, 2,424 ha (6,060 ac). 1990s the southern San Joaquin valley Ecological Reserves, four privately The total acreage for these five protected experienced above-average rainfalls (E. owned mitigation sites, and NPR–2 valley floor areas that contain E. hooveri Cypher pers. comm. 2003b). This above- (soon to be managed by BLM) are the is approximately 5,778 ha (14,445 ac). average rainfall period coincided with protected areas that contain portions of (3) Management Plans Approved and initial research into disturbance the four metapopulations; these areas, Implemented for Recovery Areas That responses, and it was observed by listed by metapopulation are: Include Survival of Species as an Holmstead and Anderson (1998) that E. (a.) The Kettleman Hills area in Objective. Range-wide Population hooveri responded extremely well to the Fresno and Kings Counties (includes the Monitoring Should Be Provided for in increased rainfall levels. Timing of BLM ownership with ACEC designation All Management Plans precipitation may have also played a of 2,692 ha (6,730 ac)); The third recovery criterion, approve significant role in the response of E. (b.) The Carrizo Plain-Elkhorn Plain- and implement management plans for hooveri to above-average rainfall, since the recovery areas that include survival heavy rainfall in the study area occurred Temblor Range-Caliente Mountains- Cuyama Valley-Sierra Madre Mountains of Eriastrum hooveri as an objective, has during January and March, later than also been met. A significant number of area in San Luis Obispo, Santa Barbara, during normal precipitation years new sites (1,128) are found on BLM and extreme western Kern Counties (Holmstead and Anderson 1998). land, and BLM has holdings in all 4 (includes the BLM Carrizo Plain Eriastrum hooveri’s adaptability to metapopulations of this species, National Monument and the CDFG disturbance was evident based on including the San Joaquin Valley floor Elkhorn Ecological Reserve, 101,170 ha observations of the reestablishment of E. metapopulation. The wider range in (250,000 ac)); hooveri following two disturbances on combination with the commitment of NPR–1 during 1990, and on NPR–1 fire (c.) The Lokern-Elk Hills-Buena Vista BLM to designate E. hooveri as a breaks that had been tilled the previous Hills-Coles Levee-Maricopa-Taft area in sensitive species is sufficient to meet year (Holmstead and Anderson 1998). Kern County (includes the BLM’s the recovery criterion (E. Cypher, pers. Eriastrum hooveri is more resilient and Lokern ACEC, 1,244 ha (3,110 ac); the comm. 2003a and 2003c). The BLM will less vulnerable to certain activities than CDFG’s Lokern Ecological Reserve, 330 ensure that actions they authorize, fund, or carry out do not contribute to the previously thought. ha (825 ac), and Buttonwillow Ecological Reserve, 540 ha (1,350 ac); need to re-list the species. As a sensitive Recovery Plan Criteria and private conservation areas such as species, E. hooveri will be addressed in the Center for Natural Lands the National Environmental Policy Act Section 4(f) of the Act directs us to (NEPA) documents for BLM actions develop recovery plans for listed Management’s Lokern Preserve, 1,200 ha (3000 ac), the Elk Hills Conservation requiring NEPA review. In addition, species. Recovery plans are written to Area, 2,830 ha (7,075 ac), and the Coles BLM will conduct on-the-ground guide recovery efforts and establish Levee Ecosystem Preserve, 2,424 ha monitoring of E. hooveri for a minimum criteria for measuring recovery progress. of 5 years from the date of the (6,060 ac)); and The criteria are not intended to be publication of this final rule to delist the absolute prerequisites for delisting and (d.) The Antelope Plain-Lost Hills- species. This monitoring will be should not preclude a delisting action if Semitropic area in Kern County conducted in all four metapopulations such action is otherwise warranted. This (includes the CDFG’s Semitropic (Burke, in litt. 2002), including the San section discusses the four delisting Ecological Reserve, 1,912 ha (4,780 ac); Joaquin Valley floor. We believe that criteria identified for Eriastrum hooveri and private conservation areas, such as BLM’s Resource Management Plan in the Recovery Plan (USFWS 1998). the Center for Natural Lands (RMP) meets the criteria for specific Management’s Semitropic Ridge commitments to protect E. hooveri from Preserve, 1,200 ha (3,000 ac)). incompatible uses and that the BLM
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sensitive species designation will anticipated to be about 20 years in the sent announcements of the proposed directly enhance the survival of this Recovery Plan) (USFWS 1998). rule to appropriate Federal and State species. Other existing management Although the monitoring has not been agencies, county governments, scientific plans (including six HCPs and private completed for 20 years (the anticipated organizations, recovery team members, conservation areas such as the precipitation cycle), baseline data exists and other interested parties. We Occidental Management Plan for the Elk on BLM lands and NPR–1 that, along established an Internet web site for Hills Conservation Area and the Center with precipitation data, can be used to electronic submittal of comments and for Natural Lands Management- assess this species’ stability. The hearing requests by any party. In Management Plan) will either directly Recovery Plan offers some flexibility in addition, we solicited formal scientific cover E. hooveri even after delisting, or this regard; it states that if a species’ peer review of the proposal in will indirectly protect this species population is monitored through 1 or accordance with our July 1, 1994, through actions directed coexisting more years through a drought cycle this Interagency Cooperative Policy for Peer protected species. In addition, a data will suffice for necessary Review in Endangered Species Act provision of the West Mojave Plan, precipitation cycle data (USFWS 1998). Activities (59 FR 34270). We requested being developed by several local, State, At the start of monitoring (in 1997) an four individuals, who possess expertise and Federal agencies in the Mojave above-average rainfall was recorded and in Eriastrum hooveri biology, to review Desert area, would direct the later (2000 to 2002) monitoring data the proposed rule by the close of the establishment of a reserve for sensitive indicated below-normal rainfall. comment period. We received one plant species in areas that may support Through both extremes Eriastrum response to our request for peer review, E. hooveri; if established, the reserve hooveri remained robust (E. Cypher, and her comments are discussed below. would include prescriptions for pers. comm. 2003a and 2003c). We also received one response from the management and monitoring of the area In summary, this recovery criteria for public supporting the delisting. No (Ray Bransfield, USFWS, pers. comm. Eriastrum hooveri is satisfied because responses were received opposing the 2003). the species is protected on delisting. No requests for a public Because BLM manages land in four approximately 114,400 ha (286,000 ac) hearing were received. metapopulations, including the San of habitat and remains stable through a Comment 1: Recovery of Eriastrum Joaquin Valley floor metapopulation, precipitation cycle. hooveri should have been the rationale they are in the best position to take on Previous Federal Action for delisting, rather than the wider the responsibility of post-delisting distribution of the species and tolerance monitoring Eriastrum hooveri after On September 27, 1985, we published of disturbance. The threatened status of delisting. The determination that the a revised notice of review for native E. hooveri prompted the surveys and Recovery Plan’s monitoring criterion plants in the Federal Register (50 FR research projects that now provide had been met was made before the 39526). This revised notice added partial justification for delisting. More disjunct Mojave population was Eriastrum hooveri as a category 2 importantly, the listing led to actions by described. The Service and the BLM candidate species. Category 2 species Federal agencies to protect the species will jointly produce a post-delisting were those species for which and its habitat. Delisting E. hooveri is monitoring (PDM) plan for E. hooveri information in our possession indicated appropriate because of (1) the over the four metapopulations. It is that listing was possibly appropriate, proportion of E. hooveri on public lands assumed that any population trends and but for which additional information on and in conserved areas, (2) the information gained through the PDM biological vulnerability and threats was additional lands likely to be protected period will be representative of the needed to support a proposed rule. On during recovery efforts for other listed species range-wide including the July 27, 1989, we published a proposal species, (3) the BLM’s willingness to Mojave population (see the Post- to list E. hooveri as threatened (54 FR consider treating it as a sensitive Delisting Monitoring section of this rule 31201). The final rule listing E. hooveri species, and (4) its tolerance of for specifics on BLM’s proposed as a threatened species was published disturbance. monitoring). July 19, 1990 (55 FR 29361). On March Our Response: We agree and have 6, 2001, we published a proposed rule clarified that the delisting is due in large (4) Stable or Increasing in the Four to remove E. hooveri from the Federal part to recovery. Metapopulations, Including the San List of Endangered and Threatened Comment 2: The only recovery Joaquin Valley Floor Metapopulation, Wildlife based on information element that has not yet been met is to Through One Precipitation Cycle indicating this species was more demonstrate that the populations are The fourth recovery criterion requires widespread and abundant than was stable. demonstration of stable or increasing documented at the time of listing, was Our Response: We acknowledge that trends in four metapopulations, more resilient and less vulnerable to this recovery criterion has not been including the San Joaquin Valley floor certain activities than previously completed, however, the Recovery Plan metapopulation, through one thought, and was sufficiently protected states that for those species with precipitation cycle. This criterion has on Federal, State, and private land (66 existing data on population status been met since Eriastrum hooveri has FR 13474). spanning one or more years, these data persisted through both drought and can be included in measuring above-average rainfall in 5 years of Summary of Comments and population recovery goals if it is monitoring. The purpose of this Recommendations deemed scientifically valid and criterion was to show progress in In the March 6, 2001, proposed representative. According to the flexible achieving population goals through the delisting rule (66 FR 13474) and approach recommended in the Recovery most critical time for arid upland plants associated notifications, we invited all Plan (USFWS 1998), Eriastrum hooveri (either above or below average interested parties to submit comments data from the early 1990s was used to precipitation). Stability means the or information that might contribute to justify that the population goal for this statistically same population size during the final delisting determination for this species was not numerical, but rather a precipitation cycle that includes both species. The public comment period ‘‘stability’’ shown through monitoring drought and wet phases (a cycle was ended May 7, 2001. We contacted and during above and below-average rainfall
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years. See the ‘‘Recovery Plan Criteria’’ Summary of Factors Affecting the In the Elk Hills area, oil production section in this rule for additional Species areas are established on the upper information. Section 4 of the Act and our elevation of the hills on the former Comment 3: The peer reviewer regulations (50 CFR part 424) NPR–1. Exploration activities generally disagreed with the use of number of implementing the listing provisions of have failed to establish oil production in plants and number of ‘‘sites’’ in the the Act set forth the procedures for the lower elevations (BLM 1994). The proposed delisting rule since a very listing, reclassifying, and delisting majority (73 percent) of the Eriastrum small patch can contain a large number species. A species may be listed if one hooveri sites occur at lower elevations of plants, and the number of Eriastrum or more of the five factors described in (EG&G 1995a); therefore, the majority of hooveri individuals in a specified area section 4(a)(1) of the Act threatens the E. hooveri populations in NPR–1 are in can vary by several orders of magnitude continued existence of the species. A areas not likely to be developed for from one year to the next. ‘‘Sites’’ is an species may be delisted, according to 50 petroleum production (B. Cypher, pers. arbitrary term used to describe clusters CFR 424.11(d), if the best scientific and comm. 1998). of plants that does not indicate separate commercial data available substantiate Mobil Oil Corporation enacted populations and does not have any that the species is neither endangered measures to protect Eriastrum hooveri relationship to the ecology or nor threatened because of (1) extinction, by placing protective exclosures around reproductive biology of the species. (2) recovery, and/or (3) error in the all known sites on a Lost Hills leased Our Response: We agree and have original data for classification of the property (BLM 1994). Lewis also noted based this delisting action on the species. that above-surface pipeline corridors amount of occupied and suitable habitat After a thorough review of all appear to be unintentionally restricting that has been protected for Eriastrum available information, it is evident that access of off-highway vehicles to hooveri, along with its distribution, substantial recovery of Eriastrum remaining undisturbed habitat and, abundance, and resilience, rather than hooveri has occurred. We have consequently, are protecting many other the number of plants and sites. determined that none of the five factors sites in the area (BLM 1994). The Comment 4: Protection for Eriastrum addressed in section 4(a)(1) of the Act, Eriastrum hooveri Field Inventory hooveri will result from efforts for other and discussed below, is currently Report (BLM 1994) documents the listed species. Nine of the core areas affecting the species to the extent that E. presence of E. hooveri in large numbers identified for recovery of multiple hooveri remains threatened with throughout fully developed oilfields, species support E. hooveri. Portions of endangerment in the foreseeable future such as Lost Hills, that have been in existence for several decades. each of the core areas are already throughout all or a significant portion of Because Eriastrum hooveri establishes conserved by Federal and State agencies its range. The five listing factors, their application to the recovery of E. hooveri, on disturbed substrates such as well and nongovernmental conservation pads and pipeline rights-of-way after a organizations, and additional lands are and the identification of which threats are considered to be residual and will be period of non-use, the species likely likely to be protected through ongoing will continue to exist both on federally recovery efforts for other listed species. the subject of monitoring after delisting are discussed below. and privately owned, fully developed Our Response: We agree that oilfields (BLM 1994). EG&G Energy Eriastrum hooveri has benefited from A. The Present or Threatened Measurements (under sponsorship by conservation efforts for other listed Destruction, Modification, or the Department of Energy and Chevron) species, and is likely to continue to do Curtailment of Its Habitat or Range monitored the reestablishment of E. so. We have included specific Oil and Gas Leasing hooveri following two disturbances that information about collateral benefits in occurred on NPR–1 in 1990. At both this final rule (see ‘‘Background’’ and One of the predominant threats facing study sites, E. hooveri occupied all ‘‘The inadequacy of existing regulatory Eriastrum hooveri at the time it was disturbed plots after one growing season mechanisms’’ under ‘‘Summary of listed as a threatened species was oil and the plants increased in density from Factors Affecting the Species’’). and gas development, especially in the the first to second growing season Comment 5: Residual mulch Elk Hills area (55 FR 29361). Russ Lewis (Holmstead and Anderson 1998). restrictions cited in the proposed rule of the BLM has conducted several Holmstead and Anderson also noted are incorrect. surveys for E. hooveri on public and that E. hooveri populations were Our Response: We have made these private lands since the time of listing observed in fire breaks on NPR–1 that corrections (see ‘‘The inadequacy of (BLM 1992, 1994). Of the approximately had been tilled the previous year. existing regulatory mechanisms’’ under 1,000 new sites found by Lewis during Further, a study on the effects of ‘‘Summary of Factors Affecting the 1992 and 1994, oil and gas development simulated oilfield disturbance and top Species’’). The BLM grazing restrictions threats were present for only about 21 soil salvage showed that, although include requirements for residual mulch percent of the sites. Threats at many of surface disturbance negatively affected (dry plant material) of 568 kilograms these sites are no longer significant E. hooveri density for at least two years, (kg) per ha (500 pounds (lb) per ac), and because several oil fields are at or near E. hooveri recolonized disturbed plots 5 cm (2 in) of green growth, or 795 kg their peak of development, new drilling within two growing seasons from seed per ha (700 lb per ac). The proposed occurs on existing wellpads, or they naturally dispersed from adjacent rule to delist Eriastrum hooveri have already been abandoned (R. Lewis, habitat (Hinshaw et al. 1998). incorrectly stated that the required pers. comm. 2003). Additionally, there amount of residual dry mulch was 50 kg are other listed species in these areas; Agricultural and Urban Development per ha (49 lb per ac) and required green HCPs and section 7 consultations Agricultural and urban development growth was 318 kg per ha (238 lb per coordinated for the listed species will was also cited as a threat at the time of ac). also protect E. hooveri. For these listing. Much of the San Joaquin Valley In addition, we considered and reasons and the reasons discussed floor has been agriculturally developed, incorporated, as appropriate, into this below, we believe that the likelihood of virtually to its fullest extent. Future final rule all biological information additional habitat loss from new activity agricultural development is uncertain provided by the peer reviewer. is low. and would require encroachment into
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hilly and agriculturally less desirable indicate that off-highway vehicles are subsequent to the listing have shown geographic areas. Limited water no longer considered a threat to the that the wiry and low-growing E. availability for additional agricultural long-term survival of the species (BLM hooveri plants are not desirable forage and urban development is a severely 1994). for livestock, and that monitored areas limiting factor in the southern San Off-highway vehicle impacts are rare in both grazed and ungrazed areas Joaquin Valley. Although sites that occurrences and typically consist of tire showed no significant differences in occur within the San Joaquin Valley are tracks across occupied habitat, in many survival, size, or reproduction (BLM experiencing threats from development, cases as a one-time occurrence by a 1994). Survival was higher in grazed particularly urban or industrial single vehicle. On some roads located in areas possibly due to the reduced development along the Interstate 5 the Caliente Mountains and Cuyama vegetation cover, and E. hooveri plants corridor (R. Lewis, pers. comm. March Valley, the species was found growing were taller in ungrazed areas. Therefore, 7, 1995), the majority of the plants are in tire tracks. The species has been predation through grazing, including found along the hilly margins of the San found growing on several inactive trespass grazing, is no longer considered Joaquin Valley, usually between 90 and motorcycle paths located in the a serious threat to E. hooveri (with 910 m (300 to 3,000 ft) in elevation Kettleman Hills, some of which were regards to management of grazing refer (BLM 1994). approximately 46 cm (18 in) deep. to Factor E ‘‘Other natural or manmade One of the largest populations of Plants also grow on the margins of dirt factors affecting its continued Eriastrum hooveri occurs along the roads and in the strip of vegetation existence’’). western edge of the Interstate 5 corridor between tire tracks on unimproved No known diseases affect Eriastrum near Kettleman City. This population is roads in the Lokern, Elk Hills, and Lost hooveri. within the ACEC managed by BLM, Hills areas (E. Cypher, in litt. 2001). D. The Inadequacy of Existing where urban or industrial development The majority of the six Eriastrum Regulatory Mechanisms is unlikely to occur (BLM 1996a; R. hooveri populations in Los Padres Lewis, pers. comm. 2003). In addition, National Forest are located on lightly Eriastrum hooveri will continue to conservation efforts for other listed used or abandoned roads that receive an benefit from the many recovery and species found along the Interstate 5 estimated one to ten vehicle passes per conservation activities that are being corridor are likely to provide continued year. This light road use appears to help undertaken for the 33 other species in collateral benefits for E. hooveri. maintain the presence of the species, the Recovery Plan (collateral species Other potential threats identified for although the plants do not grow in the benefits). Nine of the core areas Eriastrum hooveri at the time it was actual tire tracks. The populations do identified for recovery of these collateral listed as a threatened species were not extend into areas, which apparently species support E. hooveri populations, impacts from groundwater recharge have suitable habitat, that surround the and portions of these core areas are basins, a proposed reservoir (the Arroyo roads (Mike Foster, Forest Service, pers. already protected (E. Cypher, in litt. Pasajero Project), and disposal of comm. 1998). 2001). Efforts to maintain linkages nutrient-laden agricultural effluent (55 Habitat disturbance will still occur in around the San Joaquin Valley edge FR 29361). The only groundwater areas of potential Eriastrum hooveri (from the Ciervo/Panoche area in Fresno recharge basin developed in the range of habitat, and may occasionally occur on County, south to Maricopa in Kern E. hooveri is the Kern Water Bank, occupied habitat. However, the Service County) focus on protection of both which helps to conserve E. hooveri has determined that the level of valley floor and hilly topography areas through HCP measures that protect disturbance will be such that pressures for San Joaquin kit fox, an endangered habitat in perpetuity. We are not aware from present or threatened destruction, species present in E. hooveri areas, and of impacts to E. hooveri from disposal modification, or curtailment of E. include grassland and chenopod scrub of nutrient-laden agricultural effluent. hooveri habitat or range, even when habitat types (USFWS 1998). Protection Land application of manure or dairy taken collectively with other residual is also afforded through habitat waste seepage is typically not threats, are sufficiently reduced and conservation plans for the collateral, conducted on natural habitat and is not contained that the species is no longer federally listed species, including the likely to impact E. hooveri (Gary Burton, threatened or endangered. The Service wide-ranging San Joaquin kit fox, blunt- Service, pers. comm. 2002). The Arroyo will monitor, as part of the required nosed leopard lizard, the California Pasajero Project remains a potential post-delisting monitoring, the jewelflower, and kern mallow. All these location for water storage for the management commitments by BLM to species are protected under the Act and environmental water account. However, limit habitat disturbance. share the same habitat types and it is anticipated that the Arroyo Pasajero climatic requirements with E. hooveri Project, if it goes forward, will have an B. Overutilization for Commercial, (Taylor and Davilla 1986). insignificant effect on E. hooveri. Recreational, Scientific, or Educational The principal mechanism that will Purposes continue to afford Eriastrum hooveri Off-Highway Vehicles Overutilization is not a factor known protection will be designation by BLM Off-highway vehicles were identified to affect Eriastrum hooveri. of E. hooveri as a sensitive species after as a threat for Eriastrum hooveri at the the species is delisted (E. Hastey, BLM, time it was listed. In 1994 the Eriastrum C. Disease or Predation in litt. 1995, T. Burke, BLM, in litt. hooveri Field Inventory Report (BLM Eriastrum hooveri tends to occupy 2002). BLM policy will minimize 1994) considered 15 percent of sites soil surface that does not support a large impacts to the species at all known sites evaluated to have potential threats from amount of vegetation. Grazing by wild that are under their jurisdiction. off-highway vehicles. However, herbivores is not known to occur. Coordination and annual reviews by the observations of the plants subsequent to Although cattle may trail through areas Service will ensure that appropriate listing suggest that the species appears occupied by E. hooveri en route to areas minimization actions will occur. To aid to persist in the absence of renewed of desirable forage, they do not appear in this review, E. hooveri population disturbance. The low number of to be grazing within the sparsely locations have been, and will continue documented impacts and the vegetated E. hooveri occupied habitat to be, placed onto BLM’s geographic recolonizing ability of E. hooveri (BLM 1994). Furthermore, observations information system (GIS) to help in the
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management of future activities that far into the future. These residual effective date of this final rule. In order may arise within the range of the threats, even when taken collectively to receive No Surprises assurances, the species (S. Carter, pers. comm. 2002). with other residual threats, are permit holder must continue to abide by Part of BLM’s commitment to the sufficiently reduced and contained so the original conditions of the permit (50 delisting of E. hooveri will be the that the species is no longer threatened CFR 17.22(b)(5) and 17.32(b)(95)). If the establishment of key monitoring or endangered. Because this delisting is permittee’s actions violate the terms of locations on public land in the four based partly on commitments by BLM the permit, then the permittee is outside metapopulations (see ‘‘Background’’ for best management practices to be the safety net of No Surprises should the under SUPPLEMENTARY INFORMATION). utilized by all grazing lessees and other species be relisted under the Act in the Additionally, BLM will evaluate the such practices that will limit future. effects of any proposed management encroachment by nonnative plants, the After the effective date of this rule, changes on E. hooveri and will Service will monitor, as part of the Federal agencies will no longer be periodically evaluate whether the required post-delisting monitoring, the required to consult with us under objective of maintaining sufficient commitments by BLM. section 7 of the Act to ensure that any numbers and distribution to preclude In summary, Eriastrum hooveri is action they authorize, fund, or carry out listing is being met. Management more widespread and abundant than is not likely to jeopardize the continued strategies will be adapted to meet this was documented at the time of listing existence of Eriastrum hooveri. objective if necessary (Tim Burke, and is more resilient and less vulnerable However, BLM intends to designate E. Acting BLM State Director, in litt. 2002). to certain activities, particularly impacts hooveri as a sensitive species and will Eriastrum hooveri is not a State-listed from grazing and oil and gas continue to minimize impacts to the species under the California Endangered development, than previously thought. species at all known sites that are under Species Act. Consequently, E. hooveri is no longer its jurisdiction. The use of E. hooveri likely to become in danger of extinction must comply with State regulations. E. Other Natural or Manmade Factors within the foreseeable future throughout There is no designated critical habitat Affecting Its Continued Existence all or a significant portion of its range. for this species. There are no specific Although Eriastrum hooveri is not a This action removes E. hooveri from the preservation or management programs desirable forage plant for livestock, Federal List of Endangered and for the species that are terminated. damage can occur by trampling as Threatened Species. animals travel across the plants getting Post-Delisting Monitoring to areas they desire. Only five percent Effective Dates Section 4(g)(1) of the Act requires that of the sites recorded by Lewis on BLM In accordance with 5 U.S.C. 553(d), the Secretary of the Interior, through the lands were affected by cattle and sheep we have determined that this rule Service, implement a monitoring grazing activities (BLM 1994). relieves an existing restriction and good program for not less than five years for Occasionally sheep trespass in E. cause exists to make the effective date all species that have been recovered and hooveri habitat, but sheep usually of this rule immediate. Delay in delisted. Post-delisting monitoring remain in one area for only a few days. implementation of this delisting would (PDM) refers to activities undertaken to Livestock trampling does not appear to cost government agencies staff time and verify that a species delisted due to constitute a serious threat to E. hooveri. monies conducting formal section 7 recovery remains secure from risk of At the time of listing, competition consultation on actions that may affect extinction after it has been removed with nonnative grasses was cited as a species no longer in need of the from the protections of the Act. The threat. Recent research and surveys have protections under the Act. Relieving the primary goal of PDM is to confirm that shown that Eriastrum hooveri prefers existing restrictions associated with this the species does not require relisting as low densities of competing plants, listed species will enable Federal threatened or endangered during the whether nonnative or native. Although agencies to focus their attention on period following removal of the Act’s E. hooveri may initially colonize areas other species in need of protection. protection. Therefore, we anticipate that having low plant cover because of data collection for PDM will be but a Effects of the Rule disturbance, it subsequently may be out- subset of that which was collected in competed by nonnative plants in areas This action removes Eriastrum support of the delisting rule. In general, with sufficient moisture (E. Cypher, hooveri from the List of Endangered and PDM plans will monitor demographic pers. comm. 1995). Taking into Threatened Plants and removes the data over a set period of time, and may consideration the discovery of the wide protections afforded E. hooveri under monitor residual threats (see distribution of this species and the the Act. However, protection provided ‘‘Definitions’’) or the effect on the abundance and extent of preferred to E. hooveri through incidental take species of the removal of the protections (sparse) habitat areas, competition with permits for co-occurring listed animal afforded by the Act, or be designed to nonnative grasses is no longer species associated with HCPs issued detect new threats. If at any time during considered a threat to the long-term under section 10(a)(1)(B) of the Act will the PDM data indicate that protective survival of E. hooveri. continue by virtue of E. hooveri status under the Act should be The Service has determined that remaining as a covered species in HCPs reinstated, we can initiate listing grazing and competition from nonnative developed for multiple species that procedures, including, if appropriate, plants is currently not a threat to the remain listed under the Act. Currently, emergency listing. A PDM plan is being species at a level for which protection E. hooveri is a covered species in at least drafted in a cooperative effort between of the Act is necessary, but six HCPs in the San Joaquin Valley for the Service and BLM to guide the acknowledges that the potential for which incidental take permits have been collection and evaluation of pertinent poorly managed grazing and the issued for various listed animal species. information over the monitoring period. pervasive problem of nonnative invasive After delisting, E. hooveri will no longer plants remains to some degree. We be a covered listed species under these Post-Delisting Monitoring Plan believe, however, that management existing multi-species HCPs; instead E. Overview commitments by BLM will protect hooveri becomes a covered non-listed The management practices of, and Eriastrum hooveri from these situations species under the same HCP as of the commitments by, the BLM, on whose
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land a substantial number of the new end post-delisting monitoring if § 17.12 [Amended] populations have been found, will information indicates that the overall ■ 2. Section 17.12(h) is amended by afford adequate protection to the species status of Eriastrum hooveri is secure removing the entry for ‘‘Eriastrum upon delisting, when Eriastrum hooveri (i.e., BLM’s RMP affords the conditions hooveri, Hoover’s woolly star’’ under will be designated by BLM as a sensitive necessary to maintain the species in ‘‘Flowering Plants’’ from the List of species pursuant to BLM Manual 6840 sufficient numbers and distribution Endangered and Threatened Plants. and California State Manual such that the status of E. hooveri is Supplement H–6840.06. The post- secure). Dated: September 29, 2003. delisting monitoring, required under Steve Williams, Paperwork Reduction Act section 4 of the Act, will be facilitated Director, Fish and Wildlife Service. by BLM’s implementation of their Office of Management and Budget [FR Doc. 03–25364 Filed 10–6–03; 8:45 am] Caliente Resource Management Plan (OMB) regulations at 5 CFR 1320, which BILLING CODE 4310–55–P (RMP) (BLM 1996). Under the RMP and implement provisions of the Paperwork separate agreements, BLM will conduct Reduction Act, require that Federal species-specific monitoring as well as agencies obtain approval from OMB DEPARTMENT OF COMMERCE monitoring of residual threats at before collecting information from the representative sites within the 4 public. An agency may not conduct or National Oceanic and Atmospheric metapopulations. Threats considered sponsor, and a person is not required to Administration ‘‘residual’’ for E. hooveri are habitat respond to, a collection of information disturbance, removal of protections unless it displays a currently valid OMB 50 CFR Part 679 afforded by the Act, and poorly control number. Implementation of this managed grazing and encroachment by rule does not include any collections of [Docket No. 021212307–3037–02; I.D. 100103B] nonnative plants. information that require approval by The Service will monitor the OMB under the Paperwork Reduction Fisheries of the Exclusive Economic implementation of these commitments Act. Zone Off Alaska; Atka Mackerel in the for the first 5 years following delisting. National Environmental Policy Act Western Aleutian District During this time the RMP and other BLM commitments will be reviewed We have determined that we do not AGENCY: National Marine Fisheries annually by the Service. The Service need to prepare an Environmental Service (NMFS), National Oceanic and will monitor BLM’s commitment to Assessment, as defined under the Atmospheric Administration (NOAA), declare Eriastrum hooveri a sensitive authority of the National Environmental Commerce. Policy Act of 1969, in connection with species, and BLM’s implementation of ACTION: Closure. the RMP with regard to residual threats. regulations adopted pursuant to section The Service will monitor the 4(a) of the Act. We published a notice SUMMARY: NMFS is prohibiting directed management commitments by BLM to outlining our reasons for this fishing for Atka mackerel in the Western limit habitat disturbance; the collective determination in the Federal Register Aleutian District of the Bering Sea and commitments by BLM, particularly the on October 25, 1983 (48 FR 49244). Aleutian Islands management area sensitive species designation, which References Cited (BSAI). This action is necessary to provide protections similar to those prevent exceeding the 2003 Atka afforded by the Act; and the use of best A complete list of all references cited mackerel total allowable catch (TAC) in management practices by all grazing herein is available upon request from this area. the Sacramento Fish and Wildlife lessees and BLM’s implementation of DATES: Effective 1200 hrs, Alaska local Office, U.S. Fish and Wildlife Service other such practices to limit time (A.l.t.), October 2, 2003, until 2400 (see ADDRESSES section). encroachment by nonnative plants. hrs, A.l.t., December 31, 2003. Additionally, we will review the data on Author FOR FURTHER INFORMATION CONTACT: Josh residual threats and E. hooveri collected Keaton, 907–586–7228. by BLM under their monitoring plan. At The primary author of this final rule the close of 5 years we will evaluate is Graciela Hinshaw, Sacramento Fish SUPPLEMENTARY INFORMATION: NMFS whether BLM’s RMP affords the and Wildlife Office, U.S. Fish and manages the groundfish fishery in the conditions necessary to maintain the Wildlife Service (see ADDRESSES BSAI exclusive economic zone species in sufficient numbers and section). according to the Fishery Management distribution such that the status of E. List of Subjects in 50 CFR Part 17 Plan for the Groundfish Fishery of the Bering Sea and Aleutian Islands Area hooveri is secure. Endangered and threatened species, The BLM monitoring plan is being (FMP) prepared by the North Pacific Exports, Imports, Reporting and record- designed to detect changes in the status Fishery Management Council under keeping requirements, Transportation. of Eriastrum hooveri primarily by authority of the Magnuson-Stevens monitoring residual threats and habitat Regulation Promulgation Fishery Conservation and Management Act. Regulations governing fishing by conditions. The BLM will monitor ■ residual threats coupled with species- For the reasons set out in the preamble, U.S. vessels in accordance with the FMP specific monitoring, in a representative we hereby amend part 17, subchapter B appear at subpart H of 50 CFR part 600 fashion within all four metapopulations, of chapter I, Title 50 of the Code of and 50 CFR part 679. including the San Joaquin Valley floor Federal Regulations, as set forth below: The 2003 TAC of Atka mackerel in the metapopulation. The BLM’s monitoring PART 17—[AMENDED] Western Aleutian District of the BSAI plan will be agreed upon by the Service. was established by the final 2003 Thresholds that would trigger an ■ 1. The authority citation for part 17 harvest specifications for groundfish in extension of monitoring or a status continues to read as follows: the BSAI (68 FR 9907, March 3, 2003) review will be presented in the Service’s Authority: 16 U.S.C. 1361–1407; 16 U.S.C. as 18,491 metric tons (mt). Regulations draft post-delisting monitoring plan. At 1531–1544; 16 U.S.C. 4201–4245; Pub. L. 99– that are the basis for specifying this TAC the end of the 5-year period, we may 625, 100 Stat. 3500, unless otherwise noted. are found at § 679.20(c)(3)(iii) and (c)(6).
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In accordance with § 679.20(d)(1)(i), Classification The AA also finds good cause to the Administrator, Alaska Region, This action responds to the best waive the 30–day delay in the effective NMFS (Regional Administrator), has available information recently obtained date of this action under 5 U.S.C. determined that the 2003 Atka mackerel from the fishery. The Assistant 553(d)(3). This finding is based upon TAC in the Western Aleutian District Administrator for Fisheries, NOAA the reasons provided above for waiver of will be reached. Therefore, the Regional (AA), finds good cause to waive the prior notice and opportunity for public Administrator is establishing a directed requirement to provide prior notice and comment. fishing allowance of 18,441 mt, and is opportunity for public comment This action is required by § 679.20 setting aside the remaining 50 mt as pursuant to the authority set forth at 5 and is exempt from review under bycatch to support other anticipated U.S.C. 553(b)(B) as such requirement is Executive Order 12866. groundfish fisheries. In accordance with contrary to the public interest. This Authority: 16 U.S.C. 1801 et seq. § 679.20(d)(1)(iii), the Regional requirement is contrary to the public Dated: October 1, 2003. Administrator finds that this directed interest as it would delay the closure of Bruce C. Morehead, fishing allowance will be reached. the fishery, lead to exceeding the Atka Consequently, NMFS is prohibiting mackerel TAC in the Western Aleutian Acting Director, Office of Sustainable Fisheries, National Marine Fisheries Service. directed fishing for Atka mackerel in the District, and therefore reduce the [FR Doc. 03–25354 Filed 10–02–03; 2:05 pm] Western Aleutian District of the BSAI. public’s ability to use and enjoy the fishery resource. BILLING CODE 3510–22–S
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Proposed Rules Federal Register Vol. 68, No. 194
Tuesday, October 7, 2003
This section of the FEDERAL REGISTER Mail comments to: Secretary, U.S. Commission, Washington, DC 20555– contains notices to the public of the proposed Nuclear Regulatory Commission, 0001. issuance of rules and regulations. The Washington, DC 20555–0001, ATTN: purpose of these notices is to give interested Rulemakings and Adjudications Staff. SUPPLEMENTARY INFORMATION: For persons an opportunity to participate in the E-mail comments to: [email protected]. If additional information see the direct rule making prior to the adoption of the final final rule published in the final rules rules. you do not receive a reply e-mail confirming that we have received your section of this Federal Register. comments, contact us directly at (301) Procedural Background NUCLEAR REGULATORY 415–1966. You may also submit COMMISSION comments via the NRC’s rulemaking This rule is limited to the changes Web site at http://ruleforum.llnl.gov. contained in Amendment 6 to CoC No. 10 CFR Part 72 Address questions about our rulemaking 1004 and does not include other aspects Web site to Carol Gallagher (301) 415– of the Standardized NUHOMS System. The NRC is using the ‘‘direct final rule RIN 3150–AH27 5905; e-mail [email protected]. Hand deliver comments to: 11555 procedure’’ to issue this amendment List of Approved Spent Fuel Storage Rockville Pike, Rockville, Maryland because it represents a limited and Casks: Standardized NUHOMS–24P, 20852, between 7:30 am and 4:15 pm routine change to an existing CoC that –52B, –61BT, –32PT, and –24PHB Federal workdays [telephone (301) 415– is expected to be noncontroversial. Revision 1966]. Adequate protection of public health Fax comments to: Secretary, U.S. and safety continues to be ensured. AGENCY: Nuclear Regulatory Nuclear Regulatory Commission at (301) Because NRC considers this action Commission. 415–1101. noncontroversial and routine, the ACTION: Proposed rule. Publicly available documents related proposed rule is being published to this rulemaking may be viewed concurrently as a direct final rule. The SUMMARY: The Nuclear Regulatory electronically on public computers direct final rule will become effective on Commission (NRC) is proposing to located at the NRC’s Public Document December 22, 2003. However, if the amend its regulations revising the Room (PDR), Public File Area O–1F21, NRC receives significant adverse Transnuclear, Inc., Standardized One White Flint North, 11555 Rockville comments by November 6, 2003, then NUHOMS Horizontal Modular Storage Pike, Rockville, Maryland. The PDR the NRC will publish a document that System (Standardized NUHOMS reproduction contractor will copy withdraws this action and will address System) listing within the ‘‘List of documents for a fee. Selected the comments received in response to approved spent fuel storage casks’’ to documents, including comments, can be the proposed amendments published include Amendment No. 6 in Certificate viewed and downloaded electronically elsewhere in this issue of the Federal of Compliance Number 1004. via the NRC rulemaking Web site at Register. A significant adverse comment Amendment No. 6 would add the http://ruleforum.llnl.gov. is a comment where the commenter NUHOMS –24PHB cask design to the Publicly available documents created explains why the rule would be Standardized NUHOMS System. The or received at the NRC after November inappropriate, including challenges to NUHOMS –24PHB cask design would 1, 1999, are available electronically at the rule’s underlying premise or permit a Part 72 licensee to store high the NRC’s Electronic Reading Room at approach, or would be ineffective or burnup Babcock & Wilcox 15x15 spent http://www.nrc.gov/NRC/ADAMS/ unacceptable without a change. A fuel assemblies with an average burnup index.html. From this site, the public comment is adverse and significant if: of up to 55,000 megawatt-days/metric can gain entry into the NRC’s (1) The comment opposes the rule and ton of uranium, enrichment equal to 4.5 Agencywide Document Access and weight percent uranium-235, a provides a reason sufficient to require a Management System (ADAMS), which substantive response in a notice-and- maximum decay heat load of 1.3 provides text and image files of NRC’s kilowatt (kW) per assembly, and a comment process. For example, in a public documents. If you do not have substantive response: maximum heat load of 24 kW per cask, access to ADAMS or if there are (a) The comment causes the NRC staff under a general license. problems in accessing the documents to reevaluate (or reconsider) its position DATES: Comments on the proposed rule located in ADAMS, contact the NRC or conduct additional analysis; must be received on or before November PDR Reference staff at 1–800–397–4209, 6, 2003. 301–415–4737, or by e-mail to (b) The comment raises an issue serious enough to warrant a substantive ADDRESSES: You may submit comments [email protected]. An electronic copy of the by any one of the following methods. proposed Certificate of Compliance response to clarify or complete the Please include the following number (CoC) and preliminary safety evaluation record; or (RIN 3150–AH27) in the subject line of report (SER) can be found under (c) The comment raises a relevant your comments. Comments on ADAMS Accession Nos. ML031980369 issue that was not previously addressed rulemakings submitted in writing or in and ML031980374. or considered by the NRC staff. electronic form will be made available FOR FURTHER INFORMATION CONTACT: (2) The comment proposes a change to the public in their entirety on the Margaret Stambaugh, telephone (301) or an addition to the rule, and it is NRC rulemaking website. Personal 415–5449, e-mail, [email protected] of the apparent that the rule would be information will not be removed from Office of Nuclear Material Safety and ineffective or unacceptable without your comments. Safeguards, U.S. Nuclear Regulatory incorporation of the change or addition.
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(3) The comment causes the NRC staff § 72.214 List of approved spent fuel identify the wines they may purchase. to make a change (other than editorial) storage casks. We invite comments on this proposed to the CoC or TS. * * * * * addition to our regulations, particularly These comments will be addressed in Certificate Number: 1004. from bottlers who use brand names a subsequent final rule. The NRC will Initial Certificate Effective Date: similar to Chehalem Mountains. not initiate a second comment period on January 23, 1995. DATES: We must receive written this action. Amendment Number 1 Effective Date: comments on or before December 8, List of Subjects in 10 CFR Part 72 April 27, 2000. 2003. Amendment Number 2 Effective Date: Administrative practice and September 5, 2000. ADDRESSES: You may send comments to procedure, Criminal penalties, Amendment Number 3 Effective Date: any of the following addresses: • Manpower training programs, Nuclear September 12, 2001. Chief, Regulations and Procedures materials, Occupational safety and Amendment Number 4 Effective Date: Division, Alcohol and Tobacco Tax and health, Penalties, Radiation protection, February 12, 2002. Trade Bureau, P.O. Box 50221, Reporting and recordkeeping Amendment Number 5 Effective Date: Washington, DC 20091–0221 (Attn: requirements, Security measures, Spent November 3, 2003. Notice No. 18). • fuel, Whistleblowing. Amendment Number 6 Effective Date: 202–927–8525 (facsimile). For the reasons set out in the December 22, 2003. • [email protected] (e-mail). preamble and under the authority of the SAR Submitted by: Transnuclear, Inc. • http://www.ttb.gov/alcohol/rules/ Atomic Energy Act of 1954, as amended; SAR Title: Final Safety Analysis index.htm. An online comment form is the Energy Reorganization Act of 1974, Report for the Standardized NUHOMS posted with this notice on our Web site. as amended; and 5 U.S.C. 553, the NRC Horizontal Modular Storage System for You may view copies of this notice, is proposing to adopt the following Irradiated Nuclear Fuel. the petition, the appropriate maps, and amendments to 10 CFR part 72. Docket Number: 72–1004. any comments received about this PART 72—LICENSING Certificate Expiration Date: January notice by appointment in our library, REQUIREMENTS FOR THE 23, 2015. 1310 G Street, NW., Washington, DC INDEPENDENT STORAGE OF SPENT Model Number: Standardized 20005; phone 202–927–8210 for an NUCLEAR FUEL, HIGH-LEVEL NUHOMS–24P, NUHOMS–52B, appointment. You may also access RADIOACTIVE WASTE, AND NUHOMS–61BT, NUHOMS–32PT, copies of the notice and comments REACTOR-RELATED WASTE and NUHOMS–24PHB. online at http://www.ttb.gov/alcohol/ GREATER THAN CLASS C WASTE * * * * * rules/index.htm. See the Public Participation section of 1. The authority citation for part 72 Dated at Rockville, Maryland, this 11th day this notice for specific instructions and of September, 2003. continues to read as follows: requirements for submitting comments For the Nuclear Regulatory Commission. Authority: Secs. 51, 53, 57, 62, 63, 65, 69, and for information on how to request 81, 161, 182, 183, 184, 186, 187, 189, 68 Stat. William D. Travers, a public hearing. Executive Director for Operations. 929, 930, 932, 933, 934, 935, 948, 953, 954, FOR FURTHER INFORMATION CONTACT: N.A. 955, as amended, sec. 234, 83 Stat. 444, as [FR Doc. 03–25367 Filed 10–6–03; 8:45 am] amended (42 U.S.C. 2071, 2073, 2077, 2092, Sutton, Specialist, Regulations and BILLING CODE 7590–01–P 2093, 2095, 2099, 2111, 2201, 2232, 2233, Procedures Division (Oregon), Alcohol 2234, 2236, 2237, 2238, 2282); sec. 274, Pub. and Tobacco Tax and Trade Bureau, 946 L. 86–373, 73 Stat. 688, as amended (42 Northwest Circle Blvd., #286, Corvallis, U.S.C. 2021); sec. 201, as amended, 202, 206, DEPARTMENT OF THE TREASURY OR 97330; telephone 415–271–1254. 88 Stat. 1242, as amended, 1244, 1246 (42 SUPPLEMENTARY INFORMATION: U.S.C. 5841, 5842, 5846); Pub. L. 95–601, sec. Alcohol and Tobacco Tax and Trade 10, 92 Stat. 2951 as amended by Pub. L. 102– Bureau TTB Background 486, sec. 7902, 106 Stat. 3123 (42 U.S.C. Background on Viticultural Areas 5851); sec. 102, Pub. L. 91–190, 83 Stat. 853 27 CFR Part 9 (42 U.S.C. 4332); secs. 131, 132, 133, 135, TTB Authority 137, 141, Pub. L. 97–425, 96 Stat. 2229, 2230, [Notice No. 18] 2232, 2241, sec. 148, Pub. L. 100–203, 101 The Federal Alcohol Administration Stat. 1330–235 (42 U.S.C. 10151, 10152, RIN: 1513–AA57 Act (FAA Act) at 27 U.S.C. 205(e) 10153, 10155, 10157, 10161, 10168). requires that alcohol beverage labels Section 72.44(g) also issued under secs. Proposed Chehalem Mountains provide the consumer with adequate 142(b) and 148(c), (d), Pub. L. 100–203, 101 Viticultural Area (2002R–214P) Stat. 1330–232, 1330–236 (42 U.S.C. information regarding a product’s 10162(b), 10168(c),(d)). Section 72.46 also AGENCY: Alcohol and Tobacco Tax and identity, while prohibiting the use of issued under sec. 189, 68 Stat. 955 (42 U.S.C. Trade Bureau (TTB), Treasury. misleading information on such labels. 2239); sec. 134, Pub. L. 97–425, 96 Stat. 2230 ACTION: Notice of proposed rulemaking. The FAA Act also authorizes the (42 U.S.C. 10154). Section 72.96(d) also Secretary of the Treasury to issue issued under sec. 145(g), Pub. L. 100–203, SUMMARY: The Alcohol and Tobacco Tax regulations to carry out its provisions, 101 Stat. 1330–235 (42 U.S.C. 10165(g)). and the Secretary has delegated this Subpart J also issued under secs. 2(2), 2(15), and Trade Bureau (TTB) proposes to 2(19), 117(a), 141(h), Pub. L. 97–425, 96 Stat. establish the Chehalem Mountains authority to the Alcohol and Tobacco 2202, 2203, 2204, 2222, 2244, (42 U.S.C. viticultural area located in Yamhill, Tax and Trade Bureau. 10101, 10137(a), 10161(h)). Subparts K and L Washington, and Clackamas Counties, Regulations in 27 CFR Part 4, Labeling are also issued under sec. 133, 98 Stat. 2230 Oregon. This proposed viticultural area and Advertising of Wine, allow the (42 U.S.C. 10153) and sec. 218(a), 96 Stat. is entirely within the approved establishment of definitive viticultural 2252 (42 U.S.C. 10198). Willamette Valley viticultural area. We areas and the use of their names as 2. In § 72.214, Certificate of designate viticultural areas to allow appellations of origin on wine labels Compliance 1004 is revised to read as bottlers to better describe the origin of and in wine advertisements. Title 27 follows: wines and allow consumers to better CFR Part 9, American Viticultural
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Areas, contains the list of approved If a wine is not eligible for the and in 1848 Joseph B. Rogers had the viticultural areas. appellation, the bottler must change the town of ‘‘Chehalem’’ platted on property brand name or other label reference and he owned where Newberg, Oregon, Definition obtain approval of a new label. Different stands today. The town had one of the Title 27 CFR 4.25(e)(1) defines an rules apply if a wine in this category earliest post offices in Yamhill County American viticultural area as a bearing a brand name traceable to a (established March 14, 1851), but the delimited grape-growing region label approved prior to July 7, 1986. See office closed within a year. distinguishable by geographic features 27 CFR 4.39(i) for details. The petition supplies evidence that whose boundaries have been delineated Chehalem has been used since that time in subpart C of part 9. These Chehalem Mountains Petition to name a Parks and Recreation District, designations allow consumers and We have received a petition from Alex businesses (27 examples), housing vintners to attribute a given quality, Sokol-Blosser, secretary of the North developments, and public roads. The reputation, or other characteristic of Willamette Valley AVA Group two public middle schools in the wine made from grapes grown in an area proposing establishment of a new Newberg school district are named to its geographic origin. viticultural area to be called ‘‘Chehalem Chehalem Valley and Mountain View. Mountains.’’ David Adelsheim, Paul Additionally, Chehalem has long been Requirements Hart, and Richard Ponzi authored the used in geographic names, such as Section 4.25(e)(2) outlines the petition. The proposed viticultural area Chehalem Creek, which runs through procedure for proposing an American is wholly within Oregon’s Willamette Chehalem Valley, which, in turn, forms viticultural area. Any interested person Valley approved viticultural area. It is the south side of the Chehalem may petition TTB to establish a grape- located toward the northern end of the Mountains. The entry for Chehalem growing region as a viticultural area. valley and begins approximately 19 Mountains in ‘‘Oregon Geographic The petition must include: miles southwest of Portland, Oregon Names’’ by Lewis L. McArthur reads, • Evidence that the proposed and 45 miles inland from the Pacific ‘‘These are the highest mountains in the viticultural area is locally and/or Ocean. It includes 106 square miles Willamette Valley * * *. The Chehalem nationally known by the name specified (67,840 acres) and straddles the Mountains and some independent spurs in the petition; boundary between Yamhill and extend from the Willamette River east of • Historical or current evidence that Washington Counties and extends well Newberg to the foothills of the Coast the boundaries of the proposed into Clackamas County. As of 2002 at range south of Forest Grove, Oregon.’’ viticultural area are as specified in the least 80 vineyards, totaling over 1,100 The term ‘‘Chehalem Mountains’’ petition; acres, plus 12 commercial wineries exist figures prominently on four of the six • Evidence of growing conditions, within the proposed boundaries of the USGS quadrangle maps (Newberg, such as climate, soils, elevation, Chehalem Mountains viticultural area, Oregon; Dundee, Oregon; Laurelwood, physical features, etc., that distinguish with more added each year. Oregon; and Scholls, Oregon) submitted the proposed area from surrounding The proposed Chehalem Mountains with this petition. The petitioners state areas; viticultural area constitutes a single, that the Chehalem Mountains (including • A description of the specific continuous landmass (measuring over the Parrett Mountain spur, the Ribbon boundaries of the proposed viticultural 20 miles in length and 5 miles in width) Ridge spur, and multiple other named area, based on features shown on United uplifted above the floor of the hills, peaks, and ridges, such as Laurel States Geological Survey (USGS) or Willamette Valley. The 200-foot Ridge, Bald Peak, Iowa Hill, Spring Hill, USGS-approved maps; and elevation line generally defines the and Fern Hill) constitute a single • Copies of the appropriate map(s) perimeter of the area, which consists of uplifted landmass easily distinguished with the boundaries prominently a series of ridges and highpoints, from the surrounding valley floor areas. marked. including two highly delineated spurs, Further, they contend that the historical Impact on Current Wine Labels Ribbon Ridge and Parrett Mountain. The name ‘‘Chehalem Mountains’’ (plural) is petitioners decided to use physical meant to include hilltops, ridges, and As appellations of origin, viticultural features and elevation as the primary spurs, even one as large as Parrett area names have geographic factors in defining the boundaries of the Mountain. significance. Our 27 CFR part 4 label proposed area. regulations prohibit the use of a brand Boundary Evidence name with geographic significance on a Name Evidence The petitioners state they know of no wine unless the wine meets the The petitioners indicate the area is previous attempts to define the exact appellation of origin requirements for locally known as the Chehalem boundaries of the Chehalem Mountains. the named area. Our regulations also Mountains. They cite references that However, the evidence submitted uses prohibit any other label references that state the modern word ‘‘Chehalem’’ physical features and elevation as the suggest an origin other than the true comes from the Indian name primary factors in defining the place of origin of the wine. ‘‘Chahelim,’’ which is listed under the boundaries of the proposed area, as well If we establish this proposed heading Atfalati (Tualatin) in the as historical information relating to viticultural area, bottlers who use brand ‘‘Handbook of American Indians.’’ This viticultural activity. names, including trademarks, like name was given to the more than 20 The petition includes maps that show Chehalem Mountains must ensure that bands of Indians living in the general the Chehalem Mountains constitute a their existing products are eligible to vicinity of the Chehalem Mountains in single, continuous landmass, uplifted use the viticultural area’s name as an the early 1800s. above the floor of the Willamette Valley, appellation of origin. For a wine to be Further, the petitioners state the word which is delineated for much of the eligible, at least 85 percent of the grapes ‘‘Chehalem’’ appears to have entered the west side and all of the north side by the in the wine must have been grown vocabulary of the early European valley formed by the Tualatin River and within the viticultural area, and the settlers in the north Willamette Valley its tributaries. On the east side, it is wine must meet the other requirements prior to 1840. A lumber mill was separated from the high ground around of 27 CFR 4.25(e)(3). installed on Chehalem Creek in 1834, Tonquin by wetlands of Rock Creek and
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Seely Ditch. The southern boundaries Tualatin River and the Chehalem at the lowest point to almost 60 inches are formed by the flood plain of the Valley. at the highest elevations on Bald Peak. Willamette River in the east and by the The sometimes steep, sometimes This is in contrast to Hillsboro and Chehalem Valley in the west. The gentle slopes of the Chehalem Beaverton just north of the Chehalem lowlands are all below the 200-foot Mountains are highly differentiated Mountains and French Prairie just south level. from the almost flat Willamette Valley of the Mountains with the lowest annual The petitioners used elevation, slope, floor. In some areas (the west side of precipitation in the Willamette Valley— and soil criteria in delineating the line Ribbon Ridge and the southeast side of under 36 inches. The annual average between what constitutes ‘‘mountains’’ Parrett Mountain), the slope of the rainfall for the Portland International and what is ‘‘valley floor.’’ They state Mountains descends steeply, then Airport, located east of the proposed the foot of the Chehalem Mountains suddenly becomes almost level, making area, is 36 inches while the Coast Range, generally lies between 200 and 250 feet the transition from Mountains to valley located west of the Chehalem above sea level. Therefore, the petition floor instantaneous and Mountains, has an average of over 100 includes all land in the area above the incontrovertible. However, for the inches of rain per year. 200-foot level, with the exception of two majority of its perimeter, the slopes of The other uplifted hills in the highly urbanized areas located east and the Chehalem Mountains shift more Willamette Valley have somewhat north of Newberg, Oregon, and west and gradually to gentle slopes, then finally higher rainfall levels than the south of Sherwood, Oregon. The to the valley floor. The petitioners used surrounding valley floor (for example, proposed area excludes flat or barely the elevation/slope/soil criteria to Eola Hills has 40 to 48 inches and Red sloping lands and includes hillsides. All determine the boundary lines in areas Hills has 40 to 44 inches), but none so hillside soils, whether marine, where the distinction is not as obvious. dramatic as the Chehalem Mountains. The petitioners also state that the sediment, basaltic, loess, or, in some Elevation cases, alluvial (where it is found in Chehalem Mountains have the greatest The Chehalem Mountains are the variation in temperature within the hillside locations) are included in the highest mountains within the Willamette Valley due to the range in proposed boundaries of the petitioned Willamette Valley. Their tallest point is elevation (200 to 1,633 feet). According Chehalem Mountains viticultural area. Bald Peak, which lies 7 miles northwest to data obtained from the Oregon The petitioners also assert the of Newberg and rises to 1,633 feet above Climate Service, heat summation during Chehalem Mountains are made up of a sea level. The valley floors, surrounding the growing season varies from over series of ridges and highpoints that the Mountains on all sides, drop below 2,200 degree-days at the base of the include two highly delineated spurs, 200 feet. The 200-foot contour line south side of the Mountains to less than Ribbon Ridge and Parrett Mountain, completely encircles the Chehalem 1,800 degree-days on the north side of which are both heavily planted to Mountains and clearly differentiates the the top of the Mountains. These vineyards. When drawn around the Mountains from the valley. The variations can result in three-week landmass of what is historically called petitioners state that these elevation differences in the ripening of Pinot Noir the Chehalem Mountains, the 200-foot differences are significant in grapes. Evapotranspiration (the loss of contour line encloses both the Ribbon distinguishing the Chehalem Mountains water from soil and plants by a Ridge and Parrett Mountain spurs. from the surrounding areas. Most of the combination of evaporation and Regarding historical evidence, the existing vineyards in the proposed transpiration) is about 3 inches less on first modern vineyard on the Chehalem viticultural area are located between the the higher parts of the Chehalem Mountains dates to 1968, when Dick 200- to 1,000-foot elevation lines. The Mountains compared to the surrounding Erath purchased 49 acres on Dopp Road petitioners assert that the areas below valleys, mostly due to temperature in Yamhill County. He called the the 200-foot level have alluvial soils differences. property Chehalem Mountain Vineyards with greater depth, fertility, and water- and planted it the following spring. holding capacity, which extend the Soil The petitioners state that, in general, Growing Conditions growing period of the vine and delay the ripening of vineyards reds, as well as the proposed area contains a The petitioners state that the result in greater exposure to frost. combination of loess, sedimentary, proposed Chehalem Mountains Therefore, the alluvial soils on the basaltic, and alluvial soils. These were viticultural area’s boundaries are based valley floor are not included in the deposited over a 17-million-year period primarily on a combination of terrain, proposed boundaries. through a series of events that included elevation, and climate factors that uplifting of the mountains from the contrast with the surrounding Climate shallow waters of the Pacific Ocean, Willamette Valley, Coast Range, and The petitioners state that the element huge eruptions of basaltic lava from the Columbia Gorge. of climate that best distinguishes the Columbia River Basalt Group, wind Chehalem Mountains is annual Physical Features blowing silt from Eastern Oregon and precipitation. Since they are the highest Washington, and alluvial deposition The physical appearance of the mountains in the Willamette Valley, from the Missoula Flood. Chehalem Mountains is the most they provide the largest obstacle to The diverse soils contained in the significant geographical feature to eastward moving storms. As the moist proposed Chehalem Mountains distinguish them from surrounding air is forced over the Chehalem viticulture area have yielded successful areas. Due to their height and length Mountains, the water vapor in the vineyards since 1968. Much of the (over 20 miles), the Chehalem cooling air condenses and falls to earth Ribbon Ridge spur is covered by Mountains are a significant landform in as terrain-induced rain. According to sedimentary soil (Willakenzie Series) northern Willamette Valley. They can be data obtained from the ‘‘Atlas of and is heavily planted to red wine seen from Portland’s West Hills and Oregon,’’ second edition (University of grapes. The central and southern from much of the northern Willamette Oregon Press, 2001), annual rainfall Chehalem Mountains also contain large Valley floor. They are the major within the boundaries of the proposed deposits of basaltic soils (mainly Jory separation between the basin of the viticultural area ranges from 37 inches Series) that contain many vineyards of
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white grapes, as well as extensive names of geographic significance, as on the TTB Web site. We may omit plantings of Pinot Noir. The Laurelwood discussed above under ‘‘Impact on voluminous attachments or material that Series of the loess soils also covers Current Wine Labels.’’ we consider unsuitable for posting. In much of the central Chehalem Although we do not acknowledge all cases, the full comment will be Mountains. receipt, we will consider your available in our library. To access the However, the petitioners assert that comments if we receive them on or online copy of this notice, visit at http:/ soil does not distinguish the Chehalem before the closing date. We will /www.ttb.gov/alcohol/rules/index.htm. Mountains from the surrounding hill consider comments received after the Select the ‘‘View Comments’’ link under formations. The sedimentary western closing date if we can. We regard all this notice number to view the posted flank of the Mountains has soils that are comments as originals. comments. much like those further to the west in Confidentiality the hills surrounding the Yamhill River Regulatory Analyses and Notices We do not recognize any submitted Basin. The basaltic-origin soils along Paperwork Reduction Act much of the southern slope and the material as confidential. All comments Parrett Mountains spur are similar to the are part of the public record and subject We propose no requirement to collect soils further south on the Red Hills and to disclosure. Do not enclose in your information. Therefore, the provisions the east side of the Eola Hills. The comments any material you consider of the Paperwork Reduction Act of 1995, confidential or inappropriate for public eolian soils on most of the north side of 44 U.S.C. 3507, and its implementing disclosure. the Mountains are much like those on regulations, 5 CFR part 1320, do not the hills further north and east in the Submitting Comments apply. Tualatin basin (e.g., Cooper and Bull You may submit comments in any of Regulatory Flexibility Act Mountains). All the alluvial soils at the four ways: base of the Chehalem Mountains are • By mail: You may send written We certify that this regulation, if much like those of the surrounding comments to TTB at the address listed adopted, will not have a significant valley flood plains. The petitioners in the ADDRESSES section. economic impact on a substantial contend that the soils contained in the • By facsimile: You may submit number of small entities, including proposed viticultural area are not what comments by facsimile transmission to small businesses. The proposal imposes make it unique. Rather, geographic 202–927–8525. Faxed comments must— no new reporting, recordkeeping, or features other than soil are what (1) Be on 8.5- by 11-inch paper; other administrative requirements. strongly differentiate the Chehalem (2) Contain a legible, written Mountains from the surrounding valley signature; and The establishment of viticultural areas floors and from the surrounding hill (3) Be five or less pages long. This represents neither our endorsement nor formations. limitation assures electronic access to approval of the quality of wine made our equipment. We will not accept from grapes grown in the designated Boundary Description faxed comments that exceed five pages. areas. Rather, this system allows us to See the narrative boundary • By e-mail: You may e-mail identify areas distinct from one another. description of the petitioned viticultural comments to [email protected]. Comments In turn, identifying viticultural areas area in the proposed regulation transmitted by electronic mail must— lets wineries describe more accurately published at the end of this notice. (1) Contain your e-mail address; the origin of their wines to consumers (2) Reference this notice number on and helps consumers identify the wines Maps the subject line; and they purchase. Thus, any benefit The petitioner provided the required (3) Be legible when printed on 8.5- by derived from using a viticultural area maps, and we list them in the proposed 11-inch paper. name results from a proprietor’s efforts • regulations. By online form: We provide a and consumer acceptance of wines from comment form with the online copy of Public Participation that area. Therefore, no regulatory this notice on our Web site at http:// flexibility analysis is required. Comments Sought www.ttb.gov/alcohol/rules/index.htm. Select the ‘‘Send comments via e-mail’’ Executive Order 12866 We request comments from anyone link under this notice number. interested. Please support your You may also write to the This proposed rule is not a comments with specific information Administrator before the comment ‘‘significant regulatory action’’ as about the proposed area’s name, closing date to ask for a public hearing. defined by Executive Order 12866. growing conditions, or boundaries. All The Administrator reserves the right to Therefore, no regulatory assessment is comments must include this notice determine, in light of all circumstances, required. number and your name and mailing whether a public hearing will be held. address. They must be legible and Drafting Information Public Disclosure written in language acceptable for B. J. Kipp of the Regulations and public disclosure. You may view copies of this notice, Procedures Division (Portland, Oregon) Because of the potential impact of a the petition, the appropriate maps, and drafted this notice. Chehalem Mountains viticultural area any comments received by appointment on current brand names that include in our library at 1310 G Street, NW., List of Subjects in 27 CFR Part 9 ‘‘Chehalem,’’ we are particularly Washington, DC 20005. You may also interested in comments regarding the obtain copies at 20 cents per 8.5- x 11- Wine. proposed area’s name. Are there other inch page. Contact us at the above Authority and Issuance names for this area that would not address or telephone 202–927–8210 to conflict with current brand names? We schedule an appointment or to request For the reasons discussed in the are also interested in suggestions for copies of comments. preamble, we propose to amend title 27, preventing conflicts between For your convenience, we will post chapter 1, part 9, Code of Federal viticultural area names and brand this notice and the comments received Regulations, as follows:
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PART 9—AMERICAN VITICULTURAL (7) Proceed west 0.3 miles to the end R3W, T1S, (0.45 miles south of Simpson AREAS of Bell Road at intersection with Oregon Road) and proceed south 0.5 miles along highway 219; the 240-foot contour line, through a 1. The authority citation for part 9 (8) Proceed west across highway 219 crescent shape to the western edge of continues to read as follows: on North Valley Road (which was Bell the Scholls Quadrant; Authority: 27 U.S.C. 205. Road) 0.45 miles to the intersection with (24) Continue on the Laurelwood the 250-foot contour line; Quadrangle in the southeast corner of 2. Subpart C is amended by adding (9) Proceed northwest 1.2 miles along Section 9._ to read as follows: section 25, R3W, T1S and proceed along the 250-foot contour line to the western the 240-foot contour line west and then Subpart C—Approved American edge of the Newberg Quadrangle; south 2.3 miles to where it crosses Viticultural Areas (10) Proceed south 0.05 miles along Laurel Road West; the western edge of the Newberg (25) Proceed east along Laurel Road * * * * * Quadrangle, section 42, R3W, T3S, to West 0.1 miles to its intersection with the intersection with the 240-foot __ the 200-foot contour line; § 9. Chehalem Mountains contour line; (26) Proceed southwest and then east (a) Name. The name of the viticultural (11) Continue onto the Dundee along the 200-foot contour line around area described in this section is Quadrangle map, section 42, R3W, T3S the Burris Creek Valley to the eastern ‘‘Chehalem Mountains’’. and proceed west 2.15 miles along the edge of the Laurelwood Quadrangle in (b) Approved Maps. The six, 1:24,000 240-foot contour line to where the line the northeast corner of section 12, R3W, scale, USGS, topographic maps used to crosses the unnamed Sullivan Lane (that T2S; determine the boundaries of the lane is east of and parallel to Calkins (27) Continue on the western edge of Chehalem Mountains viticultural area Lane); Scholls Quadrangle, section 12, R3W, are titled: (12) Proceed south along Sullivan T2S, 0.13 miles south of Laurel Road (1) Newberg Quadrangle, Oregon, 7.5 Lane 0.25 miles to the intersection with West and proceed along the 200-foot Minute Series, 1961 (photorevised North Valley Road; contour line generally southeast, 1985); (13) Proceed west along North Valley skirting the valley of McFee Creek for (2) Dundee Quadrangle, Oregon, 7.5 Road 0.1 miles to the intersection with 4.2 miles to the valley of Heaton Creek, Minute Series, 1956 (revised 1993); the 200-foot contour line; to the southern edge of the Scholls map; (3) Laurelwood Quadrangle, Oregon, (14) Proceed northwest along the 200- (28) Continue on the northern edge of 7.5 Minutes Series 1956 (revised 1992); foot contour 0.9 miles to a point where the Newberg Quadrangle, section 28, (4) Scholls Quadrangle, Oregon, 7.5 the contour line crosses an unnamed R2W, T2S and proceed along the 200- Minute Series, 1961 (photorevised creek that parallels Dopp Road; foot contour line south in a brief U- (15) Proceed north along the creek 1985); shaped formation for 0.1 miles, then 0.03 miles to the intersection with Dopp (5) Beaverton Quadrangle, Oregon, 7.5 north back to the northern edge of the Minute Series, 1961 (photorevised Road; (16) Proceed north along Dopp Road Newberg Quadrangle; 1984); and (29) Continue on Scholls Quadrangle, to the intersection with the 240-foot (6) Sherwood Quadrangle, Oregon, 7.5 section 21, R2W, T2S and proceed along contour line; Minute Series, 1961 (photorevised the 200-foot contour line generally 1985). (17) Proceed along the 240-foot contour line, first north, then south, northeast for 3.25 miles around Laurel (c) Boundary. The Chehalem Ridge to the southeastern edge of the Mountains viticultural area is located in then west, then north to a point 2.9 miles northwest, where the contour line Scholls Quadrangle; Yamhill, Washington, and Clackamas (30) Continue on the Beaverton Counties, Oregon. The area’s boundaries hits the north edge of the map. (This section coincides with the southeast, Quadrangle, section 24 R2W, T2S, 0.8 are defined as follows: miles north of Lebeau Road and proceed (1) The point of beginning (Newberg southwest, and north boundaries of the concurrently proposed Ribbon Ridge along the 200-foot contour line Quadrangle) is in Yamhill County, American viticultural area.); southeast for 1 mile to the southern edge section 15, R2W, T3S, and 3 miles east (18) Continue onto the Laurelwood of the map, section 19, R1W, T2S. of the city of Newberg where the 250- Quadrangle, section 58, R3W, T2S and (31) Continue onto the Sherwood foot contour line crosses Oregon proceed generally north along the 240- Quadrangle, section 30, R1W, T2S, 0.1 highway 99W, as that highway ascends foot contour line 7.5 miles to where the miles east of Elwert Road, proceed west the Chehalem Mountains; contour line crosses Sandstrom Road; 0.55 miles to the northwestern edge of (2) Proceed northwest 0.7 miles along (19) Proceed west 0.15 miles on the Sherwood Quadrangle, and then the 250-foot contour line until that line Sandstrom Road to its third intersection proceed 0.05 miles across the most crosses Benjamin Road (shown but with the 200-foot contour line, just prior southwestern edge of the Beaverton unnamed on Newberg Quadrangle); to Spring Hill Road; Quadrangle; (3) Proceed west 0.5 miles along (20) Proceed northwest, then (32) Continue onto Scholls Benjamin Road across the railroad northeast, and southeast 2.7 miles along Quadrangle in the southeast corner of tracks until it intersects with Spring the 200-foot contour line around Fern section 24, R2W, TS2 and proceed west Brook Road (also unnamed); Hill and Blooming Hill Roads to where then southeast along the 200-foot (4) Proceed southwest 0.3 miles along it crosses La Follette Road; contour line around the north fork of Spring Brook Road (parallel to railroad (21) Proceed south 0.2 miles on La Chicken Creek to the southeast corner of tracks) to its intersection with Follette Road to its intersection with the the map; Mountainview Drive (unnamed); 240-foot contour line; (33) Continue onto the Newberg (5) Proceed west 0.35 miles on (22) Proceed generally south, then Quadrangle, section 25, R2W, TS2 (0.2 Mountainview Drive to its intersection east 4 miles along the 240-foot contour miles from the northeast corner of the with the unnamed Aspen Way; line to the eastern edge of the map) and proceed along the 200-foot (6) Proceed north and west on Aspen Laurelwood Quadrangle; contour line until it exits the eastern Way 1.2 miles to its intersection with (23) Continue on the western edge of edge of the map, 0.25 miles south of the Bell Road; the Scholls Quadrangle, section 25, northeast corner;
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(34) Continue onto the Sherwood (49) Continue on the Newberg origin of wines and allow consumers to Quadrangle, section 25, R2W, T2S and Quadrangle, section 76, R2W, T4S, 0.3 better identify the wines they may proceed along the 200-foot contour line miles north of the north bank of the purchase. We invite comments on this (0.25 miles south of the map’s northwest Willamette River and proceed along the proposed addition to our regulations, corner) around the south fork of 200-foot contour line west by northwest particularly from bottlers who use brand Chicken Creek to the western edge of 1.1 miles to the intersection with names similar to ‘‘Yamhill-Carlton the map, 0.3 miles south; Wilsonville Road; District.’’ (35) Continue on the Newberg (50) Proceed northwest, then north 1.9 Quadrangle, section 25, R2W, T2S (0.55 miles across an unnamed tributary creek DATES: We must receive written miles south of the map’s northeast of Spring Brook; comments on or before December 8, corner and proceed along the 200-foot (51) Proceed along the unnamed 2003. contour line around the Chicken Creek tributary 0.25 miles in a south by ADDRESSES: You may send comments to lowlands to the eastern edge of the map, southwest direction to the intersection any of the following addresses— with the 200-foot contour line; 0.25 miles south of where it entered; • Chief, Regulations and Procedures (36) Continue on the Sherwood (52) Proceed along the base of Grouse Division, Alcohol and Tobacco Tax and Quadrangle, section 25, R2W, T2S (0.8 Butte, following the 200-foot contour Trade Bureau, P.O. Box 50221, miles south of the map’s northwest line to a point 0.45 miles northwest to Washington, DC 20091–0221 (Attn: corner and proceed generally east 0.4 the intersection of the contour line and Notice No. 19); miles to Elwert Road; Wilsonville Road; • (37) Proceed south on Elwert Road (53) Proceed east along Wilsonville 202–927–8525 (facsimile); 0.85 miles to its intersection with Road 0.45 miles back to the intersection • [email protected] (e-mail); Oregon highway 99W; of the road with an unnamed tributary • http://www.ttb.gov/alcohol/rules/ (38) Proceed south by southwest along creek of Spring Brook; index.htm. An online comment form is highway 99W 0.45 miles across the (54) Proceed northeast along the posted with this notice on our Web site. north fork of Cedar Creek to the unnamed tributary creek of Spring You may view copies of this notice, intersection of highway 99W and the Brook 0.05 miles to the intersection the petition, the appropriate maps, and 250-foot contour line; with the 250-foot contour line; any comments received about this (39) Proceed generally south along the (55) Proceed generally north along the notice by appointment at our library, 250-foot contour line 0.6 miles to its 250-foot contour line 1.4 miles to its 1310 G Street NW., Washington, DC intersection with Middleton Road; intersection with Corral Creek Road 20202; telephone 202–927–8210 for an (40) Proceed southwest on Middleton (misnamed Ladd Hill Road on the appointment. You may also access Road 0.3 miles to the point where it Newberg Quadrangle); and copies of the notice and comments becomes Rein Road; (56) Proceed north along Corral Creek (41) Proceed south on Rein Road 0.15 online at http://www.ttb.gov/alcohol/ Road 0.6 miles to the intersection with rules/index.htm. miles across Cedar Creek to the Oregon highway 99W, which is the intersection of Rein Road and the 200- point of beginning. See the Public Participation section of foot contour line; this notice for specific instructions and (42) Proceed generally east along the Signed: September 17, 2003. requirements for submitting comments 200-foot contour line 1.2 miles to its Arthur J. Libertucci, and for information on how to request intersection with Brookman Road Administrator. a public hearing. (shown but unnamed on map); [FR Doc. 03–25372 Filed 10–6–03; 8:45 am] FOR FURTHER INFORMATION CONTACT: N.A. (43) Proceed on Brookman Road 0.35 BILLING CODE 4810–31–P Sutton, Specialist, Regulations and miles east, then north 0.25 miles, then Procedures Division (Oregon), Alcohol east 0.15 miles (paralleling the and Tobacco Tax and Trade Bureau, 946 DEPARTMENT OF THE TREASURY Clackamas/Washington County lines); Northwest Circle Blvd., #286, Corvallis, (44) Proceed east 0.85 miles across OR 97330; telephone 415–271–1254. Ladd Hill Road and continue along the Alcohol and Tobacco Tax and Trade Clackamas/Washington County lines to Bureau SUPPLEMENTARY INFORMATION: the intersection with Baker Road 27 CFR Part 9 Homeland Security Act Impact on (shown as Brown Road on the map); Rulemaking (45) Now in Clackamas County, [Notice No. 19] proceed along Baker Road south by Effective January 24, 2003, the southeast 1 mile to the second RIN: 1513–AA59 Homeland Security Act of 2003 divided the Bureau of Alcohol, Tobacco and intersection with the 250-foot contour Proposed Establishment of the Firearms (ATF) into two new agencies, line; Yamhill-Carlton District Viticultural the Alcohol and Tobacco Tax and Trade (46) Proceed along the 250-foot Area (2002R–216P) contour line in a semicircle, first east, Bureau (TTB) in the Department of the then southeast, then southwest and AGENCY: Alcohol and Tobacco Tax and Treasury and the Bureau of Alcohol, return to Baker Road; Trade Bureau, Treasury. Tobacco, Firearms and Explosives in the (47) Proceed south along Baker Road ACTION: Notice of proposed rulemaking. Department of Justice. Regulation of 0.15 miles to its intersection with the alcohol beverage labels, including 200-foot contour line; SUMMARY: The Alcohol and Tobacco Tax viticultural area designations, is the (48) Proceed along the 200-foot and Trade Bureau proposes to establish responsibility of the new TTB. contour line in a generally southwest the ‘‘Yamhill-Carlton District’’ References to ATF in this document direction 4.45 miles along the viticultural area in northwest Oregon. relate to events that occurred prior to southwestern flank of the Parrett The proposed area is located within the January 24, 2003, or to functions that Mountain spur of the Chehalem approved Willamette Valley viticultural the Bureau of Alcohol, Tobacco, Mountains to the western edge of the area. We designate viticultural areas to Firearms and Explosives continues to map; allow bottlers to better describe the perform.
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Background on Viticultural Areas Impact on Current Wine Labels known vineyards exist in the proposed American viticultural area, with TTB Authority As appellations of origin, viticultural area names have geographic approximately 650 acres planted to The Federal Alcohol Administration significance. Our 27 CFR part 4 label grapes, with more added each year. Act (FAA Act) at 27 U.S.C. 205(e) regulations prohibit the use of a brand The petitioner’s proposal is unusual requires that alcohol beverage labels name with geographic significance on a in that the proposed boundaries provide the consumer with adequate wine unless the wine meets the encompass land that will not be part of information regarding a product’s appellation of origin requirements for the proposed viticultural area. Land identity, while prohibiting the use of the named area. Our regulations also below 200 feet and above 1,000 feet will misleading information on such labels. prohibit any other label references that be excluded due to soil and climate The FAA Act also authorizes the suggest an origin other than the true differences with land between those Secretary of the Treasury to issue place of origin of the wine. elevations. A precedent does exist for regulations to carry out the Act’s If we establish this proposed such a viticultural area. Within the provisions, and the Secretary has viticultural area, bottlers who use brand boundaries of the Mendocino Ridge delegated this authority to the Alcohol names, including trademarks like viticultural area, only land at or above and Tobacco Tax and Trade Bureau. Yamhill-Carlton District, must ensure the 1200-foot elevation is included in the viticultural area (See 27 CFR 9.158 Regulations in 27 CFR Part 4, Labeling that their existing products are eligible and T.D. ATF–392 at 62 FR 55512, and Advertising of Wine, allow the to use the viticultural area’s name as an October 27,1997). However, because of establishment of definitive viticultural appellation of origin. For a wine to be the unusual nature of such boundaries, areas and the use of their names as eligible, at least 85 percent of the grapes TTB is particularly interested in public appellations of origin on wine labels in the wine must have been grown comments on the proposed Yamhill- and in wine advertisements. Title 27 within the viticultural area, and the Carlton District boundaries. CFR Part 9, American Viticultural wine must meet the other requirements of 27 CFR 4.25(e)(3). If a wine is not Specifically, does the evidence Areas, contains the list of approved regarding elevation support the viticultural areas. eligible for the appellation, the bottler must change the brand name or other exclusion of some of the land lying Definition label reference and obtain approval of a within the proposed area’s outer boundaries? Title 27 CFR 4.25(e)(1) defines an new label. American viticultural area as a Different rules apply to wines in this Name Evidence category that have brand names delimited grape-growing region The petitioner indicates the area is traceable to labels approved prior to July distinguishable by geographic features locally known as the Yamhill-Carlton 7, 1986. See 27 CFR 4.39(i) for details. whose boundaries have been delineated District. The cities of Yamhill and In addition, if you use the viticultural in subpart C of part 9. These Carlton, Oregon, are 3 miles apart, lie at area name on a wine label in a context designations allow consumers and the center of the proposed viticultural other than an appellation of origin, the vintners to attribute a given quality, area, and have had strong ties general prohibitions against misleading reputation, or other characteristic of throughout their histories. Both were representation in 27 CFR part 4 apply. wine made from grapes grown in an area incorporated over 100 years ago and to its geographic origin. Yamhill-Carlton District Petition have existed as separate cities since that time. The hyphenated expression of the Requirements General Background cities’ names has been used since 1853 Section 4.25(e)(2) outlines the We have received a petition from Alex with the establishment of the Yamhill- procedure for proposing an American Sokol-Blosser, Secretary of the North Carlton Pioneer Cemetery. Also, the viticultural area. Anyone interested may Willamette Valley AVA Group, and Ken Yamhill-Carlton Union High School has petition TTB to establish a grape- Wright, on behalf of the winegrowers of existed since the two high schools growing region as a viticultural area. the proposed Yamhill-Carlton District, merged in 1955 and currently operates The petition must include— proposing a new viticultural area to be under supervision of the Yamhill- • Evidence that the proposed called the ‘‘Yamhill-Carlton District.’’ Carlton School District, which was viticultural area is locally or nationally The proposed viticultural area, which is formed in 1996. Further evidence of the known by the name specified in the limited to lands at or above 200 feet in ties between the two communities was petition; elevation and below 1,000 feet in a shared newspaper, the ‘‘Carlton- elevation, is wholly within Yamhill and • Historical or current evidence that Yamhill Review.’’ The cities of Yamhill Washington Counties and also falls the boundaries of the proposed and Carlton, as well as the Yamhill- within the approved boundaries of the viticultural area are as specified in the Carlton Pioneer Cemetery, are found Willamette Valley viticultural area in petition; within the boundaries of the USGS northwest Oregon. It is located Carlton Quadrangle, 7.5 minute series, • Evidence of growing conditions, approximately 35 miles southwest of topographic map. such as climate, soils, elevation, Portland, Oregon, and 25 miles inland physical features, etc., that distinguish from the Pacific Ocean. It includes a Boundary Evidence the proposed area from surrounding total of 20,900 acres. However, when the The petitioner submitted evidence areas; acreage below 200 feet in elevation and that is based primarily on soil and • A description of the specific above 1,000 feet in elevation is elevation, and to a lesser extent, climate, boundaries of the proposed viticultural subtracted, the total acreage included in as factors in defining the boundaries of area, based on features shown on United the proposed American viticultural area the proposed area, as well as historical States Geological Survey (USGS) maps is 8,500 acres. The petitioner decided to information relating to viticultural or USGS-approved maps; and use soil and elevation and, to a lesser activity. The petitioner describes the • Copies of the appropriate map(s) extent, climate, as the primary factors in proposed Yamhill-Carlton District as a with the boundaries prominently defining the boundaries of the proposed south-facing bowl containing a series of marked. area. At the time of this proposal, 26 horseshoe-shaped, eroded hills,
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comprised of sedimentary parent and Joe Campbell planted Elk Cove dominate the northern section of the material. Vineyards, an 8-acre plot comprised of proposed viticultural area, while the The western boundary of the Pinot Noir and Chardonnay. The next eastern slopes are comprised of proposed area is based on the change of significant era of planting occurred Wellsdale and Willakenzie soil series. the sedimentary soils from the volcanic between 1989 and 1992. Doe Ridge The petitioner states that the soils of the coastal range of hills. The Vineyard, McCrone Vineyard, Shea sedimentary soils of the proposed higher elevations of the coastal hills to Vineyard, Stag Hollow Vineyard, and Yamhill-Carlton District are millions of the west, generally ranging from 1,000– Willakenzie Estate combined to plant a years older than the soils in the 2,000 feet, are much cooler than the total of 183 acres during this period. surrounding areas. proposed area and have proven The first commercial wine from the By contrast, the petitioner states that unsuitable for the production of vinifera proposed Yamhill-Carlton area was the the Eola Hills (south of the proposed varietals. At the southwestern boundary, 1977 Elk Cove Estate Pinot Noir. As of Yamhill-Carlton District), Chehalem the almost purely sedimentary parent the date of this petition, 10 commercial Mountains (north and east of the material of the proposed Yamhill- wineries operate within the boundaries proposed Yamhill-Carlton District), and Carlton District changes to a mix of of the proposed area. Red Hills (southeast of the proposed basalt, slate, and sedimentary material. Yamhill-Carlton District) are dominated The southern boundary transitions to Growing Conditions by volcanic-based soils formed in the valley floor that contains deep soil Distinctive Geographic Features Miocene Era. The Eola Hills area has comprised of Willamette silts. The frost- predominately basalt soil series (Neika, prone nature of this lower elevation The petitioner describes the proposed Gelderman, Ritner) that are area, combined with its high Yamhill-Carlton District viticultural characterized by their low water permeability and fertility, make it area as a south-facing bowl consisting of capacity, slow permeability, and unsuitable for production of quality a horseshoe-shaped series of highly moderate erosion level. The Chehalem vinifera grape varieties. Abbey and eroded hills comprised of sedimentary Mountains have a combination of Kuehne Roads serve as the eastern parent material bordered by a high- Columbia River basalt, ocean border of the proposed area and mark elevation coastal range to the west, a sedimentation, and wind-blown loess the change of sedimentary parent cooler maritime-influenced area to the derivation soil types. The Red Hills material to volcanic soil of the Red Hills south, and natural lowland drainage contain soil mainly derived from of Dundee, as well as highlight a natural areas to the east and north. The soils Columbia River basalt lavas (largely drainage between the two areas. contained in the proposed Yamhill- based on the Jory series), which are Millican Creek drains along this Carlton District differ from those in moderately fertile and well drained, boundary, flowing from north to south surrounding areas either by basic rock with slight to moderate erosion levels. and eventually joining the Yamhill or age of the parent material. The petition documentation also River near the town of Lafayette. The Soil states the Ribbon Ridge area, which is Chehalem Creek estuary is a vast immediately east of the proposed drainage area that separates the The petitioner states that the most district, also contains primarily proposed Yamhill-Carlton District from significant feature that separates the sedimentary soils. However, these were the Ribbon Ridge area (a spur of the proposed Yamhill-Carlton District from formed in the Oligocene Era and are Chehalem Mountains) to the east. While nearby grape-growing regions is the younger, finer, and more uniform than the two areas are both based on predominance of ancient sedimentary the sedimentary soils of the proposed sedimentary material, the proposed soils. He believes these soils impart Yamhill-Carlton District. Yamhill-Carlton District sedimentary distinct and unique characteristics to Elevation soil is generally coarser in texture and the fruit they grow. Wines made from subject to more faulting, uplifts, and grapes grown in these sedimentary soils The petitioner defines the proposed erosion than the soils of Ribbon Ridge. often contain distinct aromatic flavors Yamhill-Carlton District viticultural The Wapato Lake Bed serves as a (coffee, cocoa, anis, cedar, tobacco) not area as lands, within the proposed large, low drainage area on the found in wines made from the same boundaries, that are at or above 200 feet northeastern boundary of the proposed variety of fruit grown in different soils. in elevation and at or below 1,000 feet Yamhill-Carlton District, separating it Also the wines made from grapes grown in elevation. The petitioner justifies the from the Chehalem Mountains. The in these sedimentary soils are bracketed elevation with the following soils of these two areas are vastly consistently lower in acidity than wines information. The floor of the proposed different in that the proposed Yamhill- made from grapes grown in basaltic or region is comprised of fine-grained soils Carlton District is highly eroded wind-blown soils. deposited as a result of the Missoula sedimentary parent material while the According to ‘‘The Roadside Geology floods, which occurred 12,000 years Chehalem Mountains, which lie across of Oregon’’ (David Alt and Donald W. ago. These soils, identified as the Wapato Lake Bed, are formed from Hyndman), the soils of the proposed Willamette silts, occur at elevations wind-blown mixed material and Yamhill-Carlton District, formed in the below 200 feet and have greater depth, overlying basalt. Finally, the northern Eocene era, were derived from marine fertility, and water-holding capacity border of the proposed area coincides sediments and ocean floor volcanic than soils of the proposed viticultural with the vast low areas of Patton Valley basalt that have a high water-holding area. The fertility and water-holding with predominately wind-blown soil. capacity with moderate to high erosion capacity of these low soils extends the Regarding historical evidence, two levels. A map prepared by Alan vegetative period of the vine and delays vineyards can lay claim to being first Campbell of NW Vineyards on the the ripening of vines planted in this planted in the proposed Yamhill- vineyard soils of Yamhill County shows area. Further, low elevation areas are Carlton viticultural area. In 1974, Roy that the western hills of the proposed also prone to frost. Conversely, areas and Betty Wahle planted 8 acres of Yamhill-Carlton District are comprised within the proposed area with vinifera grapes comprised of Pinot Noir, of two soils groups, Willakenzie on the elevations greater than 1,000 feet are Chardonnay, Riesling, and lower elevation slopes and Peavine on significantly cooler and lack necessary Gewurztraminer. That same year, Pat the upper slopes. Peavine soils heat units required to properly ripen
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wine grapes. For these reasons, the Boundary Description www.ttb.gov/alcohol/rules/index.htm. proposed Yamhill-Carlton District See the narrative boundary Select the ‘‘Send comments via email’’ viticultural area is limited to lands at or description of the petitioned viticultural link under this notice number. above 200 feet in elevation and below area in the proposed regulation You may also write to the 1,000 feet in elevation. published at the end of this notice. Administrator before the comment Climate closing date to ask for a public hearing. Maps The Administrator reserves the right to The climate of the proposed Yamhill- The petitioner provided the required determine, in light of all circumstances, Carlton District viticultural area is maps, and we list them in the proposed whether a public hearing will be held. distinct from the surrounding areas in a regulation. number of ways. The area is bordered Public Disclosure on the west by the Coast Mountains, Public Participation You may view copies of this notice, which have far fewer degree-days (at 50° the petition, the appropriate maps, and F) and are unsuitable for production of Comments Sought any comments received by appointment vinifera varietals. According to data We request comments from anyone obtained from the Oregon Climate interested. Please support your in our library at 1310 G Street NW., Service, average rainfall for the comments with specific information Washington, DC 20202. You may also proposed Yamhill-Carlton District is 42 about the proposed area’s name, obtain copies at 20 cents per 8.5- x 11- inches, while the Coast Range receives growing conditions, or boundaries. All inch page. Contact our librarian at the between 80 and 110 inches per year. comments must include this notice above address or telephone 202–927– Further, the proposed Yamhill-Carlton number and your name and mailing 8210 to schedule an appointment or to District averages 18.3 days with address. They must be legible and request copies of comments. temperatures above 90° F, while the written in language acceptable for For your convenience, we will post Coast Range has 2 days. public disclosure. this notice and the comments received The petitioner also submitted Although we do not acknowledge on the TTB Web site. We may omit evidence that the areas immediately receipt, we will consider your voluminous attachments or material that south of the proposed Yamhill-Carlton comments if we receive them on or we consider unsuitable for posting. In area are influenced by the cooling effect before the closing date. We will all cases, the full comment will be of weather systems flowing east from consider comments received after the available in our library. To access the the Pacific Ocean through the Van closing date if we can. We regard all online copy of this notice, visit http:// Duzer Corridor, a mountain gap in the comments as originals. www.ttb.gov/alcohol/rules/index.htm. Coast Range. The corridor funnels Select the ‘‘View Comments’’ link under cooling, marine, summer breezes inland Confidentiality this notice number to view the posted toward Salem, which substantially We do not recognize any submitted comments. lowers the average temperature material as confidential. All comments Regulatory Analyses and Notices achieved during the growing season. are part of the public record and subject However, the petitioner contends this to disclosure. Do not enclose in your Paperwork Reduction Act effect quickly moderates as you move comments any material you consider We propose no requirement to collect north through the proposed Yamhill- confidential or inappropriate for public information. Therefore, the provisions Carlton District from the Van Duzer disclosure. Corridor entry into the Willamette of the Paperwork Reduction Act of 1995, Valley near Dallas, Oregon. For Submitting Comments 44 U.S.C. 3507, and its implementing example, the petitioner submitted You may submit comments in any of regulations, 5 CFR part 1320, do not evidence from the Oregon Climate four ways. apply. Service which demonstrated that the 30 • By mail: You may send written Regulatory Flexibility Act year average rainfall for Dallas, Oregon comments to TTB at the address listed (south of the proposed Yamhill-Carlton in the ADDRESSES section. We certify that this regulation, if District) was 49.1 inches compared to 42 • By facsimile: You may submit adopted, will not have a significant inches for the proposed viticultural comments by facsimile transmission to economic impact on a substantial area. Further, the Oregon Climate 202–927–8525. Faxed comments must— number of small entities, including Service data on average temperatures (1) Be on 8.5- by 11-inch paper; small businesses. The proposal imposes shows that Dallas, Oregon has 51 fewer (2) Contain a legible, written signature; no new reporting, recordkeeping, or degree-days than McMinnville, Oregon and other administrative requirements. (which is at the southern border of the (3) Be five or less pages long. This The establishment of viticultural areas proposed Yamhill-Carlton District) and limitation assures electronic access to represents neither our endorsement nor 186 fewer degree-days than Forest our equipment. We will not accept approval of the quality of wine made Grove, Oregon (which lies 6 miles north faxed comments that exceed five from grapes grown in the designated of the proposed viticultural area). pages. areas. Rather, this system allows us to The Patton Valley, a vast low area just • By e-mail: You may e-mail identify areas distinct from one another. north of the proposed Yamhill-Carlton comments to [email protected]. Comments In turn, identifying viticultural areas District, has an annual rainfall average transmitted by electronic mail must— lets wineries describe more accurately difference of slightly more than 2 inches (1) Contain your e-mail address; the origin of their wines to consumers when compared with the proposed (2) Reference this notice number on the and helps consumers identify the wines viticultural area. However, the 30-year subject line; and they purchase. Thus, any benefit average temperature data from the (3) Be legible when printed on 8.5-by derived from using a viticultural area Oregon Climate Service shows the area 11-inch paper. name results from a proprietor’s efforts north of Patton Valley to have 135 more • By online form: We provide a and consumer acceptance of wines from degree-days than the proposed Yamhill- comment form with the online copy of that area. Therefore, no regulatory Carlton District. this notice on our Web site at http:// flexibility analysis is required.
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Executive Order 12866 Willamette Valley viticultural area in western boundary of the McMinnville This proposed rule is not a northwest Oregon. Quadrangle; (1) The point of beginning is the (13) From the western boundary of the ‘‘significant regulatory action’’ as intersection of State highway 47 and McMinnville Quadrangle continue to defined by Executive Order 12866. Gaston Road, which lies within the follow the same 200-foot elevation line Therefore, no regulatory assessment is Gaston Quadrangle. From the point of in an easterly/northeasterly direction required. beginning: approximately 3.03 miles to the Drafting Information (2) Follow Gaston Road in a westerly intersection of the 200-foot elevation line and northern boundary of the Bernard J. Kipp of the Regulations and direction approximately 0.10 mile to the McMinnville Quadrangle/southern Procedures Division drafted this notice. intersection with the 200-foot elevation line; boundary of the Carlton Quadrangle; List of Subjects in 27 CFR Part 9 (3) Follow the 200-foot elevation line (14) From the southern boundary of Wine. in a westerly direction approximately the Carlton Quadrangle, continue to 1.86 miles to a point at which the 200- follow the same 200-foot line in a Authority and Issuance foot elevation line crosses South Road generally northwesterly direction For the reasons discussed in the for the fourth and final time; approximately 6.2 miles to the preamble, we propose to amend title 27, (4) Follow South Road in a generally intersection of the 200-foot elevation chapter 1, part 9, Code of Federal westerly direction approximately 1.90 line and the western boundary of the Regulations, as follows: miles to its second intersection with the Carlton Quadrangle/eastern boundary of Washington County/Yamhill County the Fairdale Quadrangle; PART 9—AMERICAN VITICULTURAL line. This point is 250 feet southeast of (15) From the eastern boundary of the AREAS the first intersection of South and Mt. Fairdale Quadrangle, continue to follow Richmond Roads; the same 200-foot elevation line in a 1. The authority citation for part 9 (5) Follow the Washington County/ generally westerly direction continues to read as follows: Yamhill County line in a westerly approximately 3.3 miles to the Authority: 27 U.S.C. 205. direction approximately 2.12 miles to intersection of the 200-foot elevation 2. Amend subpart C by adding § 9._ to the western boundary of the Gaston line and the UTM line 4–77–000mE; read as follows: Quadrangle/eastern boundary of the (16) Follow UTM line 44–77–000mE Turner Creek Quadrangle; due north approximately 0.13 miles to Subpart C—Approved American (6) From the eastern boundary of the the intersection of the UTM line 4–77– Viticultural Areas Turner Creek Quadrangle, follow the 000mE and the same 200-foot elevation Washington County/Yamhill County line; * * * * * line in a westerly direction (17) Follow the same 200-foot elevation line in a generally easterly § 9.l Yamhill-Carlton District approximately 1.6 miles to the intersection of the County line and the direction on the north side of Panther (a) Name. The name of the viticultural 1,000-foot elevation line; Creek drainage approximately 5.04 area described in this section is (7) Follow the 1,000-foot elevation miles to the intersection of the 200-foot ‘‘Yamhill-Carlton District’. line in a generally southeasterly, then line and the eastern boundary of the (b) Approved Maps. The appropriate generally westerly direction Fairdale Quadrangle/western boundary maps for determining the boundary of approximately 4.25 miles to the of the Carlton Quadrangle; the Yamhill-Carlton District viticultural intersection of the 1,000-foot line and (18) Follow the same 200-foot area are eight 1:24,000 scale, United the Universal Transverse Mercator elevation line in a generally easterly, States Geological Survey, 7.5 Minute (UTM) line 4–77–000mE, then generally northerly direction Series, topographic maps. They are (8) Follow the UTM line 4–77–000mE approximately 21.61 miles to the upper titled: due south approximately 2.98 miles to northwest corner of the Carlton (1) Gaston Quadrangle, Oregon, 1956, the intersection of the UTM line 4–77– Quadrangle where the 200-foot revised 1993; 000mE and the southern boundary of elevation line intersects the western (2) Turner Creek Quadrangle, Oregon, the Turner Creek Quadrangle/northern boundary of the Carlton Quadrangle/ 1979; boundary of the Fairdale Quadrangle; eastern boundary of the Fairdale (3) Fairdale Quadrangle, Oregon— (9) Follow UTM line 4–77–000mE due Quadrangle; Yamhill Co., 1979; south from the northern boundary of the (19) From the eastern boundary of the (4) Muddy Valley Quadrangle, Oregon— Fairdale Quadrangle approximately 8.62 Fairdale Quadrangle, continue to follow Yamhill Co., 1979, revised 1992; miles to the southern boundary of the the same 200-foot elevation line in a (5) McMinnville Quadrangle, Oregon— Fairdale Quadrangle/northern boundary generally northwesterly, then easterly Yamhill Co, 1957, revised 1992; of the Muddy Valley Quadrangle; direction for approximately 0.23 miles (6) Carlton Quadrangle, Oregon— (10) Follow UTM line 4–77–000mE to the intersection of the 200-foot Yamhill Co., 1957, revised 1992; due south from the northern boundary elevation line and the eastern boundary (7) Dundee Quadrangle, Oregon, 1956, of the Muddy Valley Quadrangle of the Fairdale Quadrangle/western revised 1993; and approximately 1.51 miles to the boundary of the Carlton Quadrangle; (8) Laurelwood Quadrangle, Oregon, intersection of UTM line 4–77–000mE (20) From the western boundary of the 1956, revised 1992. and Baker Creek Road; Carlton Quadrangle, continue to follow (c) Boundary. The Yamhill-Carlton (11) Follow Baker Creek Road in a the same 200-foot elevation line in a District viticultural area, which is generally easterly direction generally easterly, then circular path limited to lands at or above 200 feet approximately 0.76 miles to the approximately 0.45 miles back to the in elevation and below 1,000 feet in intersection of Baker Creek Road and western boundary of the Carlton elevation, is located entirely in the 200-foot elevation line; Quadrangle/eastern boundary of the Yamhill and Washington Counties, (12) Follow the 200-foot elevation line Fairdale Quadrangle; Oregon, and also falls within the until it intersects the eastern boundary (21) From the eastern boundary of the approved boundaries of the of the Muddy Valley Quadrangle/ Fairdale Quadrangle, continue to follow
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the same 200-foot elevation line in a miles, back to the southern boundary of ENVIRONMENTAL PROTECTION generally westerly direction south of the the Laurelwood Quadrangle/northern AGENCY North Yamhill River and then in a boundary of the Dundee Quadrangle; 40 CFR Parts 30, 31, 33, 35 and 40 generally easterly direction north of the (31) From the northern boundary of North Yamhill River approximately 1.04 the Dundee Quadrangle, continue to [Docket ID No. OA–2002–0001; FRL–7569– miles to the intersection of the 200-foot follow the same 200-foot elevation line 7] elevation line and the eastern boundary of the Fairdale Quadrangle/western in a generally southerly, then northerly RIN 2020–AA39 boundary of the Carlton Quadrangle; direction approximately 0.57 miles to (22) From the western boundary of the the intersection of the 200-foot elevation Public Hearings on Participation by Carlton Quadrangle, continue to follow line and the northern boundary of the Disadvantaged Business Enterprises the same 200-foot elevation line in a Dundee Quadrangle/southern boundary in Procurement under Environmental generally southeasterly direction of the Laurelwood Quadrangle; Protection Agency Financial Assistance Agreements approximately 39.26 miles to the (32) From the southern boundary of intersection of the 200-foot elevation the Laurelwood Quadrangle, continue to AGENCY: Environmental Protection line and the eastern boundary of the follow the same 200-foot elevation line Agency (EPA). Carlton Quadrangle/western boundary in a generally northwesterly direction ACTION: Proposed rule; public hearings. of the Dundee Quadrangle; approximately 3.5 miles to the (23) From the western boundary of the SUMMARY: This document announces the intersection of the 200-foot elevation Dundee Quadrangle, continue to follow dates and locations of Tribal public line and the western boundary of the the same 200-foot elevation line in a hearings wherein EPA will take generally southeasterly, then Laurelwood Quadrangle/eastern comments on its proposed rule for southwesterly direction approximately boundary of the Gaston Quadrangle; ‘‘Participation by Disadvantaged 1.1 miles to the intersection of the 200- (33) From the eastern boundary of the Business Enterprises in Procurement foot elevation line and the western Gaston Quadrangle, continue to follow under Environmental Protection Agency boundary of the Dundee Quadrangle/ the same 200-foot elevation line in a Financial Assistance Agreements,’’ eastern boundary of the Carlton generally westerly, then northeasterly published on July 24, 2003 at 68 FR Quadrangle; direction approximately 0.52 miles to 43824. These Tribal public hearings will (24) From the eastern boundary of the the intersection of the 200-foot elevation be held during the 180-day public Carlton Quadrangle, continue to follow line and the eastern boundary of the comment period for the proposed rule, the same 200-foot line in a generally Gaston Quadrangle/western boundary of which ends on January 20, 2004. EPA southerly direction approximately 2.55 the Laurelwood Quadrangle; will publish information concerning miles to the intersection of the 200-foot additional public hearings and Tribal line and the eastern boundary of the (34) From the western boundary of the public hearings during the comment Carlton Quadrangle/western boundary Laurelwood Quadrangle, continue to period when that information becomes of the Dundee Quadrangle; follow the same 200-foot elevation line available. (25) From the western boundary of the in a generally northerly direction DATES: See SUPPLEMENTARY Dundee Quadrangle, continue to follow approximately 0.96 miles to the INFORMATION for hearing dates. intersection of the 200-foot elevation the same 200-foot elevation line in a ADDRESSES: See SUPPLEMENTARY generally northeasterly direction line and the western boundary of the INFORMATION for addresses. approximately 2.65 miles to the Laurelwood Quadrangle/eastern FOR FURTHER INFORMATION CONTACT: intersection of the 200-foot elevation boundary of the Gaston Quadrangle; and Mark Gordon, Attorney Advisor, at (202) line and Abbey Road; (35) From the eastern boundary of the (26) Follow Abbey Road in a generally 564–5951, Kimberly Patrick, Attorney Gaston Quadrangle, continue to follow northerly direction approximately 1.7 Advisor, at (202) 564–5386, or David the same 200-foot elevation line in a miles to the intersection of Abbey and Sutton, Deputy Director at (202) 564– Kuehne Roads; generally northwesterly direction 4444, Office of Small and Disadvantaged (27) Follow Kuehne Road in a approximately 4.55 miles to the Business Utilization, U.S. generally northeasterly, then northerly intersection of the 200-foot elevation Environmental Protection Agency, Mail direction approximately 1.85 miles to line and the point of beginning. Code 1230A, Ariel Rios Building, 1200 Pennsylvania Avenue, NW., the intersection of Kuehne Road and Signed: September 17, 2003. Washington, DC 20460. State highway 240; Arthur J. Libertucci, (28) Follow State highway 240 in an SUPPLEMENTARY INFORMATION: EPA easterly direction approximately 0.19 Administrator. published its proposed rule for miles to the intersection of State [FR Doc. 03–25373 Filed 10–6–03; 8:45 am] Participation by Disadvantaged Business highway 240 and the 200-foot elevation BILLING CODE 4810–31–P Enterprises in Procurement under line; Environmental Protection Agency (EPA) (29) Follow the 200-foot elevation line Financial Assistance Agreements on in a generally northerly direction along July 24, 2003 at 68 FR 43824. EPA has the west side of the Chehalem Creek established an official public docket for approximately 4.52 miles to the this action under Docket ID No. OA– intersection of the 200-foot elevation 2002–0001. The proposed rule and line and the northern boundary of the supporting materials are available for Dundee Quadrangle/southern boundary public viewing at the Office of of the Laurelwood Quadrangle; Environmental Information Docket in (30) From the southern boundary of the EPA Docket Center (EPA/DC), EPA the Laurelwood Quadrangle, continue to West, Room B102, 1301 Constitution follow the same 200-foot elevation line Ave., NW., Washington, DC. The EPA in a short loop, approximately 0.42 Docket Center Public Reading Room is
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open from 8:30 a.m. to 4:30 p.m., ENVIRONMENTAL PROTECTION 566–1744, and the telephone number for Monday through Friday, excluding legal AGENCY the Air and Radiation Docket and holidays. The telephone number for the Information Center is (202) 566–1742. Reading Room is (202) 566–1744, and 40 CFR Part 80 An electronic version of the public the telephone number for the Office of [FRL–7566–7] docket is available through EPA Dockets Environmental Information is (202) (EDOCKET) at http://www.epa.gov/ 566–1752. An electronic version of the Use of Alternative Analytical Test edocket. Use EDOCKET to submit or public docket is available through EPA’s Methods in the Reformulated Gasoline, view public comments, access the index electronic public docket and comment Anti-Dumping, and Tier 2 Gasoline listings of the contents of the public systems, EPA Dockets. You may use Sulfur Control Programs docket, and to access those documents EPA Dockets at http://www.epa.gov/ AGENCY: Environmental Protection in the public docket that are available edocket to submit or view public electronically. Once in the system, comments, access the index listing of Agency (EPA). select ‘‘search,’’ then key in the docket the contents of the official public ACTION: Notice of proposed rulemaking. ID number identified above. docket, and to access those documents SUMMARY: EPA proposes to allow the use in the public docket that are available Any comments related to the of certain alternative analytical test electronically. Once in the system, proposed rule should be submitted to methods for measuring sulfur in select ‘‘search,’’ and then key in docket EPA within 30 days of this notice, and gasoline and butane under the Federal identification number OA–2002–0001. according to the following detailed reformulated gasoline (RFG) and anti- You may access this Federal Register dumping program and the Federal instructions: Submit your comments to document electronically through the gasoline sulfur control program. We also EPA online using EDOCKET (our EPA Internet under the ‘‘Federal propose to allow refineries to use any preferred method) or by mail to EPA Register’’ listings at http://www.epa.gov/ reasonable test method designed for Docket Center, Environmental fedrgstr. measuring the sulfur content of butane Protection Agency (6102T), 1200 Dates: The Tribal public hearings until January 1, 2004. After that date, Pennsylvania Avenue, NW., addressed by this Federal Register either the designated analytical test Washington, DC 20460. Proposal are scheduled as follows: 1. October 8, 2003, 10:30 a.m. to 3 method or an allowed alternative EPA’s policy is the public comments, p.m., Worley, Idaho. analytical test method would have to be whether submitted electronically or in 2. October 16, 2003, 3 p.m. to 5 p.m., used. The purpose of today’s proposal is paper format, will be made available for Albuquerque, New Mexico. to grant temporary flexibility until we public viewing in EDOCKET as EPA 3. November 18, 2003, 9 a.m. to 12 issue a comprehensive performance- receives them and without change, p.m., East Syracuse, New York. based analytical test methods rule and unless the comment contains 4. December 9, 2003, 9 a.m. to 5 p.m., to fulfill the terms of a recent settlement copyrighted material, CBI, or other Atlanta, Georgia. agreement related to gasoline sulfur test information whose public disclosure is 5. January 14, 2004, 9 a.m. to 5 p.m., methods. otherwise restricted by statue, is not Chicago, Illinois. DATES: Comments or a request for a included in the official public docket, Addresses: The Tribal public hearings public hearing must be received by and will not be available for public will be held at the following locations: November 6, 2003. viewing in EDOCKET. For further 1. EPA Region X Tribal Leader’s ADDRESSES: For more information or to information about the electronic docket, Summit, Coeur d’Alene Casino Resort request a public hearing, please contact Hotel, 27068 South Highway 95, see EPA’s Federal Register notice Anne Pastorkovich, Attorney/Advisor, describing the electronic docket at 67 Worley, Idaho 83876. Transportation & Regional Programs 2. EPA Region VI Tribal FR 38102 (May 31, 2002), or go to http:/ Division, U.S. Environmental Protection /www.epa.gov/edocket. Environmental Summit, Albuquerque Agency, 1200 Pennsylvania Avenue, Marriott Hotel, 2101 Louisiana NW. (6406J), Washington, DC 20460, or FOR FURTHER INFORMATION CONTACT: If Boulevard, NE., Albuquerque, New by e-mail to pastorkovich.anne- you would like further information Mexico 87110. [email protected]. No confidential about this proposed rule or to request a 3. EPA Region II Indian Nation business information (CBI) should be hearing, contact Anne Pastorkovich, Leaders Meeting, Embassy Suites Hotel submitted by e-mail. Attorney/Advisor, Transportation & Syracuse, 6646 Old Collamer Road, East EPA has established a public docket Regional Programs Division, (202) 564– Syracuse, New York 13057. for this proposed rule under Docket ID 4. Sam Nunn Atlanta Federal Center, 8987 or by e-mail at pastorkovich.anne- No. OAR–2003–0050, which is available 61 Forsyth Street, Atlanta, Georgia [email protected]. for public viewing at the Air and 30303. SUPPLEMENTARY INFORMATION: 5. Metcalfe Federal Building, Room Radiation Docket and Information 331, 77 West Jackson Boulevard, Center (EPA/DC) in the EPA Docket I. Regulated Entities Chicago, Illinois 60604. Center, EPA West, Room B102, 1301 Constitution Avenue, NW., Washington, Entities potentially regulated by the Dated: October 2, 2003. DC. The EPA Docket Center Public action are those that use analytical test Thomas J. Gibson, Reading Room is open from 8:30 a.m. to methods to comply with the RFG, anti- Chief of Staff. 4:30 p.m., Monday through Friday, dumping, and gasoline sulfur control [FR Doc. 03–25400 Filed 10–6–03; 8:45 am] excluding legal holidays. The telephone program. Regulated categories and BILLING CODE 6560–50–P number for the Reading Room is (202) entities include:
Category NAICSs SIC Examples of potentially regu- codes a codes b lated parties
Industry ...... 324110 2911 Petroleum refiners.
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Category NAICSs SIC Examples of potentially regu- codes a codes b lated parties
Industry ...... 422710 5171 Gasoline Marketers and Dis- tributors. 422720 5172 a North American Industry Classification System (NAICS). b Standard Industrial Classification (SIC) system code.
This table is not intended to be gasoline sulfur control program begins rulemaking will take more time to exhaustive, but rather provides a guide phasing-in in 2004, and, in general, complete than originally anticipated. for readers regarding entities likely to be refiners must meet a refinery average We feel that permitting specific ASTM regulated by this action. This table lists sulfur standard of 30 ppm beginning in test methods to be used as alternative all entities that we are now aware could 2005 and a per gallon cap standard of analytical test methods now provides a potentially be regulated by this action. 80 ppm beginning in 2006 (with the bridge to a more comprehensive Other types of entities not listed in this exception of challenged refiners, and performance based test methods table could also be regulated by this gasoline sold in certain western states approach in the future and grants action. To determine whether your subject to geographic phase-in). refiners, importers and blenders business is regulated by this action, you Under the RFG, anti-dumping and significant flexibility and potential cost should carefully examine the gasoline sulfur program, refiners, savings in meeting their testing applicability criteria in part 80 of title importers, and oxygenate blenders are requirements. 40 of the Code of Federal Regulations. required to test RFG and conventional As discussed in a May 16, 2003, If you have any questions regarding the gasoline for certain parameters, Federal Register notice,3 Antek applicability of this action to a including sulfur levels, aromatic Instruments, which manufactures particular entity, consult the person content, benzene content, and oxygen testing equipment, filed a petition listed in the preceding section of this content. Test methods for determining challenging the final gasoline sulfur document. these parameters are specified in the control rule. EPA and Antek entered regulation. For the sulfur content of into negotiations and reached a II. Background and Summary of gasoline, 40 CFR 80.46(a)(1) specifies Today’s Proposed Rule proposed settlement agreement. The American Society for Testing and proposed settlement agreement outlined Section 211(k) of the Clean Air Act Materials (ASTM) standard method D– a proposed rule which would identify (CAA) directs EPA to establish 2622–98, entitled, ‘‘Standard Test ASTM D 5453–00 e1 as an alternative standards requiring the greatest Method for Sulfur in Petroleum test method refiners and importers reduction in emissions of ozone forming Products by Wavelength Dispersive X- could use to comply with the volatile organic compounds (VOCs) and Ray Fluorescence Spectrometry’’ as the requirement to test gasoline for sulfur toxic air emissions achievable through designated test method. In addition, the content, provided the test result is the reformulation of conventional gasoline sulfur rulemaking required a correlated with ASTM D 2622–98. In gasoline, considering cost, other health test method for determining the sulfur today’s action, EPA is proposing to and environmental factors and energy content of butane blended into revise its regulations to include such a requirements. The Act requires that RFG gasoline—ASTM standard method D provision. The proposed settlement meet certain content standards for 3246–96, entitled ‘‘Standard Test agreement was available for comment oxygen, benzene, and heavy metals. Method for Sulfur in Petroleum Gas by until June 16, 2003. No adverse RFG must be used in certain ozone Oxidative Microcoulometry.’’ comments were received. nonattainment areas, called ‘‘covered In the gasoline sulfur control For the reasons discussed above, we areas.’’ The CAA also requires EPA to rulemaking, we specifically requested are proposing to revise 40 CFR 80.46(a) establish anti-dumping standards comments on the designated test to allow the use of ASTM D 5453–00 e1, applicable to conventional gasoline method. We also requested comments entitled ‘‘Standard Test Method for used in the rest of the country. The on other ASTM methods. After Determination of Total Sulfur in Light Administrator signed the final RFG and considering comments received from Hydrocarbons, Motor Fuels and Oils by anti-dumping regulations on December the regulated industry during the Ultraviolet Fluorescence,’’ ASTM D 15, 1993,1 and these regulations became gasoline sulfur rulemaking process, 6428–99, entitled ‘‘Test Method for effective in January 1995. including many comments supportive of In 2000, EPA issued regulations Total Sulfur in Liquid Aromatic ASTM D 2622–98 as the designated Hydrocarbons and Their Derivatives by establishing lower sulfur content method, we decided to require the use requirements for all gasoline 2 and Oxidative Combustion and of ASTM D 2622–98 for measuring Electrochemical Detection,’’ and ASTM establishing stricter tailpipe emissions sulfur content. We did not name any e1 standards for all passenger vehicles, D 3120–96 (Reapproved 2002 ) , alternative analytical test methods entitled ‘‘Standard Test Method for including sport utility vehicles (SUVs), because we anticipated that a minivans, vans and pick-up trucks. The Trace Quantities of Sulfur in Light comprehensive performance-based Petroleum Hydrocarbons by Oxidative analytical test method approach rule Microcoulometry.’’ Refiners and 1 ‘‘Regulation of Fuels and Fuel Additives: would be issued in the near future. A Standards for Reformulated and Conventional importers would be able to choose Gasoline—Final Rule,’’ 59 FR 7812 (February 16, comprehensive performance based test which of these test methods best fits 1994). See 40 CFR part 80 subparts D, E, and F. methods approach would allow anyone their needs for compliance 2 ‘‘Control of Air Pollution From New Motor to qualify additional analytical test measurements. We believe that Vehicles: Tier 2 Motor Vehicles Emissions methods for use in demonstrating Standards and Gasoline Sulfur Control Requirements—Final Rule,’’ 65 FR 6698 (February compliance with program requirements. 3 See ‘‘Notice of Proposed Settlement Agreement; 10, 2000). See also 40 CFR part 80 subpart H for We now know that a comprehensive Request for Public Comment,’’ 68 FR 26604 (May regulations applicable to gasoline sulfur. performance based test methods 16, 2003).
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permitting the use of these test methods Technology Transfer and Advancement an annual effect on the economy of $100 is desirable from the standpoint of Act of 1995,’’ (NTTAA) section 12(d) of million or more and is not expected to permitting regulated parties more Public Law 104–113, and Office of have any adverse economic effects as flexibility. A refiner or importer would Management and Budget (OMB) described in the Order. This proposed be able to determine gasoline sulfur Circular A–119. Both of these rule does not raise issues of consistency content using ASTM D 5453–00 e1 or documents are designed to encourage with the actions taken or planned by any of the specified alternative the adoption of standards developed by other agencies, would not materially analytical test methods named in the ‘‘voluntary consensus bodies’’ and to alter the cited budgetary impacts, and rule, provided that the refiner or reduce reliance on government-unique does not raise any novel legal or policy importer result is correlated to ASTM D standards where such consensus issues as defined in the Order. 2622–98. standards would suffice. This proposed B. Paperwork Reduction Act In order to ‘‘correlate’’ a test result rule would provide for the use of from an alternative test method to the alternative test methods for the This proposed rule would not add any designated test method, a laboratory measurement of sulfur in gasoline and new requirements involving the would have to develop and apply a butane under the RFG, anti-dumping, collection of information as defined by ‘‘correlation equation’’ to the alternative and gasoline sulfur control programs. the Paperwork Reduction Act, 44 U.S.C. test method result. Because the Allowing these test methods, which are 3501 et seq. Today’s proposed rule ‘‘correlation equation’’ is designed to widely available and approved by would only permit more flexibility to provide a prediction of the designated ASTM, a ‘‘voluntary consensus body,’’ parties in their choice of analytical test test method result from the use of an is directly consistent with the goals of methods. OMB has approved the alternative test method, the ‘‘correlation the NTTAA and OMB Circular A–119. information collection requirements equation’’ eliminates bias between the Any environmental effects of today’s contained in the final reformulated designated test method and the proposed action would be minimal, as gasoline (RFG) and anti-dumping alternative test method, so results may it would merely grant limited flexibility rulemaking and gasoline sulfur control be compared between these methods. to regulated parties in their choice of rulemaking has assigned OMB control After applying the correlation equation, test method for determining the sulfur number 2060–0277. Burden means the total time, effort, or the results obtained from an alternative content of gasoline and butane. The financial resources expended by persons test method should be equivalent to the economic effects of today’s proposed to generate, maintain, retain, or disclose result you would obtain if you had used action are expected to be positive, since or provide information to or for a the designated test method. Users of a it permits regulated parties the Federal agency. This includes the time correlation equation should periodically flexibility to choose the test method needed to review instructions; develop, verify its correlation to the designated they will use to comply with existing acquire, install, and utilize technology test method. regulations. This notice of proposed rulemaking and systems for the purposes of also proposes to permit the use of III. Administrative Requirements collecting, validating, and verifying ASTM D 4468–85 (Reapproved 2000), information, processing and A. Executive Order 12866: Regulatory ‘‘Standard Test Method for Total Sulfur maintaining information, and disclosing Planning and Review in Gaseous Fuels by Hydrogenolysis and and providing information; adjust the Rateometric Colorimetry’’ as an Under Executive Order 12866, (58 FR existing ways to comply with any alternative test method for butane, 51735; October 4, 1993) the Agency previously applicable instructions and because it is an ASTM approved method must determine whether the regulatory requirements; train personnel to be able that some refiners may elect to use. If a action is ‘‘significant’’ and therefore to respond to a collection of refiner, importer, or blender chooses to subject to OMB review and the information; search data sources; measure butane levels with this requirements of the Executive Order. complete and review the collection of alternative analytical test method, the The Order defines ‘‘significant information; and transmit or otherwise results would have to be correlated to D regulatory action’’ as one that is likely disclose the information. An Agency 3246–96, ‘‘Standard Test Method for to result in a rule that may: may not conduct or sponsor, and a Sulfur in Petroleum Gas by Oxidative (1) Have an annual effect on the person is not required to respond to a Microcoulometry,’’ which is the test economy of $100 million or more or collection of information unless it method currently designated in the adversely affect in a material way the displays a currently valid OMB control existing rule. economy, a sector of the economy, number. The OMB control numbers for Some refiners and butane suppliers productivity, competition, jobs, the EPA’s regulations are listed in 40 CFR expressed concern that the designated environment, public health or safety, or part 9 and 48 CFR chapter 15. test method is not currently in wide use. State, local, or tribal governments or When we issued the final gasoline communities; C. Regulatory Flexibility Act sulfur control regulations, we did not (2) Create a serious inconsistency or The RFA generally requires an agency intend to require the use of this method otherwise interfere with an action taken to prepare a regulatory flexibility until January 1, 2004. However, the final or planned by another agency; analysis of any rule subject to notice regulation inadvertently did not specify (3) Materially alter the budgetary and comment rulemaking requirements that date and we are clarifying the impact of entitlements, grants, user fees, under the Administrative Procedure Act effective date by this action. Until or loan programs or the rights and or any other statute unless the agency January 1, 2004, any test method may be obligations of recipients thereof; or certifies that the rule will not have a used to determine the sulfur content of (4) Raise novel legal or policy issues significant economic impact on a butane. arising out of legal mandates, the substantial number of small entities. We believe that this proposed rule, President’s priorities, or the principles Small entities include small businesses, and our intent to establish a set forth in the Executive Order.’’ small organizations, and small comprehensive performance based test This proposed rule is not a significant governmental jurisdictions. method approach in the future, will regulatory action within the meaning of For purposes of assessing the impacts advance the purposes of the ‘‘National the Executive Order. It would not have of today’s proposed rule on small
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entities, small entity is defined as: (1) A number of regulatory alternatives and F. Executive Order 13175: Consultation small business that has not more than adopt the least costly, most cost- and Coordination With Indian Tribal 1,500 employees (13 CFR 121.201); (2) effective or least burdensome alternative Governments a small governmental jurisdiction that is that achieves the objectives of the rule. Executive Order 13175, entitled a government of a city, county, town, The provisions of section 205 do not ‘‘Consultation and Coordination with school district or special district with a apply when they are inconsistent with Indian Tribal Governments’’ (65 FR population of less than 50,000; and (3) applicable law. Moreover, section 205 67249, November 6, 2000), requires EPA a small organization that is any not-for- allows EPA to adopt an alternative other to develop an accountable process to profit enterprise which is independently than the least costly, most cost-effective ensure ‘‘meaningful and timely input by owned and operated and is not or least burdensome alternative if the tribal officials in the development of dominant in its field. Administrator publishes with the final regulatory policies that have tribal After considering the economic rule an explanation why that alternative implications.’’ ‘‘Policies that have tribal impacts of today’s proposed rule on was not adopted. Before EPA establishes small entities, I certify that this action implications’’ is defined in the any regulatory requirements that may Executive Order to include regulations would not have a significant economic significantly or uniquely affect small impact on a substantial number of small that have ‘‘substantial direct effects on governments, including tribal one or more Indian tribes, on the entities. In determining whether a rule governments, it must have developed has a significant economic impact on a relationship between the Federal under section 203 of the UMRA a small government and the Indian tribes, or on substantial number of small entities, the government agency plan. The plan must impact of concern is any significant the distribution of power and provide for notifying potentially responsibilities between the Federal adverse economic impact on small affected small governments, enabling entities, since the primary purpose of government and Indian tribes.’’ officials of affected small governments This proposed rule does not have the regulatory flexibility analyses is to to have meaningful and timely input in identify and address regulatory tribal implications. It will not have the development of EPA regulatory substantial direct effects on tribal alternatives ‘‘which minimize any proposals with significant Federal significant economic impact of the governments, on the relationship intergovernmental mandates, and between the Federal government and proposed rule on small entities.’’ 5 informing, educating, and advising U.S.C. 603 and 604. Thus, an agency Indian tribes, or on the distribution of small governments on compliance with power and responsibilities between the may certify that a rule will not have a the regulatory requirements. significant economic impact on a Federal government and Indian tribes, Today’s proposed rule contains no substantial number of small entities if as specified in Executive Order 13175. federal mandates (under the regulatory the rule relieves regulatory burden, or This proposed rule would apply to provisions of Title II of the UMRA) for otherwise has a positive economic effect parties required to test gasoline and state, local or tribal governments or the on all of the small entities subject to the butane for gasoline and butane and does private sector. The proposed rule would rule. not impose any enforceable duties on We have therefore concluded that impose no enforceable duty on any communities of Indian tribal today’s proposed rule will relieve State, local or tribal governments or the governments. Thus, Executive Order regulatory burden for all small entities. private sector. 13175 does not apply to this rule. By permitting alternative analytical test E. Executive Order 13132: Federalism G. Executive Order 13045: Protection of methods for the measurement of sulfur Executive Order 13132, entitled Children From Environmental Health & in gasoline and butane, smaller entities Safety Risks would be granted greater flexibility in ‘‘Federalism’’ (64 FR 43255, August 10, performing compliance testing. We 1999), requires EPA to develop an Executive Order 13045: Protection of continue to be interested in the accountable process to ensure Children from Environmental Health potential impacts of the proposed rule ‘‘meaningful and timely input by State Risks and Safety Risks (62 FR 19885, on small entities and welcome and local officials in the development of April 23, 1997) applies to any rule that: comments on issues related to such regulatory policies that have federalism (1) Is determined to be economically impacts. implications.’’ ‘‘Policies that have significant as defined under Executive federalism implications’’ is defined in Order 12866, and (2) concerns an D. Unfunded Mandates Reform Act the Executive Order to include environmental health or safety risk that Title II of the Unfunded Mandates regulations that have ‘‘substantial direct EPA has reason to believe may have a Reform Act of 1995 (UMRA), Pub. L. effects on the States, on the relationship disproportionate effect on children. If 104–4, establishes requirements for between the national government and the regulatory action meets both criteria, Federal agencies to assess the effects of the States, or on the distribution of the Agency must evaluate the their regulatory actions on State, local, power and responsibilities among the environmental health or safety effects of and tribal governments and the private various levels of government.’’ the planned rule on children, and sector. Under section 202 of the UMRA, This proposed rule does not have explain why the planned regulation is EPA generally must prepare a written federalism implications. It would not preferable to other potentially effective statement, including a cost-benefit have substantial direct effects on the and reasonably feasible alternatives analysis, for proposed and final rules States, on the relationship between the considered by the Agency. with ‘‘Federal mandates’’ that may national government and the States, or EPA interprets Executive Order 13045 result in expenditures to state, local, on the distribution of power and as applying only to those regulatory and tribal governments, in the aggregate, responsibilities among the various actions that are based on health or safety or to the private sector, of $100 million levels of government, as specified in risks, such that the analysis required or more in any one year. Before Executive Order 13132. The proposed under section 5–501 of the Order has promulgating an EPA rule for which a rule is limited to permitting flexibility the potential to influence the regulation. written statement is needed, section 205 in the choice of test methods. Thus, This proposed rule is not subject to of the UMRA generally requires EPA to Executive Order 13132 does not apply Executive Order 13045, entitled identify and consider a reasonable to this proposed rule. ‘‘Protection of Children from
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Environmental Health Risks and Safety by reference, Motor vehicle pollution, [email protected] or by facsimile Risks’’ (62 FR 19885, April 23, 1997), Reporting and recordkeeping at (215) 814–3163. You may examine because it does not involve decisions on requirements. copies of the materials submitted by environmental health risks or safety Dated: September 24, 2003. Virginia during normal business hours risks that may disproportionately affect Marianne Lamont Horinko, at EPA, Region III or at the offices of the children. Virginia Department of Environmental Acting Administrator. Quality at 629 East Main Street, H. Executive Order 13211: Actions That [FR Doc. 03–25134 Filed 10–6–03; 8:45 am] Richmond, Virginia 23219–0009, Phone Significantly Affect Energy Supply, BILLING CODE 6560–50–P Number (804) 698–4238, attn: Melissa Distribution, or Use Porterfield. This proposed rule is not an FOR FURTHER INFORMATION CONTACT: economically ‘‘significant energy ENVIRONMENTAL PROTECTION Mike Giuranna, Mailcode 3WC21, RCRA action’’ as defined in Executive Order AGENCY State Programs Branch, U.S. EPA Region 13211, ‘‘Actions Concerning Regulations 40 CFR Parts 239 and 258 III, 1650 Arch Street, Philadelphia, PA That Significantly Affect Energy Supply, 19103–2029, Phone Number: (215) 814– Distribution, or Use’’ (66 FR 28355 (May [FRL–7570–1] 3298, e-mail: [email protected]. 22, 2001)) because it does not have a significant adverse effect on the supply, Virginia: Approval of Financial SUPPLEMENTARY INFORMATION: For distribution, or use of energy. Assurance Regulations for the additional information, please see the Commonwealth’s Municipal Solid Immediate Final Rule published in the I. National Technology Transfer and Waste Landfill Permitting Program ‘‘Rules and Regulations’’ section of Advancement Act today’s Federal Register. AGENCY: Environmental Protection Section 12(d) of the National Agency (EPA). James W. Newsom, Technology Transfer and Advancement Acting Regional Administrator, Region III. Act of 1995 (NTTAA), Public Law 104– ACTION: Proposed rule. [FR Doc. 03–25399 Filed 10–6–03; 8:45 am] 113, 12(d) (15 U.S.C. 272 note) directs SUMMARY: Virginia has applied to EPA BILLING CODE 6560–50–P EPA to use voluntary consensus for final approval of its financial standards in its regulatory activities assurance regulations for Municipal unless to do so would be inconsistent Solid Waste landfills under the ENVIRONMENTAL PROTECTION with applicable law or otherwise Resource Conservation and Recovery AGENCY impractical. Voluntary consensus Act (RCRA). EPA proposes to grant final standards are technical standards (e.g., approval to Virginia. In the ‘‘Rules and 40 CFR Part 300 materials specifications, test methods, Regulations’’ section of this Federal [FRL–7565–3] sampling procedures, and business Register, EPA is approving the changes practices) that are developed or adopted by an Immediate Final Rule. EPA did National Oil and Hazardous by voluntary consensus standards not make a proposal prior to the Substances Pollution Contingency bodies. The NTTAA directs EPA to Immediate Final Rule because we Plan; National Priorities List provide Congress, through OMB, believe this action is not controversial explanations when the Agency decides and do not expect comments that AGENCY: Environmental Protection not to use available and applicable oppose it. We have explained the Agency. voluntary consensus standards. reasons for this approval in the ACTION: Notice of intent for partial This proposed rule advances the goals preamble to the Immediate Final Rule. deletion of the Rocky Mountain Arsenal of the NTTAA by adopting test methods Unless we receive written comments National Priorities List Site from the developed by voluntary consensus which oppose this approval during the National Priorities List; second standards bodies. comment period, the Immediate Final extension of public comment periods. J. Statutory Provisions and Legal Rule will become effective on the date SUMMARY: The Environmental Protection Authority it establishes, and we will not take Agency (EPA) Region 8 announced its further action on this proposal. If we Statutory authority for today’s intent to delete the Selected Perimeter receive comments that oppose this proposed rule comes from sections Area (SPA, 68 FR 44259) and the action, we will withdraw the Immediate 211(c), 211(i) and 211(k) of the CAA (42 Surface Deletion Area (SDA, 68 FR Final Rule, and it will not take effect. U.S.C. 7545(c) and (k)). Section 211(c) 44265) of the Rocky Mountain Arsenal We will then respond to public and 211(i) allows EPA to regulate fuels National Priorities List Site (RMA/NPL comments in a later Final Rule based on that contribute to air pollution which Site) On-Post Operable Unit (OU) from this proposal. You will not have another endangers public health or welfare, or the National Priorities List (NPL) on July opportunity for comment. If you want to which impairs emission control 28, 2003. In response to a written comment on this action, you must do so equipment. Section 211(k) prescribes request, EPA extended both public at this time. requirements for RFG and conventional comment periods for an additional 30 gasoline and requires EPA to DATES: Send your written comments by days concluding on September 25, 2003 promulgate regulations establishing November 6, 2003. (68 FR 51221). EPA has received a these requirements. Additional support ADDRESSES: Written comments should request to further extend these public for the fuels controls in today’s be sent to Mike Giuranna, RCRA State comment periods. In response, EPA is proposed rule comes from sections Programs Branch, Waste & Chemicals extending both public comment periods 114(a) and 301(a) of the CAA. Management Division (3WC21), U.S. for an additional 30 days concluding on EPA Region III, 1650 Arch Street, October 27, 2003. List of Subjects in 40 CFR Part 80 Philadelphia, Pennsylvania 19103– The NPL constitutes appendix B of 40 Environmental protection, Air 2029, telephone: (215) 814–3298. CFR part 300 which is the National Oil pollution control, Fuel additives, Comments may also be submitted and Hazardous Substances Pollution Gasoline, Diesel, Imports, Incorporation electronically through the Internet to: Contingency Plan (NCP), which EPA
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promulgated pursuant to section 105 of DEPARTMENT OF HOMELAND stringent in their floodplain the Comprehensive Environmental SECURITY management requirements. The Response, Compensation, and Liability community may at any time enact Act (CERCLA). Federal Emergency Management stricter requirements of its own, or Agency EPA bases its proposal to delete the pursuant to policies established by other SPA and SDA portions of the RMA/NPL Federal, State, or regional entities. 44 CFR Part 67 Site on the determination by EPA and These proposed elevations are used to the State of Colorado, through the [Docket No. FEMA–B–7439] meet the floodplain management requirements of the NFIP and are also Colorado Department of Public Health used to calculate the appropriate flood and Environment (CDPHE), that all Proposed Flood Elevation insurance premium rates for new appropriate actions under CERCLA have Determinations buildings built after these elevations are been implemented to protect human AGENCY: Federal Emergency made final, and for the contents in these health, welfare, and the environment Management Agency, Emergency buildings. and that no further response action by Preparedness and Response Directorate, National Environmental Policy Act. responsible parties is appropriate. This Department of Homeland Security. This proposed rule is categorically basis for deleting the SPA and SDA from ACTION: Proposed rule. excluded from the requirements of 44 the RMA/NPL Site has not changed. The CFR Part 10, Environmental Federal Register notice for the SPA (68 SUMMARY: Technical information or Consideration. No environmental FR 44259) and the SDA (68 FR 44265) comments are requested on the impact assessment has been prepared. provide a discussion of the bases for the proposed Base (1% annual chance) Regulatory Flexibility Act. The intended partial deletions. Flood Elevations (BFEs) and proposed Mitigation Division Director of the DATES: Comments concerning the BFE modifications for the communities Emergency Preparedness and Response proposed partial deletions may be listed below. The BFEs and modified Directorate certifies that this proposed submitted to EPA on or before October BFEs are the basis for the floodplain rule is exempt from the requirements of 27, 2003. management measures that the the Regulatory Flexibility Act because community is required either to adopt proposed or modified BFEs are required ADDRESSES: Comments may be mailed or to show evidence of being already in by the Flood Disaster Protection Act of to: Catherine Roberts, Community effect in order to qualify or remain 1973, 42 U.S.C. 4104, and are required Involvement Coordinator (80C), U.S. qualified for participation in the to establish and maintain community EPA, Region 8, 999 18th Street, Suite National Flood Insurance Program eligibility in the NFIP. No regulatory 300, Denver, Colorado 80202–2466, 1– (NFIP). flexibility analysis has been prepared. 800–227–8917 or (303) 312–6025. DATES: The comment period is ninety Regulatory Classification. This Comprehensive information on the (90) days following the second proposed rule is not a significant RMA/NPL Site, as well as information publication of this proposed rule in a regulatory action under the criteria of specific to both proposed partial newspaper of local circulation in each Section 3(f) of Executive Order 12866 of deletions, is available through EPA’s community. September 30, 1993, Regulatory Region 8 Superfund Records Center in Planning and Review, 58 FR 51735. ADDRESSES: The proposed BFEs for each Executive Order 12612, Federalism. Denver, Colorado. Documents are community are available for inspection This proposed rule involves no policies available for viewing by appointment at the office of the Chief Executive that have federalism implications under from 8 a.m. to 4 p.m., Monday through Officer of each community. The Executive Order 12612, Federalism, Friday excluding holidays by calling respective addresses are listed in the dated October 26, 1987. (303) 312–6473. The Administrative following table. Record for the RMA/NPL Site and the Executive Order 12778, Civil Justice FOR FURTHER INFORMATION CONTACT: Deletion Dockets for these partial Reform. This proposed rule meets the deletions are maintained at the Joint Doug Bellomo, P.E. Hazard applicable standards of Section 2(b)(2) Administrative Records Document Identification Section, Emergency of Executive Order 12778. Preparedness and Response Directorate, Facility, Building 129, Room 2024, Federal Emergency Management List of Subjects in 44 CFR Part 67 Commerce City, Colorado 80022–1748, Agency, 500 C Street SW., Washington, (303) 289–0362. Documents are Administrative practice and DC 20472, (202) 646–2903. available for viewing from 12 p.m. to 4 procedure, Flood insurance, Reporting p.m., Monday through Friday or by SUPPLEMENTARY INFORMATION: The and recordkeeping requirements. appointment. Federal Emergency Management Agency Accordingly, 44 CFR Part 67 is proposes to make determinations of proposed to be amended as follows: FOR FURTHER INFORMATION CONTACT: Ms. BFEs and modified BFEs for each Laura Williams, Remedial Project community listed below, in accordance PART 67—[AMENDED] Manager (8EPR–F), U.S. EPA, Region 8, with Section 110 of the Flood Disaster 1. The authority citation for Part 67 999 18th Street, Suite 300, Denver, Protection Act of 1973, 42 U.S.C. 4104, continues to read as follows: Colorado 80202–2466, (303) 312–6660. and 44 CFR 67.4(a). These proposed BFEs and modified Authority: 42 U.S.C. 4001 et seq.; Dated: September 29, 2003. BFEs, together with the floodplain Reorganization Plan No. 3 of 1978, 3 CFR, Robert E. Roberts, management criteria required by 44 CFR 1978 Comp., p. 329; E.O. 12127, 44 FR 19367, Regional Administrator, Environmental 60.3, are the minimum that are required. 3 CFR, 1979 Comp., p. 376, § 67.4 Protection Agency, Region 8. They should not be construed to mean 2. The tables published under the [FR Doc. 03–25402 Filed 10–6–03; 8:45 am] that the community must change any authority of § 67.4 are proposed to be BILLING CODE 6560–50–M existing ordinances that are more amended as follows:
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#Depth in feet above ground. Elevation in feet State City/town/county Source of flooding Location (NGVD) Existing Modified
California ...... Goleta (City), Santa Maria Ygnacia Creek...... Approximately 900 feet downstream of None *36 Barbara County. Hollister Avenue. Approximately 80 feet downstream of None *64 confluence of San Antonio Creek. Depth in feet above ground. Maps are available for inspection at City Hall, 6500 Hollister Avenue, Goleta, California 93117. Send comments to The Honorable Jack Hawxhurst, Mayor, City of Goleta, 6500 Hollister Avenue, Suite 120, Goleta, California 93117.
Colorado ...... City and County, Rock Creek ...... At Brainard Drive (Country Road 19) ...... *5,307 *5,309 Broomfield. Approximately 200 feet upstream of West None +5,373 Flatiron Bridge. Depth in feet above ground. Maps are available for inspection at City Hall One Descombes Drive, Broomfield, Colorado 80020. Send comments to The Honorable Karen Stuart, Mayor, City and County of Broomfield, One Descombes Drive, Broomfield, Colorado 80020.
Colorado ...... Pitkin County...... Southside Split ...... Approximately 1,200 feet Flow down- None *6,558 stream of State Highway 82 Bypass. Approximately 6,000 feet upstream of None *6,637 State Highway\ 82 Bypass. Roaring Fork River ...... Approximately 5,500 feet downstream of *6,524 *6,526 Hooks Spur Road. Approximately 50 feet downstream of *6,844 *6,844 confluence of Snowmass Creek. Depth in feet above ground. Maps are available for inspection at the GIS Department, 130 South Galena Street, Aspen, Colorado 81611. Send comments to The Honorable Jack Hatfield, Chairperson, Pitkin County Board of Commissioners, 530 East Main Street, Third Floor, Aspen, Colorado 81611.
Idaho ...... Kootenai County Coeur d’Alene River ...... Approximately 1.5 miles downstream of *2,145 *2,145 Interstate Highway 90. Approximately 100 feet upstream of the *2,148 *2,151 Abandoned Union Pacific Railroad. Coeur d’Alene ...... At Tamarack Ridge Road ...... *2,146 *2,145 River Overflow ...... Mission Flats area north of Interstate 90 *2,146 *2,145 Depth in feet above ground. Maps are available for inspection at the Kootenai County Planning Department, 451 Government Way, Coeur d’Alene, Idaho 83816. Send comments to The Honorable Richard Panabaker, Chairperson, Kootenai County Board of Commissioners, 451 Government Way, Coeur d’Alene, Idaho 83816.
North Dakota ...... Bismarck (City), Missouri River ...... Approximately 3.8 miles upstream of con- *1,631 *1,632 Burleigh County. fluence of Little Heart River. Approximately 1.7 miles upstream of Old *1,638 *1,639 Brunt Creek. Depth in feet above ground. Maps are available for inspection at the Building Inspection Office, 1020 East Central Avenue, Bismarck, North Dakota 58501. Send comments to The Honorable John Warford, Mayor, City of Bismarck, P.O. Box 5503, Bismarck, North Dakota 58506–5503.
North Dakota ...... Burleigh County..... Missouri River...... Approximately 500 feet downstream of *1,627 *1,628 confluence of Apple Creek. Approximately 5.7 miles upstream of con- *1,643 *1,644 fluence Square Butte Creek. Burnt Creek ...... At confluence with Missouri River ...... *1,639 *1,640 Just upstream of North Dakota Highway *1,646 *1,650 1804. Depth in feet above ground. Maps are available for inspection at the County Building Inspections Office, 1020 East Central Avenue, Bismarck, North Dakota 58501. Send comments to The Honorable Claus Lembke, Chairman, Burleigh County Board of Commissioners, 221 North Fifth Street, Bismarck, North Dakota 58506.
North Dakota ...... Mandan (City), Missouri River ...... Approximately 1.1 miles downstream of *1,634 *1,635 Morton County. Bismarck Expressway bridge. Approximately 2.8 miles upstream of *1,638 *1,639 Interstate Highway 94.
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#Depth in feet above ground. Elevation in feet State City/town/county Source of flooding Location (NGVD) Existing Modified
Depth in feet above ground. Maps are available for inspection at City Hall, 205 Second Avenue, Northwest, Mandan, North Dakota 58554. Send comments to The Honorable Ken LaMont, Mayor, City of Mandan, 205 Second Avenue, Northwest, Mandan, North Dakota 58554.
North Dakota ...... Morton County ...... Missouri River ...... At confluence of Apple Creek ...... *1,627 *1,628 Approximately 5.7 miles upstream of con- *1,643 *1,644 fluence of Square Butte Creek. Depth in feet above ground. Maps are available for inspection at the County Courthouse, 210 Second Avenue, Northwest, Mandan, North Dakota 58554. Send comments to The Honorable Dick Tokach, Chairman, Morton County Board of Commissioners, 210 Second Avenue, Northwest, Mandan, North Dakota 58554.
South Dakota ...... Standing Rock Grand River (at Bullhead) Approximately 4,000 feet downstream of None +1,759 Sioux Tribe. confluence of Rock Creek. Approximately 4,600 feet upstream of None +1,774 confluence of Stink Creek. Grand River (at Little Approximately 3.4 miles downstream of None +1,638 Eagle). State Route. Approximately 2,000 feet upstream of None +1,651 State Route 63. Oak Creek ...... Approximately 7,500 feet downstream of None +1,622 Sewage Lagoons. Approximately 2,900 feet upstream of Old None +1,646 Irrigation Dam. Rock Creek ...... At confluence with Grand River (at Bull- None +1,761 head). Approximately 7,500 feet upstream of None +1,793 Bullhead Road. Depth in feet above ground. Maps are available for inspection at the Tribal Land Management, South River Road, Fort Yates, North Dakota 58538. Send comments to The Honorable Charles Murphy, Chairman, Standing Rock Sioux Tribe, P.O. Box D, Fort Yates, North Dakota 58538.
South Dakota ...... Cheyenne River Bear Creek...... Approximately 5,800 feet upstream of None +2,345 Sioux Tribe, State Route 65. Dewey and Ziebach County. Just upstream of Cherry Road ...... None +2,357 Approximately 1,200 feet upstream of None +2,365 U.S. Route 212. Cherry Creek ...... At confluence with Cheyenne River ...... None +1,723 Just upstream of Main Street ...... None +1,729 Approximately 7,000 feet upstream of None +1,735 Main Street. Cheyenne River...... Approximately 6,200 feet upstream of None +1,714 Plum Creek. Just upstream confluence of Cherry None +1,723 Creek. Approximately 1,730 feet upstream con- None +1,728 fluence of Cherry Creek. Virgin Creek ...... Approximately 5,800 feet downstream of None +1,896 U.S. Route 212. Just upstream of U.S. Route 212 ...... None +1,914 Approximately 3 miles upstream of U.S. None +1,950 Route 212. Depth in feet above ground. Maps are available for inspection at the Economic Development Center, P.O. Box 590, Eagle Butte, South Dakota 57625. Send comments to The Honorable Harold Frazier, Tribal Chairman, Cheyenne River Sioux Tribe, P.O. Box 590, Eagle Butte, South Dakota 57625.
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EAGLE COUNTY, AND INCORPORATED AREAS
Elevation in feet *(NGVD) Elevation in feet Flooding source(s) Location of referenced elevation + (NAVD) Communities affected Effective Modified
Buffehr Creek ...... At confluence with Gore Creek ...... *7,951 .... +7,956 Eagle County. Approximately 1,700 feet upstream of Circle Drive ...... None ...... +8,180 (Uninc. Area) and Town of Vail. Black Gore Creek ...... At confluence with Lower Gore Creek ...... *8,574 .... +8,575 Town of Vail. Approximately 1,280 feet upstream of confluence with *8,632 .... +8,628 Lower Gore Creek. Bighorn Creek ...... At confluence with Gore Creek ...... *8,422 .... +8,431 Town of Vail. Approximately 350 feet upstream of Columbine Drive None ...... +8,639 Middle Creek ...... At confluence with Gore Creek ...... *8,112 .... +8,118 Town of Vail. Approximately 850 feet upstream of Interstate High- *8,330 .... +8,335 way 70. Pitkin Creek ...... At confluence with Gore Creek ...... *8,358 .... +8,366 Town of Vail. Approximately 200 feet upstream of Fall Line Drive .... None ...... +8,454 Town of Vail. Red Sandstone Creek ...... At confluence with Gore Creek ...... *8,071 .... +8,078 Just upstream of Potato Patch Drive ...... None ...... +8,254 Roaring Fork River ...... At Eagle County/Garfield County boundary ...... None ...... +6,380 Eagle County. Just downstream of Emma Road ...... None ...... +6,600 (Uninc. Areas) and Town of Basalt. South Side Split Flow ...... At confluence with Roaring Fork River ...... None ...... +6,553 Eagle County. Approximately 1,200 feet downstream of State High- None ...... +6,563 (Uninc. Areas) and Town of way 82 Bypass. Basalt. Eagle River ...... Approximately 500 feet downstream of U.S. Highway *6,273 .... +6,277 (Uninc. Areas). 6. Just downstream of confluence with Brush Creek ...... None ...... +6,502 East Mill Creek ...... At confluence with Gore Creek ...... *8,168 .... +8,175 Eagle County. Just upstream of Vail Road ...... None ...... +8,292 (Uninc. Areas) and Town of Vail. Gore Creek ...... Just upstream of confluence with Eagle River ...... Eagle County. At confluence with Upper and Lower Gore Creek ...... None ...... +8,561 (Uninc. Areas) and Town of Vail. Lower Gore Creek ...... At confluence with Gore Creek ...... *8,555 .... +8,561 Eagle County. At Divergence from Upper Gore Creek ...... None ...... +8,610 (Uninc. Areas) and Town of Vail. Spraddle Creek ...... At confluence with Gore Creek ...... *8,132 .... +8,138 Town of Vail. Approximately 1,150 feet upstream of Interestate None ...... +8,274 Highway 70. Upper Gore Creek ...... At confluence with Gore Creek ...... *8,556 .... +8,562 Eagle County. Approximately 1,000 feet upstream of Interstate High- None ...... +8,682 (Uninc. Areas) and Town of way 70 westbound. Vail. West Mill Creek ...... Just downstream of Gore Drive ...... *8,176 .... +8,165 Eagle County. Just upstream of Vail Road ...... None ...... +8,292 (Uninc. Areas) and Town of Vail. Booth Creek ...... At confluence with Gore Creek ...... *8,290 .... +8,296 Town of Vail. Approximately 1,300 feet upstream of interstate High- *8,384 .... +8,392 way 70.
# Depth in feet above ground. * National Geodetic Datum. + National American Vertical Datum. Addresses: Unincorporated Areas Eagle County: Maps are available for inspection at 500 Broadway Street, Eagle, Colorado 81631. Send comments to the Honorable Michael Gallagher, Chairman Eagle County Board of Commissioners, P.O. Box 850, Eagle, Colorado 81631. Town of Gypsum: Maps are available for inspection at 50 Lundgren Boulevard, Gypsum, Colorado 81637. Send comments to the Honorable Stephen M. Carver, Mayor, Town of Gypsum, P.O. Box 28, Gypsum, Colorado 81637. Town of Basalt: Maps are available for inspection at the Town Hall, 101 Midland Avenue, Basalt, Colorado 81621. Send comments to the Honorable Richard P. Stevens, Mayor, Town of Basalt, Town Hall, 101 Midland Avenue, Basalt, Colorado 81621. Town of Vail: Maps are available for inspection at the Community Development Office, 75 South Frontage Road, Vail, Colorado 81657. Send comments to the Honorable Ludwig Kurz, Mayor, Town of Vail, 75 South Frontage Road, Vail, Colorado 81657.
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CHARLES MIX COUNTY, AND INCORPORATED AREAS
Elevation in feet *(NGVD) Elevation in feet Flooding source(s) Location of referenced elevation + (NAVD) Communities affected Effective Modified
Unnamed Creek (near Wag- Approximately 400 feet upstream of 396th Avenue ..... None ...... *1,413 Yankton Sioux Tribe and ner).. City of Wagner. Approximately 600 feet downstream of 394th Avenue None ...... *1,458 Left Bank Tributary of Mos- Approximately 1,400 feet downstream of 303rd Street None ...... *1,434 Yankton Sioux Tribe. quito Creek (near Marty). Approximately 1,950 feet upstream of 303rd Street .... None ...... *1,458
# Depth in feet above ground. * National Geodetic Datum. + National American Vertical Datum. Addresses: Yankton Sioux Tribe: Maps are available for inspection at 100 North Main Street, Marty, South Dakota 57361. Send comments to the Honorable Madonna Archambeau, Tribal Chairwoman, Yankton Sioux Tribe, 100 Main Street, Marty South Dakota 57361. City of Wagner: Maps are available for inspection at the City Hall, 106 Sheridan Avenue, Southeast, Wagner, South Dakota 57380. Send comments to the Honorable Sharon Haar, Mayor, City of Wagner, 106 Sheridan Avenue, Southeast, Wagner, South Dakota 57380.
KING COUNTY, AND INCORPORATED AREAS
Elevation in feet *(NGVD) Elevation in feet Flooding source(s) Location of referenced elevation + (NAVD) Communities affected Effective Modified
Snoqualmie River ...... Approximately 2,000 feet downstream of confluence *425 ...... *424 King County (Uninc. Areas) of Middle Fork and South Fork Snoqualmie River. and City of Snoqualmie. South Fork Snoqualmie River At confluence with Middle Fork Snoqualmie River ...... *427 ...... *425 King County (Uninc. Areas), City of Snoqualmie, and City of North Bend. Approximately 700 feet upstream of eastbound I–90 *475 ...... *475 bridge. Middle Fork Snoqualmie River. At confluence of North Fork Snoqualmie River ...... *426 ...... *426 King County (Uninc. Areas) and City of Snoqualmie. Approximately 260 feet downstream of Southeast *478 ...... *478 Mount SI Road. Lower Overflow ...... At Southeast 100th Street ...... *429 ...... *428 King County (Uninc. Areas) and City of North Bend. Approximately 1,400 feet upstream of North Pickett None ...... *449 Avenue. Middle Overflow ...... Just upstream of Northeast 420th Avenue ...... *431 ...... *432 King County (Uninc. Areas) and City of North Bend. At Borst Avenue Northeast ...... #2 ...... *441 Upper South Overflow ...... Approximately 400 feet downstream of Ballarat Ave- #2 ...... *437 King County (Uninc. Areas) nue North. and City of North Bend. At divergence from Middle Fork Snoqualmie River ...... *467 ...... *467 Upper North Overflow ...... Approximately 150 feet downstream of Ogle Avenue #2 ...... *441 King County (Uninc. Areas) Northeast. and City of North Bend. Approximately 400 feet downstream of 120th Street ... *460 ...... *457
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KING COUNTY, AND INCORPORATED AREAS—Continued
Elevation in feet *(NGVD) Elevation in feet Flooding source(s) Location of referenced elevation + (NAVD) Communities affected Effective Modified
Gardiner Creek ...... At Bolch Avenue Northwest ...... None ...... *429 King County (Uninc. Areas) and City of North Bend. Upstream of Northwest Eighth Street ...... None ...... *435
# Depth in feet above ground. * National Geodetic Datum. + National American Vertical Datum. Addresses: Unincorporated Areas of King County: Maps are available for inspection at the King DDES, Blackriver Corp. Park, 900 Oakesdale Avenue Southwest, Suite 100, Renton, Wash- ington 98055. Send comments to the Honorable Ron Sims, King County Executive, 516 Third Avenue, Suite 400, Seattle, Washington 98104. City of North Bend: Maps are available for inspection at 1155 East North Bend Way, North Bend, Washington 98045. Send comments to the Honorable Joan Simpson, Mayor, City of North Bend, P.O. Box 896, North Bend, Washington 98045. City of Snoqualmie: Maps are available for inspection at the Planning Directors Office, 8020 Railroad Avenue Southeast, Snoqualmie, Washington 98065. Send comments to the Honorable Randy Fletcher, Mayor, City of Snoqualmie, P.O. Box 987, Snoqualmie, Washington 98065.
(Catalog of Federal Domestic Assistance No. comments in proceedings involving FOR FURTHER INFORMATION CONTACT: Pam 83.100, ‘‘Flood Insurance.’’) petitions for rule making (except in Blumenthal, Media Bureau, (202) 418– Dated: September 30, 2003. broadcast allotment proceedings). See 1600. Anthony S. Lowe, Electronic Filing of Documents in Rule SUPPLEMENTARY INFORMATION: This is a Mitigation Division Director, Emergency Making Proceedings, GC Docket No. 97– synopsis of the Commission’s Notice of Preparedness and Response Directorate. 113 (rel. April 6, 1998). Filings by paper Proposed Rule Making, MB Docket No. [FR Doc. 03–25346 Filed 10–6–03; 8:45 am] can be sent by hand or messenger 03–210, adopted September 23, 2003, BILLING CODE 6718–04–P delivery, by commercial overnight and released October 1, 2003. The full courier, or by first-class or overnight text of this document is available for U.S. Postal Service mail (although we public inspection and copying during FEDERAL COMMUNICATIONS continue to experience delays in regular business hours in the FCC COMMISSION receiving U.S. Postal Service mail). The Reference Information Center, Portals II, 445 12th Street SW., Room CY–A257, 47 CFR Part 73 Commission’s contractor, Vistronix, Inc., will receive hand-delivered or Washington, DC 20554. This document [DA 03–2930, MB Docket No. 03–210, RM– may also be purchased from the 10791] messenger-delivered paper filings for the Commission’s Secretary at 236 Commission’s duplicating contractor, Qualex International, Portals II, 445 Digital Television Broadcast Service; Massachusetts Avenue NE., Suite 110, 12th Street SW., Room CY–B402, Elmira, NY Washington, DC 20002. The filing hours Washington, DC 20554, telephone (202) at this location are 8 a.m. to 7 p.m. All AGENCY: 863–2893, facsimile (202) 863–2898, or Federal Communications hand deliveries must be held together Commission. via e-mail: [email protected]. with rubber bands or fasteners. Any ACTION: Proposed rule. Provisions of the Regulatory envelopes must be disposed of before Flexibility Act of 1980 do not apply to SUMMARY: The Commission requests entering the building. Commercial this proceeding. comments on a petition filed by Smith overnight mail (other than U.S. Postal Members of the public should note Television of New York License Service Express Mail and Priority Mail) that from the time a Notice of Proposed Holdings, Inc., licensee of station must be sent to 9300 East Hampton Rule Making is issued until the matter WETM-TV, requesting the substitution Drive, Capitol Heights, MD 20743. U.S. is no longer subject to Commission of DTV channel 33 for DTV channel 2. Postal Service first-class mail, Express consideration or court review, all ex DTV Channel 33 can be allotted to at Mail, and Priority Mail should be parte contacts are prohibited in reference coordinates 42–06–22 N. and addressed to 445 12th Street SW., Commission proceedings, such as this 76–52–17 W. with a power of 525, a Washington, DC 20554. All filings must one, which involve channel allotments. height above average terrain HAAT of be addressed to the Commission’s See 47 CFR 1.1204(b) for rules 363 meters. Since the community of Secretary, Office of the Secretary, governing permissible ex parte contacts. For information regarding proper Elmira is located within 400 kilometers Federal Communications Commission, of the U.S.-Canadian border, filing procedures for comments, see 47 Washington, DC 20554. In addition to CFR 1.415 and 1.420. concurrence from the Canadian filing comments with the FCC, government must be obtained for this interested parties should serve the List of Subjects in 47 CFR Part 73 allotment. petitioner, or its counsel or consultant, Digital television broadcasting, DATES: Comments must be filed on or as follows: Brad C. Deutsch, Hogan & Television. before November 24, 2003, and reply Hartson LLP, 555 Thirteenth Street, For the reasons discussed in the comments on or before October 1, 2003. NW., Washington, DC 20004–1109 preamble, the Federal Communications ADDRESSES: The Commission permits (Counsel for Smith Television of New Commission proposes to amend 47 CFR the electronic filing of all pleadings and York License Holdings, Inc.). part 73 as follows:
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PART 73—RADIO BROADCAST § 73.622 [Amended] Federal Communications Commission. SERVICES 2. Section 73.622(b), the Table of Barbara A. Kreisman, Digital Television Allotments under Chief, Video Division, Media Bureau. 1. The authority citation for part 73 New York is amended by removing DTV [FR Doc. 03–25334 Filed 10–6–03; 8:45 am] continues to read as follows: channel 2 and adding DTV channel 33 BILLING CODE 6712–01–P Authority: 47 U.S.C. 154, 303, 334 and 336. at Elmira.
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Notices Federal Register Vol. 68, No. 194
Tuesday, October 7, 2003
This section of the FEDERAL REGISTER 205–7808; E-mail: [email protected]. DEPARTMENT OF AGRICULTURE contains documents other than rules or Additional information may be found proposed rules that are applicable to the through the National Organic Program’s Agricultural Marketing Service public. Notices of hearings and investigations, Home page at http://www.ams.usda.gov/ committee meetings, agency decisions and [Doc. # TM–03–09] rulings, delegations of authority, filing of nop. Notice of Meeting of the National petitions and applications and agency FOR FURTHER INFORMATION CONTACT: Organic Standards Board statements of organization and functions are Robert Pooler, Agricultural Marketing examples of documents appearing in this Specialist, National Organic Program, AGENCY: Agricultural Marketing Service, section. USDA/AMS/TM/NOP, Room 4008- USDA. South, Ag Stop 0268, 1400 ACTION: Notice. DEPARTMENT OF AGRICULTURE Independence Avenue, SW, Washington, DC 20250–0264; SUMMARY: In accordance with the Agriculture Marketing Service Telephone: (202) 720–3252; Fax: (202) Federal Advisory Committee Act, as 205–7808; E-mail: [email protected]. amended, the Agricultural Marketing [Doc. No. TM–03–10] Service (AMS) is announcing a SUPPLEMENTARY INFORMATION: This forthcoming meeting of the National Notice of Agricultural Marketing Organic Certification Cost-Share Organic Standards Board (NOSB). Assistance Organic Certification Cost Program is part of the Agricultural DATES: The meeting dates are: Share Program Management Assistance Program Wednesday, October 22, 2003, 1 p.m. to authorized under the Federal Crop AGENCY: Agricultural Marketing Service, 5:30 p.m., Thursday, October 23, 2003, Insurance Act (FCIA), as amended, (7 USDA. 8 a.m. to 5:30 p.m., and Friday, October U.S.C. 1521). Under the applicable FCIA 24, 2003, 8 a.m. to 5:30 p.m. Requests ACTION: Notice. provisions, the Department is from individuals and organizations SUMMARY: This Notice invites eligible authorized to provide cost share wishing to make an oral presentation at States to submit a Standard Form 424, assistance to producers in the States of the meeting are due by the close of Application for Federal Assistance, and Connecticut, Delaware, Maine, business on October 7, 2003. A closed to enter into a Cooperative Agreement Maryland, Massachusetts, Nevada, New session will be held on Wednesday, with the Agricultural Marketing Service Hampshire, New Jersey, New York, October 22, 2003, 8:30 a.m. to 12 p.m., (AMS) for the Allocation of Organic Pennsylvania, Rhode Island, Utah, at which administrative matters will be Certification Cost-Share Funds. The Vermont, West Virginia, and Wyoming. handled. AMS has allocated $1.0 million for this This organic certification cost share ADDRESSES: The meeting will take place organic certification cost-share program program provides financial assistance to at the Radisson Barcelo´ Hotel in Fiscal Year 2003. Funds will be organic producers certified to the Washington, The Phillips Ballroom, available under this program to 15 National Organic Program authorized 2121 P Street, NW., Washington, DC. designated States to assist organic crop under the Organic Foods Production Act Requests for copies of the NOSB and livestock producers certified by the of 1990, as amended (7 U.S.C. 6501 et meeting agenda, requests to make an Department of Agriculture (USDA) seq.) oral presentation at the meeting, or accredited certifying agents to the To participate in the program, eligible written comments may be sent to Ms. National Organic Program (NOP). States must complete a Standard Form Katherine Benham at USDA–AMS– Eligible States interested in obtaining 424, Application for Federal Assistance, TMD–NOP, 1400 Independence cost-share funds for their organic and enter into a written cooperative Avenue, SW., Room 4008-So., Ag Stop producers will have to submit an agreement with AMS. The program will 0268, Washington, DC 20250–0200. Application for Federal Assistance, and provide cost-share assistance, through Requests to make an oral presentation at will have to enter into a cooperative participating States, to organic crop and the meeting may also be sent agreement with AMS for the allocation livestock producers receiving electronically to Ms. Katherine Benham of such funds. certification or update of certification by at [email protected]. DATES: Completed applications for a USDA accredited certifying agent from FOR FURTHER INFORMATION CONTACT: federal assistance along with signed October 1, 2003 through September 30, Richard Mathews, Program Manager, cooperative agreements must be 2004. The Department has determined National Organic Program, (202) 720– received by November 21, 2003 in order that payments will be limited to 75 3252. to participate in this program. percent of an individual producer’s SUPPLEMENTARY INFORMATION: Section ADDRESSES: Applications for federal certification costs up to a maximum of 2119 (7 U.S.C. 6518) of the Organic assistance and cooperative agreements $500.00. Foods Production Act of 1990 (OFPA), shall be requested from and submitted Authority: 7 U.S.C. 1521. as amended (7 U.S.C. Section 6501 et to: Robert Pooler, Agricultural seq.) requires the establishment of the Dated: October 2, 2003. Marketing Specialist, National Organic NOSB. The purpose of the NOSB is to Program, USDA/AMS/TMP/NOP, Room A.J. Yates, make recommendations about whether a 4008-South, Ag Stop 0268, 1400 Administrator, Agricultural Marketing substance should be allowed or Independence Avenue, SW., Service. prohibited in organic production or Washington, DC 20250–0264; [FR Doc. 03–25458 Filed 10–6–03; 8:45 am] handling, to assist in the development Telephone: (202) 720–3252; Fax: (202) BILLING CODE 3410–02–P of standards for substances to be used in
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organic production and to advise the and organizations wishing to make an will use to determine if comments or Secretary on other aspects of the oral presentation at the meeting may appeals were timely. implementation of the OFPA. The forward their request by facsimile to Ms. DATES: Publication of legal notices in NOSB met for the first time in Katherine Benham at (202) 205–7808. the listed newspapers will begin on or Washington, DC, in March 1992, and While persons wishing to make a after October 1, 2003. The list of currently has six committees working presentation may sign up at the door, newspapers will remain in effect until on various aspects of the organic advance registration will ensure that a April 1, 2004, when another notice will program. The committees are: person has the opportunity to speak be published in Federal Register. Compliance, Accreditation, and during the allotted time period and will FOR FURTHER INFORMATION CONTACT: Certification; Crops; Livestock; help the NOSB to better manage the Priscilla McLain, Regional Appeals Materials; Handling; and Policy meeting and to accomplish its agenda. Coordinator, Intermountain Region, 324 Development. Individuals or organizations will be 25th Street, Ogden, UT 84401, and In August of 1994, the NOSB given approximately 5 minutes to phone (801) 625–5146. provided its initial recommendations for present their views. All persons making SUPPLEMENTARY INFORMATION: The the National Organic Program (NOP) to an oral presentation are requested to administrative procedures at 36 CFR the Secretary of Agriculture. Since that provide their comments in writing. parts 215 and 217 require the Forest time, the NOSB has submitted 50 Written submissions may contain Service to publish notices in a addenda to its recommendations and information other than that presented at newspaper of general circulation. The reviewed more than 256 substances for the oral presentation. inclusion on the National List of content of the notices is specified in 36 Written comments may also be CFR part 215 and 217. In general, the Allowed and Prohibited Substances. submitted at the meeting. Persons The last meeting of the NOSB was held notices will identify: the decision or submitting written comments at the project, by title or subject matter; the on May 13–14, 2003, in Austin, Texas. meeting are asked to provide 30 copies. The Department of Agriculture name and title of the official making the (USDA) published its final National Interested persons may visit the decision; how to obtain additional Organic Program regulation in the NOSB portion of the NOP Web site information; and where and how to file Federal Register on December 21, 2000 http://www.ams.usda.gov/nop to view comments or appeals. The date the (65 FR 80548). The rule became available documents prior to the notice is published will be used to effective April 21, 2001. meeting. Approximately 6 weeks establish the official date for the The principal purposes of the meeting following the meeting interested beginning of the comment or appeal are to provide an opportunity for the persons will be able to visit the NOSB period. The newspapers to be used are NOSB to hear a presentation from FDA portion of the NOP Web site to view as follows: on their substance approval process for documents from the meeting. Regional Forester, Intermountain livestock; to hear recommendations Dated: October 1, 2003. Region from contractors, past and present, for A.J. Yates, For decisions made by the Regional enhancing petitions for the addition or Administrator, Agricultural Marketing removal of substances from the National Service. Forester affecting national Forests in Idaho: List and for enhancing the statement of [FR Doc. 03–25311 Filed 10–6–03; 8:45 am] work between contractors and USDA; The Idaho Statesman, Boise, Idaho BILLING CODE 3410–02–P receive public comment regarding what For decisions made by the Regional constitutes compatibility/consistency Forester affecting National Forests with a system of sustainable agriculture/ DEPARTMENT OF AGRICULTURE in Nevada: organic production and handling The Reno Gazette-Journal, Reno, relative to substance review and Forest Service Nevada evaluations; to develop a statement for For decisions made by the Regional public distribution on what constitutes Newspapers Used for Publication of Forester affecting National Forests compatibility/consistency with a system Legal Notices by the Intermountain in Wyoming: of sustainable agriculture/organic Region; Utah, Idaho, Nevada, and production and handling relative to Wyoming Casper Star-Tribune, Casper, substance review and evaluations; and Wyoming finally to document and clarify, for the AGENCY: Forest Service, USDA. For decisions made by the Regional NOP, substance recommendations from ACTION: Notice. Forester affecting National Forests the May 2003 NOSB meeting in Austin, in Utah: Texas. SUMMARY: This notice lists the Salt Lake Tribune, Salt Lake City, For further information, see http:// newspapers that will be used by the Utah www.ams.usda.gov/nop. Copies of the ranger districts, forests and regional For the decisions made by the Regional NOSB meeting agenda can be requested office of the Intermountain Region to Forester that affect all National from Ms. Katherine Benham by publish legal notices required under 36 Forests in the Intermountain telephone at (202) 205–7806; or by CFR part S. 215 and 217. The intended Region: effect of this action is to inform accessing the NOP Web site at http:// Salt Lake Tribune, Salt Lake City, interested members of the public which www.ams.usda.gov/nop. Utah The meeting is open to the public. newspapers the Forest Service will use The NOSB has scheduled time for to publish notices of proposed actions Ashley National Forest public input on Thursday, October 23, and notices of decision. This will Ashley Forest Supervisor decisions: 2003, 8 a.m. to 12 p.m., for individuals provide the public with constructive to speak on the issue of what constitutes notice of Forest Service proposals and Vernal Express, Vernal, Utah compatibility/consistency with a system decisions, provide information on the Duchesne District Ranger decisions: of sustainable agriculture/organic procedures to comment or appeal, and Uinta Basin Standard, Roosevelt, production and handling. Individuals establish the date that the Forest Service Utah
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Flaming Gorge District Ranger for The Post Register, Idaho Falls, Idaho Mountain City District Ranger decisions: decisions affecting Wyoming: Dabois District Ranger decisions: Elko Daily Free Press, Elko, Nevada Rocket Miner, Rock Springs, The Post Register, Idaho Falls, Idaho Ruby Mountains District Ranger Wyoming Island Park District Ranger decisions: decisions: Flaming Gorge District Ranger for The Post Register, Idaho Falls, Idaho Elko Daily Free Press, Elko, Nevada decisions affecting Utah: Montpelier District Ranger decisions: Santa Rosa District Ranger decisions: Vernal Express, Vernal, Utah Idaho State Journal, Pocatello, Idaho Humboldt Sun, Winnemucca, Nevada Roosevelt District Ranger decisions: Palisades District Ranger decisions: Spring Mountains National Recreation Uinta Basin Standard, Roosevelt, Area District Ranger decisions: Utah The Post Register, Idaho Falls, Idaho Soda Springs District Ranger decisions: Las Vegas Review Journal, Las Vegas, Vernal District Ranger decisions: Nevada Idaho State Journal, Pocatello, Idaho Vernal Express, Vernal, Utah Tonopah District Ranger decisions: Teton Basin District Ranger decisions: Boise National Forest Tonopah Times Bonanza-Goldfield The Post Register, Idaho Falls, Idaho News, Tonopah, Nevada Boise Forest Supervisor decisions: Westside District Ranger decisions: The Idaho Statesman, Boise, Idaho Idaho State Journal, Pocatello, Idaho Manti-LaSal National Forest Cascade District Ranger decisions: Dixie National Forest Manti-LaSal Forest Supervisor The Long Valley Advocate, Cascade, decisions: Idaho Dixie Forest Supervisor decisions: Sun Advocate, Price, Utah Emmett District Ranger decisions: The Daily Spectrum, St. George, Utah Ferron District Ranger decisions: The Messenger-Index, Emmett, Idaho Cedar City District Ranger decisions: Emery County Progress, Castle Dale, Idaho City District Ranger decisions: The Daily Spectrum, St. George, Utah Utah The Idaho Statesman, Boise, Idaho Escalante District Ranger decisions: Moab District Ranger decisions: Lowman District Ranger decisions: The Daily Spectrum, St. George, Utah The Times Independent, Moab, Utah The Idaho World, Garden Valley, Pine Valley District Ranger decisions: Monticello District Ranger decisions: Idaho The Daily Spectrum, St. George, Utah The San Juan Record, Monticello, Mountain Home District Ranger Powell District Ranger decisions: Utah decisions: The Daily Spectrum, St. George, Utah Price District Ranger decisions: The Idaho Statesman, Boise, Idaho Teasdale District Ranger decisions: Sun Advocate, Price, Utah The Daily Spectrum, St. George, Utah Sanpete District Ranger decisions: Bridger-Teton National Forest The Pyramid, Mt. Pleasant, Utah Bridger-Teton Forest Supervisor Fishlake National Forest decisions: Fishlake National Supervisor decisions: Payette National Forest Casper Star-Tribune, Casper, Richfield Reaper, Richfield, Utah Payette Forest Superevisor decisions: Wyoming Beaver District Ranger decisions: Idaho Statesman, Boise, Idaho Big Piney District Ranger decisions: Richfield Reaper, Richfield, Utah Council District Ranger decisions: Casper Star-Tribune, Casper, Fillmore District Ranger decisions: Adam County Record, Council, Idaho Wyoming Richfield Reaper, Richfield, Utah Krassel District Ranger decisions: Buffalo District Ranger decisions: Loa District Ranger decisions: Star News, McCall, Idaho Casper Star-Tribune, Casper, Richfield Reaper, Richfield, Utah McCall District Ranger decisions: Wyoming Richfield District Ranger decisions: Star News, McCall, Idaho Greys River District Ranger decisions: Richfield Reaper, Richfield, Utah New Meadows District Ranger Casper Star-Tribune, Casper, decisions: Wyoming Humboldt-Toiyabe National Forests Star News, McCall, Idaho Jackson District Ranger decisions: Humboldt-Toiyabe Forest Supervisor Weiser District Ranger decisions: Casper Star-Tribune, Casper, decisions for the Humboldt portion: Signal American, Weiser, Idaho Wyoming Elko Free Press, Elko, Nevada Kemmerer District Ranger decisions: Humboldt-Toiyabe Forest Supervisor Salmon-Challis National Forests Casper Star-Tribune, Casper, decisions for the Toiyabe portion: Salmon-Challis Forest Supervisor Wyoming Reno Gazette-Journal, Reno, Nevada decisions for the Salmon portion: Pinedale District Ranger decisions: Austin District Ranger decisions: The Recorder-Herald, Salmon, Idaho Casper Star-Tribune, Casper, Reno Gazette-Journal, Reno, Nevada Salmon-Challis Forest Supervisor Wyoming Bridgeport District Ranger decisions: decisions for the Challis portion: Caribou-Targhee National Forest The Review-Herald, Mammoth Lakes, The Challis Messenger, Challis, Idaho Caribou-Targhee Forest Supervisor California Challis District Ranger decisions: decisions for the Caribou portion: Carson District Ranger decisions: The Challis Messenger, Challis, Idaho Idaho State Journal, Pocatello, Idaho Reno Gazette-Journal, Reno, Nevada Leadore District Ranger decisions: Caribou-Targhee Forest Supervisor Ely District Ranger decisions: The Recorder-Herald, Salmon, Idaho decisions for the Targhee portion: Ely Daily Times, Ely Nevada Lost River District Ranger decisions: The Post Register, Idaho Falls, Idaho Jarbidge District Ranger decisions: The Challis Messenger, Challis, Idaho Ashton District Ranger decisions: Elko Daily Free Press, Elko, Nevada Middle Fork District Ranger decisions:
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The Challis Messenger, Challis, Idaho DEPARTMENT OF AGRICULTURE The explosion occurred in a chemical North Fork District Ranger decisions: distillation tower, sending heavy debris The Recorder-Herald, Salmon, Idaho Forest Service over a wide area. No one was seriously injured or killed in the incident, which Salmon/Cobalt District Ranger North Gifford Pinchot National Forest occurred early on a Sunday morning. decisions: Resource Advisory Committee Meeting One nitrotoluene storage tank at the site The Recorder-Herald, Salmon, Idaho Notice was punctured by explosion debris, Yankee Fork District Ranger decisions: AGENCY: Forest Service, USDA. igniting a fire that burned for several The Challis Messenger, Challis, Idaho hours. Three out of the 23 workers on ACTION: Notice of meeting. site at the time of the incident received Sawtooth National Forest SUMMARY: The North Gifford Pinchot minor injuries, and nearby residents Sawtooth Forest Supervisor decisions: National Forest Resource Advisory were temporarily sheltered in place. A The Times News, Twin Falls, Idaho Committee will meet on Friday, October producer of aniline and nitrotoluene Fairfield District Ranger decisions: 24, 2003, at the WSU Conference Room, derivatives and intermediates, First The Times News, Twin Falls, Idaho located in the basement of the Lewis Chemical Corp. is a subsidiary of ChemFirst Inc., which was acquired by Ketchum District Ranger decisions: County Courthouse, 351 NW. North Street, Chelhalis, Washington 98532. Dupont after the accident. Idaho Mountain Express, Ketchum, The meeting will begin at 9 a.m. and At the meeting CSB staff will present Idaho continue until 12 noon. The purpose of to the Board the results of their Minidoka District Ranger decisions: the meeting is to review proposals for investigation into this incident, The Times News, Twin Falls, Idaho Title II funding of Forest projects under including an analysis of the incident Sawtooth National Recreation Area the Secure Rural Schools and County together with a discussion of the key decisions: Self-Determination Act of 2000. findings, root and contributing causes, and draft recommendations. Challis Messenger, Challis, Utah All North Gifford Pinchot National Forest Resource Advisory Committee Recommendations are issued by a Uinta National Forest meetings are open to the public. vote of the Board and address an identified safety deficiency uncovered Unita Forest Supervisor decisions: Interested citizens are encouraged to attend. The ‘‘open forum’’ provides during the investigation, and specify The Daily Herald, Provo, Utah opportunity for the public to bring how to correct the situation. Safety Heber District Ranger decisions: issues, concerns, and discussion topics recommendations are the primary tool The Daily Herald, Provo, Utah to the Advisory Committee. The ‘‘open used by the Board to motivate Pleasant Grove District Ranger forum’’ is scheduled to occur at 9:15 implementation of safety improvements decisions: a.m. Interested speakers will need to and prevent future incidents. The CSB uses its unique independent accident The Daily Herald, Provo, Utah register prior to the open forum period. The committee welcomes the public’s investigation perspective to identify Spanish Fork District Ranger decisions: trends or issues that might otherwise be The Daily Herald, Provo, Utah written comments on committee business any time. overlooked. CSB recommendations may be directed to corporations, trade Wasatch-Cache National Forest FOR FURTHER INFORMATION CONTACT: associations, government entities, safety Wasatch-Cache Forest Supervisor Direct questions regarding this meeting organizations, labor unions and others. decisions: to Roger Peterson, Public Affairs After the staff presentation, the Board Salt Lake Tribune, Salt Lake City, Specialist, at (360) 891–5007, or write will allow a time for public comment. Utah Forest Headquarters Office, Gifford Following the conclusion of the public Pinchot National Forest, 10600 NE. 51st Evanston District Ranger decisions: comment period, the Board will Circle, Vancouver, WA 98682. consider whether to vote to approve the Uinta County Herald, Evanston, final report and recommendations. Wyoming Dated: September 30, 2003. When a report and its recommendations Kamas District Ranger decisions: Earl W. Ford, Acting Forest Supervisor. are approved, this will begin CSB’s Salt Lake Tribune, Salt Lake City, [FR Doc. 03–25326 Filed 10–6–03; 8:45 am] process for disseminating the findings Utah and recommendations of the report not BILLING CODE 3410–11–M Logan District Ranger decisions: only to the recipients of Logan Herald Journal, Logan, Utah recommendations but also to other public and industry sectors. The CSB Mountain View District Ranger CHEMICAL SAFETY AND HAZARD believes that this process will ultimately decisions: INVESTIGATION BOARD Uinta County Herald, Evanston, lead to the adoption of Wyoming Sunshine Act Meeting recommendations and the growing body of safety knowledge in the industry, Ogden District Ranger decisions: In connection with its investigation which, in turn, should save future lives Ogden Standard Examiner, Ogden, into a violent explosion that occurred in and property. Utah a chemical distillation tower at First All staff presentations are preliminary Salt Lake District Ranger decisions: Chemical Corporation in Pascagoula, and are intended solely to allow the Salt Lake Tribune, Salt Lake City, Mississippi, on October 13, 2002, the Board to consider in a public forum the Utah United States Chemical Safety and issues and factors involved in this case. Hazard Investigation Board announces No factual analyses, conclusions or Dated: October 1, 2003. that it will convene a Public Meeting findings should be considered final. Jack G. Troyer, beginning at 9:30 am Eastern Standard Only after the Board has considered the Regional Forester. time on October 15, at the LaFont Inn, staff presentation and approved the staff [FR Doc. 03–25327 Filed 10–6–03; 8:45 am] Highway 90, Pascagoula, Mississippi report will there be an approved final BILLING CODE 3410–11–M 39595. record of this incident.
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The meeting will be open to the SUMMARY: In accordance with 5 U.S.C. International Trade Administration public. Please notify CSB if a translator 4313(c)(4), Department of Commerce or interpreter is needed, at least 5 (DOC) announces the appointment of Henry P. Misisco, Director, Office Of business days prior to the public persons to serve as members of the Automotive Affairs. meeting. For more information, please Departmental Performance Review Susanne S. Lotarski, Director, Office contact the Chemical Safety and Hazard Board (DPRB). The DPRB is responsible Eastern Europe, Russia, and Investigation Board at (202) 261–7600, for reviewing performance appraisals Independent States. or visit our Web site at: http:// and ratings of Senior Executive Service Nealton J. Burnham, Deputy Assistant www.csb.gov. (SES) members and serves as the higher Secretary for Export Promotion level review for executives who report Christopher Lyon, Services. to an appointing authority. The Linda Moye-Cheatham, Chief Financial Attorney Advisor. appointment of these members to the [FR Doc. 03–25564 Filed 10–3–03; 3:54 pm] Officer and Director of DPRB will be for periods of 24 months. Administration. BILLING CODE 6350–01–P DATES: The effective date of service of appointees to the Department of National Oceanic and Atmospheric Performance Review Board is upon Administration COMMISSION ON CIVIL RIGHTS publication of this notice. Colleen N. Hartman, Deputy Assistant FOR FURTHER INFORMATION CONTACT: Administrator for Environmental Agenda and Notice of Public Meeting Janet C. Hoffheins, Deputy Director for Satellite Data and Information of the Washington Advisory Human Resources Management, Office Services, National Environmental Committee of Human Resources Management, Satellite Services. Office of the Director, 14th and Notice is hereby given, pursuant to John E. Oliver, Jr., Deputy Assistant Constitution Ave, NW., Washington, DC the provisions of the rules and Administrator for Operations, 20230, (202) 482–4807. regulations of the U.S. Commission on National Marine Fisheries Service. Civil Rights, that a meeting of the SUPPLEMENTARY INFORMATION: The Helen Hurcombe, Director, Acquisition Washington State Advisory Committee names and position titles of the and Grants Office. to the Commission will convene at 10 members of the DPRB are set forth below by organization: Louisa Koch, Deputy Assistant a.m. and adjourn at 12 p.m., on October Administrator for Oceanic and 17, 2003 at the Westin Hotel, 1900 Fifth 2003–2005 DPRB Membership Atmospheric Research, Office of Avenue, Seattle, Washington 98101. The Oceanic and Atmospheric Research. purpose of the meeting is to obtain Office of the Secretary John E. Jones, Jr., Deputy Assistant information on education issues and Fred L. Schwien, Director, Executive Administrator for Weather Services, plan Committee activities. Secretariat. National Weather Service. Persons desiring additional information, or planning a presentation Office of General Counsel Jamison S. Hawkins, Deputy Assistant to the Committee, should contact Philip Eleanor R. Lewis, Chief Counsel for Administrator for Ocean and Coastal Montez, Director of the Western International Commerce. Zone. Regional Office, 213–894–3437 (TDD Roxie J. Jones, Chief Counsel for Management, National Ocean Service. 213–894–3435). Hearing-impaired Economic Affairs. William Brennan, Deputy Assistant persons who will attend the meeting Office of the Chief Financial Officer and Secretary for International Affairs. and require the services of a sign Assistant Secretary for Administration language interpreter should contact the National Telecommunications and Regional Office at least ten (10) working Richard Yamamoto, Director, Office of Information Administration Security. days before the scheduled date of the Robin R. Layton, Associate meeting. Bureau of Industry and Security Administrator, Office of International The meeting will be conducted Affairs. pursuant to the provisions of the rules Miriam Cohen, Director of and regulations of the Commission. Administration. Technology Administration Dated at Washington, DC, September 30, Economic Development Administration Hratch G. Semerjian, Deputy Director, 2003. David M. Bearden, Deputy Assistant National Institute of Standards and Ivy L. Davis, Secretary for Economic Development. Technology. Chief, Regional Programs Coordination Unit. Economics and Statistics Richard F. Kayser, Jr., Director, [FR Doc. 03–25395 Filed 10–6–03; 8:45 am] Administration Technology Services, National BILLING CODE 6335–01–P Institute of Standards and James K. White, Associate Under Technology. Secretary for Management. Marilia A. Matos, Deputy Director for Hermann Habermann, Deputy Director, DEPARTMENT OF COMMERCE Management Services, National Bureau of the Census. Institute of Standards and Marvin D. Raines, Associate Director for Membership of the Departmental Technology. Field Operations, Bureau of the Performance Review Board Census. Dated: September 30, 2003. AGENCY: Department of Commerce. J. Steven Landefeld, Director, Bureau of Janet C. Hoffheins, Economic Analysis. Deputy Director for Human Resources ACTION: Notice of membership of Gloria A. Gutierrez, Assistant Director Management. Departmental Performance Review for Marketing and Customer Liaison, [FR Doc. 03–25380 Filed 10–6–03; 8:45 am] Board. Bureau of the Census. BILLING CODE 3510–BS–M
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DEPARTMENT OF COMMERCE controllers, control panels, pitch motor Dated: September 25, 2003. encoders, motor starters, terminals, Pierre V. Duy, Foreign-Trade Zones Board connectors, diodes, transistors, bridge Acting Executive Secretary. [Docket 50–2003] rectifiers, photosensitive [FR Doc. 03–25388 Filed 10–6–03; 8:45 am] semiconductors, conductors, revolution BILLING CODE 3510–DS–P Foreign-Trade Zone 249—Pensacola, counters, and voltage meters (2003 duty FL; Application for Subzone Status, rate range: free—8.5%). General Electric Wind Energy and FTZ procedures would exempt DEPARTMENT OF COMMERCE Energy Rentals (Wind Turbines), GEWE/GEER from Customs duty Pensacola, FL payments on the foreign component Bureau of Industry and Security An application has been submitted to inputs used in export production. On its the Foreign-Trade Zones Board (the domestic shipment and exports to Action Affecting Export Privileges; Board) by the Pensacola-Escambia NAFTA markets, the company would be Reza Moghadam Pirasteh able to choose the duty rate that applies County Promotion and Development ORDER Commission, grantee of FTZ 249, to finished wind turbines (2.5%) or requesting special-purpose subzone wind turbine blades (3%) for the The Bureau of Industry and Security, status for the wind turbine foreign-sourced inputs noted above. The United States Department of Commerce manufacturing plant of General Electric company would be able to defer (‘‘BIS’’) having notified Reza Moghadam Wind Energy and Energy Rentals Customs duty payments on the foreign- Pirasteh (‘‘Pirasteh’’) of its intention to (GEWE/GEER), located in Pensacola, origin finished turbines that would be initiate an administrative proceeding Florida. The application was submitted admitted to the proposed subzone for against Pirasteh pursuant to Section pursuant to the provisions of the U.S. distribution. Duties would be 766.3 of the Export Administration Foreign-Trade Zones Act, as amended deferred or reduced on foreign regulations (currently codified at 15 (19 U.S.C. 81a–81u), and the regulations production equipment admitted to the CFR Parts 730–744 (2003)) of the Board (15 CFR part 400). It was proposed subzone until which time it (‘‘Regulations’’), and Section 13(c) of the formally filed on September 25, 2003. becomes operational. The application Export Administration Act of 1979, as The GEWE/GEER plant (102 acres/ indicates that subzone status would amended (50 U.S.C. app. Sections 2401– 375,000 sq. ft.) is located at 8301 Scenic help improve the plant’s international 2420 (2000)) (‘‘Act’’),1 based on the Highway in Pensacola (Escambia competitiveness. proposed charging letter issued to County), Florida. The facility (250 In accordance with the Board’s Pirasteh that alleged Pirasteh committed employees) is used to produce 1.5 regulations, a member of the FTZ Staff four violations of the Regulations, by megawatt, wind-powered turbines (with has been designated examiner to aiding and abetting exports of liquid potential for 3.6 megawatt units in the investigate the application and report to injectors to Iran, items subject to the future) and wind turbine blades for the Board. Regulations and the Iran Transactions export and the domestic market. The manufacturing process at the facility Public comment on the application is Regulations, without authorization from involves machining, assembly, testing, invited from interested parties. the Office of Foreign Assets control, and warehousing. The plant has Submissions (original and three copies) U.S. Department of Treasury (on two capacity to produce about 500 turbines shall be addressed to the Board’s occasions); by acting to evade the and 850 wind turbine blades annually. Executive Secretary at the following Regulations by directing that the name Components that are, or may be, addresses: of the country ‘‘Iran’’ not be used in purchased from abroad (representing 1. Submissions via Express/Package communications so as to conceal the about 40–70% of finished product Delivery Services: Foreign-Trade Zones ultimate destination of the exports; and value) used in manufacturing include: Board, U.S. Department of Commerce, by making a false statement to a BIS glue, polycetal/polyester/epoxide/ Franklin Court Building—Suite 4100W, investigator. polyamide/polycarbonate resins 1099 14th Street, NW., Washington, DC BIS and Pirasteh having entered into (hardeners), plastic foil/film/tape, plate/ 20005; or, a Settlement Agreement pursuant to sheet/film of styrene/polyvinyl 2. Submissions via the U.S. Postal section 766.18(a) of the Regulations polymers (foam cores), printed labels, Service: Foreign-Trade Zones Board, whereby they agreed to settle this matter glass fibers and fabric (root bands), glass U.S. Department of Commerce, FCB– in accordance with the terms and fiber yarn (Category 201; must be 4100W, 1401 Constitution Ave., NW., conditions set forth therein, and the admitted under privileged foreign Washington, DC 20230. terms of the Settlement Agreement status—19 CFR 146.41), electrical having been approved by me; grounding rods, steel belts/bands, doors, The closing period for their receipt is December 8, 2003. Rebuttal comments fasteners, pumps, cylinders, hub 1 From August 21, 1994 through November 12, castings, bed plates, compressors, in response to material submitted 2000, the Act was in lapse. During that period, the pulleys, winches, hoists, electric during the foregoing period may be President, through Executive Order 12924, which motors, generators, transmissions, submitted during the subsequent 15-day had been extended by successive Presidential period (to December 22, 2003). Notices, the last of which was August 3, 2000 (3 transmission shafts, gear boxes, CFR 2000 Comp. 397 (2001)), contineud the bearings, flanges/couplers, gears, A copy of the application will be Regulations in effect under the International clutches, couplings, chains, sprockets, available for public inspection at the Emergency Economic Powers Act (50 U.S.C. 1701— 1707 (2000)) (‘‘IEEPA’’). On November 13, 2000, the electrical connectors, motors, Office of the Foreign-Trade Zones Act was reauthorized and it remained in effect transformers, stators, rotors, ballasts, Board’s Executive Secretary at address through August 20, 2001. Since August 21, 2001, static converters, inductors, magnets, No.1 listed above and at the Office of the Act has been in lapse and the President, through batteries (Ni-Cad, Ni-Iron, lead acid), the Port Director, U.S. Bureau of Executive Order 13222 of August 17, 2001 (3 CFR, 2001 Comp. 783 (2002)), as last extended by the lightning arresters, circuit breakers, Customs and Border Protection, Suite Notice of August 7, 2003 (68 FR 47833 (August 11, relays, switches, lampholders/sockets, 102, 1 South A Street, Pensacola, FL 2003)), has continued the Regulations in effect panel/distribution boards, speed 32501. under IEEPA.
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It Is Therefore Ordered: B. Take any action that facilitates the DEPARTMENT OF COMMERCE First, that a civil penalty of $4,500 is acquisition or attempted acquisition by International Trade Administration assessed against Pirasteh. Payment of the denied person of the ownership, the civil penalty shall be made in seven possession, or control of any item [A-570–862] payments to the Department of subject to the Regulations that has been Commerce. The first payment shall be of or will be exported from the United Notice of Preliminary Results of $300 and shall be paid within 30 days States, including financing or other Antidumping Duty Administrative from the date of entry of this Order. The support activities related to a Review: Foundry Coke from the next six payments shall each be of $700 transaction whereby the denied person People’s Republic of China acquires or attempts to acquire such and shall be made on or before; April 1, AGENCY: Import Administration, 2004, July 1, 2004, October 1, 2004, ownership, possession or control; C. Take any action to acquire from or International Trade Administration, January 4, 2005, April 1, 2005, and July Department of Commerce. 1, 2005. Payments shall be made in the to facilitate the acquisition or attempted manner specified in the attached acquisition from the denied person of ACTION: Notice of Preliminary Results of instructions. any item subject to the Regulations that Antidumping Duty Administrative Second, that pursuant to the Debt has been exported from the United Review. Collection Act of 1982, as amended (31 States; EFFECTIVE DATE: U.S.C. §§ 3701–3720E (2000)), the civil D. Obtain from the denied person in October 7, 2003. SUMMARY: penalty owed under this Order accrues the United States any item subject to the The Department of Commerce interest as more fully described in the Regulations with knowledge or reason (‘‘Department’’) is conducting an attached notice, and, if a payment is not to know that the item will be, or is administrative review of the made by the due date specified herein, intended to be, exported from the antidumping duty order on foundry Pirasteh will be assessed, in addition to United States; or coke from the People’s Republic of the full amount of the civil penalty and E. Engage in any transaction to service China (‘‘PRC’’) in response to requests interest, a penalty charge and an any item subject to the Regulations that from ABC Coke, Citizens Gas & Coke administrative charge, as more fully has been or will be exported from the Utility, Erie Coke Corporation, Sloss described in the attached Notice. United States and which is owned, Industries Corporation, and Tonawanda Third, that for a period of seven years possessed or controlled by the denied Coke Corporation (collectively, from the date of this Order, Pirasteh, person, or service any item, of whatever ‘‘Domestic Producers’’ or ‘‘Petitioners’’). 2308 Arroyo Court, Plano, Texas 75074, origin, that is owned, possessed or The period of review (‘‘POR’’) is from his successors or assigns, and when controlled by the denied person if such March 8, 2001 through August 31, 2002. acting for or on behalf of Pirasteh, his service involves the use of any item We preliminarily determine, based on representatives, agents, or employees subject to the Regulations that has been adverse facts available, that CITIC (‘‘denied person’’) may not, directly or or will be exported from the United Trading Company, Ltd. (‘‘CITIC’’) sold indirectly, participate in any way in any State. For purposes of this paragraph, subject merchandise at less than normal transaction involving any commodity, servicing means installations, value (‘‘NV’’). The preliminary results software, or technology (hereinafter maintenance, repair, modification or are listed below in the section titled collectively referred to as ‘‘item’’) testing. ‘‘Preliminary Results of Review.’’ If these preliminary results are adopted in exported or to be exported from the Fifth, that after notice and our final results, we will instruct the United States that is subject to the opportunity for comment as provided in U.S. Bureau of Customs and Border Regulations, or in any other activity Section 766.23 of the Regulations, any Protection (‘‘Customs’’) to assess subject to the Regulations, including, person, firm, corporation, or business antidumping duties based on the PRC- but not limited to: organization related to Pirasteh by wide rate. We invite interested parties to A. Applying for, obtaining, or using affiliation, ownership, control, or comment on these preliminary results. any license, License Exception, or position of responsibility in the conduct Parties who submit comments are export control document; of trade or related services may also be requested to sumbit with each argument B. Carrying on negotiations subject to the provisions of this Order. (1) a statement of the issue and (2) a concerning, or ordering, buying, Sixth, that this Order does not brief summary of the argument. receiving, using, selling, delivering, prohibit any export, reexport, or other storing, disposing of, forwarding, transaction subject to the Regulations FOR FURTHER INFORMATION CONTACT: transporting, financing, or otherwise where the only items involved that are Michael Holton, Office of AD/CVD servicing in any way, any transaction subject to the Regulations are the Enforcement 9, Import Administration, involving any item exported or to be foreign-produced direct product of U.S.- International Trade Administration, exported from the United States that is origin technology. U.S. Department of Commerce, 14th subject to the Regulations, or in any Seventh, that, the proposed charging Street and Constitution Avenue, NW, other activity subject to the Regulations; letter, the Settlement Agreement, and Washington, D.C. 20230; telephone: or this Order shall be made available to the (202) 482–1324. C. Benefiting in any way from any public. SUPPLEMENTARY INFORMATION: transaction involving any item exported This Order, which constitutes the Background or to be exported from the United States final agency action ion this matter, is that is subject to the Regulations, or in effective immediately. On July 31, 2001, the Department any other activity subject to the published the antidumping duty order Regulations. Entered this 30th day of September 2003. on foundry coke from the People’s Fourth, that no person may, directly Lisa A. Prager, Republic of China (‘‘Foundry Coke from or indirectly, do any of the following: Acting Assistant Secretary of Commerce for the PRC’’). See Notice of Final A. Export or reexport to or on behalf Export Enforcement. Determination of Sales at Less Than of the denied person any item subject to [FR Doc. 03–25390 Filed 10–6–03; 8:45 am] Fair Value: Foundry Coke Products the Regulations; BILLING CODE 3510–DT–M From The People’s Republic of China,
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66 FR 39487 (July, 31, 2001); see also On April 15, 2003, the Department convenience and Customs purposes, our Notice of Amended Final Determination issued CITIC a supplemental written description of the scope of this of Sales at Less Than Fair Value: questionnaire with a response date of investigation is dispositive. Foundry Coke Products From The April 29, 2003. After five additional Nonmarket Economy Country People’s Republic of China, 66 FR 45962 extensions, CITIC responded to the (August 31, 2001), and Notice of supplemental questionnaire, in part, on The Department has treated the PRC Amended Final Determination of Sales June 5, 2003, and stated that the as a non-market economy (‘‘NME’’) at Less Than Fair Value and Department would receive the full country in all past antidumping Antidumping Duty Order: Foundry Coke information as soon as the information investigations (see e.g., Notice of Final Products From The People’s Republic of was available. CITIC did not provide a Determination of Sales at Less Than China, 66 FR 48025 (September 17, complete response to all questions of Fair Value: Bulk Aspirin From the 2001). On September 3, 2002, the the supplemental questionnaire. People’s Republic of China, 65 FR 33805 Department published a notice of On May 1, 2003, we requested (May 25, 2000), and Notice of Final opportunity to request an administrative comments on surrogate-country Determination of Sales at Less Than review for this order covering the period selection and requested that parties Fair Value: Certain Non-Frozen Apple March 8, 2001, through August 31, provide surrogate factors of production Juice Concentrate from the People’s 2002. See Antidumping or values for the preliminary results no Republic of China, 65 FR 19873 (April Countervailing Duty Order, Finding, or later than May 15, 2003. We received 13, 2000)). A designation as a NME Suspended Investigation; Opportunity comments from the Petitioners, on May remains in effect until it is revoked by to Request Administrative Review, 67 8, 2003. On May 15, 2003, CITIC the Department. See section 771(18)(C) FR 56267 (September 3, 2002). On submitted publicly available Indian of the Tariff Act of 1930, as amended September 30, 2002, the Department import statistics for valuing the subject (‘‘the Act’’). The respondents in this received a request from the Petitioners, merchandise’s factors of production in investigation have not requested a requesting the review of CITIC, in this review. revocation of the PRC’s NME status. We accordance with 19 CFR 351.213(b). The On May 28, 2003, the Department have, therefore, preliminarily Department initiated the review on determined that it was not practicable to determined to continue to treat the PRC October 24, 2002. See Notice of complete the preliminary results of this as a NME country. When the Initiation of Antidumping and review within the statutory time limit. Department is investigating imports Countervailing Duty Administrative Consequently, in accordance with from a NME, section 773(c)(1) of the Act Reviews, 67 FR 65336 (October 24, section 751(a)(3)(A) of the Act and directs us to base the NV on the NME 2002). section 351.213(h)(1) of the producer’s factors of production, valued Department’s regulations, the On November 8, 2002, the Department in a comparable market economy that is Department extended the deadline for a significant producer of comparable issued an antidumping questionnaire to completion of the preliminary results of CITIC with instructions that it and the merchandise. the administrative review by 120 days, Furthermore, no interested party has appropriate producers/suppliers to September 30, 2003. See Notice of requested that the foundry coke (‘‘suppliers’’) of the subject merchandise Extension of Time Limit of the industry in the PRC be treated as a are required to respond by the due Preliminary Results of Antidumping market-oriented industry and no dates. The original due dates were Duty Administrative Review: Foundry information has been provided that November 11, 2002, for section A and Coke from the People’s Republic of would lead to such a determination. December 17, 2002, for sections C-E. China, 68 FR 31681 (May 28, 2003) Therefore, we have not treated the After two separate extensions, the (‘‘Extension of Time Limits’’). On July foundry coke industry in the PRC as a Department received a timely section A 24, 2003, the Department published a market-oriented industry in this questionnaire response, in part, on correction to the Extension of Time investigation. December 12, 2002, from CITIC. There Limits, due to incorrect information were multiple transactions of subject regarding the deadline of the Separate Rate merchandise during the POR in which preliminary results. Notice of Extension Although CITIC, a mandatory CITIC was the exporter and other parties of Time Limit of the Preliminary Results respondent, submitted a response to were the suppliers. During the POR, of Antidumping Duty Administrative section A of the questionnaire, it did not CITIC obtained the foundry coke that Review: Foundry Coke from the People’s respond to section D of the was ultimately sold in the United States Republic of China; Correction, 68 FR questionnaire and other vital from three suppliers. 43712 (July 24, 2003). information requested by the On December 16, 2002, the Department. As a mandatory Department received a completed Scope of Review respondent, CITIC was required to section A response from CITIC. On For purposes of this investigation, the provide complete questionnaire December 19, 2002, CITIC submitted its product covered is coke larger than 100 responses. Therefore, as detailed in the response to section C of the mm (4 inches) in maximum diameter ‘‘Application of Adverse Facts questionnaire. On January 3, 2003, and at least 50 percent of which is Available’’ section below, adverse facts CITIC requested a two-week extension retained on a 100-mm (4 inch) sieve, of available have been assigned to CITIC. for section D of the questionnaire, a kind used in foundries. As a result, CITIC will not receive a which was originally due on December The foundry coke products subject to separate rate for these preliminary 17, 2002. On January 7, 2003, the this investigation were classifiable results. Department granted a one-week under subheading 2704.00.00.10 (as of extension for section D of the January 1, 2000) and are currently Application of Facts Available questionnaire, setting a new deadline of classifiable under subheading On November 8, 2002, the Department January 13, 2003. CITIC did not supply 2704.00.00.11 (as of July 1, 2000) of the sent CITIC section D of the the Department with a response to Harmonized Tariff Schedule of the questionnaire, requesting CITIC and its section D of the questionnaire by the United States (‘‘HTSUS’’). Although the three suppliers to provide factors of January 13, 2003, deadline. HTSUS subheadings are provided for production (‘‘FOP’’) information for the
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subject merchandise during the POR. responded by stating that the contact these two suppliers on April 22, 2003. The original deadline to file a response information was already included in the The Department received confirmation to section D of the questionnaire was section A response. Because CITIC had via the FedEx internet tracking system December 17, 2002. On December 6, not provided names of persons to that section D of the questionnaire was 2002, CITIC requested an extension of contact and because the information on delivered to Supplier B on May 15, the December 17, 2002, due date for the record was less than complete, on 2003. See Memorandum to the File, filing its response to section D of the March 21, 2003, the Department again from Michael Holton, Case Analyst, questionnaire. On December 12, 2002, requested that CITIC supply complete through James Doyle, Program Manager, the Department granted an extension, and detailed contact information for its regarding Delivery Status of Section D giving CITIC until January 6, 2003, to suppliers. On April 4, 2003, CITIC Questionnaire Sent to Supplier B, dated file its section D questionnaire response. responded, providing the Department July 21, 2003. To date, we have not On January 3, 2003, CITIC requested with names of the people whom the received a response from Supplier B. a second two-week extension for filing Department should contact for only two The section D questionnaire, however, its section D questionnaire response. of the three suppliers. for Supplier C was returned to the Due to the necessity of meeting the On April 9, 2003, using the contact Department, with an indication that statutory time limits, the Department information provided by CITIC, the Supplier C was not in FedEx’s service only granted CITIC a one week Department attempted to fax two of the area. See Memorandum to the File, from extension, until January 13, 2003, for three suppliers (hereinafter ‘‘Supplier Michael Holton, Case Analyst, through filing its response to section D of the A,’’ ‘‘Supplier B’’ and ‘‘Supplier C’’). James Doyle, Program Manager, questionnaire. On January 13, 2003, the The Department contacted Supplier A regarding Delivery Status of Section D Department did not receive a response via fax with a response due date of April Questionnaire Sent to Supplier C, dated from CITIC, either requesting a third 23, 2003, for the section D July 21, 2003. Additionally, the extension or a response to section D of questionnaire. To date, we have not Department requested assistance from the questionnaire. One week later, the received a response from Supplier A, its Chinese Commercial Service Department still had not received any although the Department received Division (‘‘Division’’) in contacting response from CITIC or any other conformation that the fax was Supplier C. The Division made several communication, and on January 21, transmitted successfully. See attempts in locating and contacting the 2003, the Department sent CITIC a letter Memorandum to the File, from Michael supplier, but it was unsuccessful in requesting that CITIC file its late section Holton, Case Analyst, through James contacting them. See Memorandum to D response by the close of business of Doyle, Program Manager, regarding Fax the File, from Chris Cloutier, Senior the same day. Additionally, the letter Transmission Verification Report for Import Administration Officer, United requested that CITIC provide a detailed Supplier A, dated April 10, 2003. States Embassy Beijing, regarding With regard to Supplier B, the explanation on what measures it had Foundry Coke, dated September 23, Department was unable to contact the taken to file section D of the 2003. questionnaire and what prevented it company via fax on April 9, 2003. On from submitting the response on January April 10, 2003, the Department On August 12, 2003, the Department 13, 2003. attempted to contact Supplier B a sent CITIC a letter requesting several On January 23, 2003, CITIC responded second time via fax, again there was no items with respect to Supplier C. First, to the Department’s letter of January 21, connection. On April 16, 2003, the the Department requested that CITIC 2003, stating that because ‘‘section D Department made a third attempt to reconsider its decision not to release requires cooperation of unrelated send section D of the questionnaire via Supplier C’s name from APO protection, producers of foundry coke . . . CITIC fax to Supplier B. Again, the so the Department could receive aid in Trading has been unable to persuade Department received no fax connection. contacting the supplier from Chinese those producers to undertake the time See Memorandum to the File, from governmental agencies. Second, the and expense of responding to the Michael Holton, Case Analyst, through Department requested documentation questionnaire, despite is best efforts.’’ James Doyle, Program Manager, relating to CITIC’s purchase of subject See CITIC’s response to Department’s regarding Fax Transmission Verification merchandise from Supplier C during the letter of January 21, 2003, dated January Report for Supplier B, dated April 16, POR and post POR, which would 23, 2003. On January 28, 2003, the 2003. Upon closer examination of the contain further contact information. Department sent a second letter fax number provided by CITIC, the Third, the Department requested that requesting that CITIC file its late section Department discovered that the fax CITIC reconfirm the contact information D response. In addition, the Department number appeared to be incomplete. provided to the Department. Finally, the requested that CITIC provide a detailed Thus, on May 1, 2003, the Department Department again requested that CITIC explanation of the measures it had taken requested that CITIC provide a complete supply information and documentation in securing a response from it suppliers. fax number for Supplier B. On May 2, regarding its efforts to persuade the CITIC did not provide a responses to the 2003, CITIC’s counsel informed the three suppliers to respond to section D requested information identified in the Department that CITIC was unable to of the questionnaire. The Department letter of January 28, 2003. find any other additional information requested that CITIC file its response to Because it is imperative that the regarding the Supplier B’s fax number. this letter no later than August 18, 2003. Department obtains the FOP See Memorandum to the File, from On August 18, 2003, the Department did information for the normal value Michael Holton, Case Analyst, through not receive a response from CITIC with calculation, the Department attempted James Doyle, Program Manager, respect to the information we requested. to contact CITIC’s suppliers directly. regarding Request for a Correction to the On August 19, 2003, the Department Due to the lack of information on the Fax Number, dated May 6, 2003. contacted CITIC’s counsel who record regarding CITIC’s suppliers, on Because the Department did not have indicated that he had faxed the letter to February 10, 2003, the Department the correct fax number for Supplier B CITIC, yet he had not received a requested that CITIC supply additional and CITIC did not provide a fax number response from them. CITIC’s counsel detailed contact information for its POR for Supplier C, the Department sent then requested that the Department send suppliers. On February 10, 2003, CITIC section D questionnaires via FedEx to him an electronic copy of the letter so
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that he could e-mail it to CITIC. The Section 782(e) of the Act provides that objective showing that a reasonable and Department sent CITIC’s counsel an the Department ‘‘shall not decline to responsible importer would have known electronic copy of the letter on August consider information that is submitted that the requested information was 19, 2003, requesting that CITIC file its by an interested party and is necessary required to be kept and maintained response no later than August 22, 2003. to the determination but does not meet under the applicable statutes, rules, and See Memorandum to the File, from all the applicable requirements regulations;’’ and ‘‘a subjective showing Michael Holton, Case Analyst, through established by the administering that the respondent under investigation James Doyle, Program Manager, authority’’ if (1) the information is not only has failed to promptly produce regarding Request for Release from APO submitted by the deadline established the requested information, but further of Supplier’s C Name, dated August 28, for its submission, (2) the information that the failure to fully respond is the 2003. On August 22, 2003, the can be verified, (3) the information is result of the respondent’s lack of Department did not receive a response not so incomplete that it cannot serve as cooperation in either: (a) failing to keep from CITIC regarding the information a reliable basis for reaching the and maintain all required records, or (b) the Department requested. applicable determination, (4) the failing to put forth its maximum efforts On August 27, 2003, the Department interested party has demonstrated that it to investigate and obtain the requested made a final request that CITIC respond acted to the best of its ability in information from its records.’’ See to the letter sent on August 12, 2003. providing the information and meeting Nippon Steel Co. v. U.S., 337 F.3d 1373 Despite the Department’s best efforts to the requirements established by the (Fed Cir 2003) (‘‘Nippon’’). provide CITIC with every opportunity to Department with respect to the In this particular case, CITIC and its respond to our requests, we did not information, and (5) the information can suppliers failed to respond to several of receive a response to the letter originally be used without undue difficulties. the Department’s requests for sent out on August 12, 2003, nor has the For the Department to calculate an information for which they should have Department received the FOP accurate margin in an NME proceeding, known the Department would need to information necessary to calculate the a it needs valid FOP information. CITIC conduct this administrative review. We normal value. and its suppliers failed to provide the note that CITIC participated in the FOP information for the transactions. investigation only two years ago and Section 776(a)(2) of the Act provides There has been no alternative or one of its suppliers during this review that if an interested party or any other substitutable information suggested for also participated in that investigation. person: (A) withholds information that use in place of the missing FOP data. See Memorandum to the File, from has been requested by the Department; Therefore, in cognizance of CITIC’s Michael Holton, Case Analyst, through (B) fails to provide such information in submission of section A and section C James Doyle, Program Manager, a timely manner or in the form or response, we find that the submitted regarding CITIC’s Suppliers in the manner requested under the data is nevertheless so incomplete that Investigation, dated September 23, 2003. antidumping statute; (C) significantly reliance on it would not result in an Therefore, the Department finds that, by impedes an antidumping review; or (D) accurate measurement or reflection of not providing the necessary responses to provides such information but the CITIC’s selling practices. Further, as the questionnaires issued by the information cannot be verified, the detailed above, CITIC and its suppliers Department, CITIC and its suppliers Department shall use the facts otherwise had ample time and extraordinary have failed to cooperate to the best of its available in reaching the applicable number of opportunities to submit the ability. determination as provided in Section requested FOP data for this review and First, FOP information is fundamental 782 (d) of the Act. See Dynamic the requested explanation as to its for calculating the a dumping margin. Random Access Memory efforts to secure responses from the Section 771(35)(A) of the Act, requires Semiconductors of One Megabit or suppliers, but they failed to do so. that dumping margins are calculated by Above From the Republic of Korea: Section 776(b) of the Act provides comparing the NV to the export price or Preliminary Results of Antidumping that, if the Department finds that an constructed export price. For NME Duty Administrative Review and Notice interested party has failed to cooperate countries, the Act states that the NV is of Intent Not To Revoke Order in Part, by not acting to the best of its ability to determined ‘‘on the basis of the value of 64 FR 30481 (June 8, 1999); Silicon comply with a request for information, the factors of production utilized in Metal From The People’s Republic of the Department may use an inference producing the merchandise.’’ See China; Final Results of Antidumping that is adverse to the interests of that section 773(c)(1) of the Act. Because this Duty Administrative Review, 63 FR party in selecting from among the facts is an NME proceeding, it is necessary 37850 (July 14, 1998); Silicon Metal otherwise available. In addition, the that the Department have valid FOP From The People’s Republic of China; Statement of Administrative Action information in order to calculate the Preliminary Results of Antidumping accompanying the Uruguay Round NV. In cases such as this, we are Duty Administrative Review, 63 FR Agreements Act, H. Doc. 316, Vol. 1, precluded from reviewing the FOP of 11654 (March. 10, 1998). CITIC and its 103d Cong. (1994) (SAA), establishes the suppliers, and absent any FOP suppliers, as ‘‘interested parties,’’ have that the Department may employ an information provided, the Department failed to respond and CITIC has engaged adverse inference ‘‘. . . to ensure that the cannot simply create or postulate the in pattern of non-compliance in party does not obtain a more favorable costs of the uncooperative suppliers. In submitting its responses to the result by failing to cooperate than if it addition, the Department has no other Department’s request for information, had cooperated fully.’’ See SAA at 870. FOP information on the record. Because which have impeded the Department’s It also instructs the Department, in CITIC and its suppliers have failed to best efforts in conducting this review. employing adverse inferences, to provided FOP information for this Specifically, CITIC failed to either consider ‘‘. . . the extent to which a administrative review the Department report or supply the Department with party may benefit from its own lack of cannot properly calculate a dumping FOP information. For these reasons, the cooperation.’’ Id. margin in accordance with section Department finds that use of facts When determining whether a 773(c)(1) of the Act. See Notice of Final otherwise available is appropriate for company has acted to the best of their Determination of Sales at Less Than these preliminary results. ability the Department ‘‘must make an Fair Value: Creatine Monohydrate from
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the People’s Republic of China, 64 FR expense of responding to the inference in applying facts available was 71104, 71108 (December 20, 1999) questionnaire, despite is best efforts.’’ warranted due to the supplier’s failure (‘‘Creatine from the PRC’’);see also See CITIC’s response to Department’s to act to the best of its ability). Tapered Roller Bearings and Parts letter of January 21, 2003, dated January Although the Department made Thereof, Finished and Unfinished, From 23, 2003. extensive efforts to obtain the the People’s Republic of China; Final CITIC’s claim that it was unable information, it is ultimately CITIC’s Results of 1997–998 Antidumping Duty persuade it suppliers to cooperate responsibility for submitting accurate Administrative Review and Final despite its best efforts, provides the FOP information as it is the party that Results of New Shipper Review, 64 FR Department with no reliable basis to is seeking the rate based on the FOP 61837, 61846 (November 15, 1999) determine that CITIC in fact cooperated information and it is more readily (‘‘TRBs-11’’); see also Freshwater to the best of its ability. As noted earlier, available to them, and any ‘‘failures, Crawfish Tail Meat from the People’s the Department requested that CITIC even if made by a supplier, may provide Republic of China; Notice of Final explain and provide documentation of grounds for the application of adverse Results of Antidumping Duty its efforts to persuade its supplies to facts available.’’ See Crawfish 68 FR at Administrative Review, 68 FR 19504 respond to section D of the 19504; see also Garlic 68 FR at 36768. (April 21, 2003), and accompanying questionnaire. CITIC failed to provide Finally, CITIC engaged in pattern of Issues and Decision Memorandum, any explanation or documentation non-compliance to the Department’s Comment 7 (‘‘Crawfish’’). Because CITIC showing that it had contacted its requests. On numerous occasions, CITIC and one of its suppliers had participated suppliers to respond to section D of the requested extensions to the original in the original investigation, it is questionnaires. Because the information filing dates which the Department reasonable to presume that CITIC on the record is so incomplete it is granted. After granting CITIC’s should have known that the Department impossible for the Department to requested extensions to file its section D would request FOP information for this determine what efforts CITIC made in responses on two separate occasions, administrative review. Because CITIC contacting its suppliers regarding their and nearly one full month from the and its suppliers failed to provide the cooperation in responding to section D original due date, CITIC nonetheless information which they knew the of the questionnaire. Therefore, the failed to respond to the Department’s Department would need to calculate a Department finds that CITIC has not request for FOP information. Only after dumping margin, the Department finds acted to the best of its ability. two further requests by the Department that CITIC and its suppliers have not Additionally, it has been the did CITIC respond that it was unable to acted to the best of their ability. Department practice to apply adverse get its suppliers to respond to section D facts available when a respondent has of the questionnaire. The Department Second, CITIC and the suppliers failed to provide convincing evidence finds it is reasonable that CITIC could failed to provided any explanation why ‘‘claiming that their suppliers cannot have submitted this information before they were unable provide the FOP supply requested factors of production the original deadline for information information, nor did they offer any information.’’ See Creatine from the had passed. If CITIC was having alternative forms by which they might PRC, 64 FR at 71108 (applying adverse problems in obtaining the information be able to comply with the Department’s facts available because the respondent from its suppliers, it should have requests. As the Court of Appeals for the did not provide an acceptable notified the Department at that time. Federal Circuit has held, respondents explanation on the record for its Instead, CITIC informed the Department must ‘‘put forth its maximum efforts’’ in suppliers failure to provide the FOP only after the deadline passed and after complying with the Department’s information); see also TRBs-11, 64 FR at the Department had sent two requests requests. See Nippon, 337 F.3d at 1382. 61846 (finding that the respondent did for the information. The issue of cooperation from unrelated not act to the best of its ability when it Similarly, on four separate occasions suppliers was raised by CITIC in the was unable to provide letters from the Department granted CITIC’s requests investigation. CITIC should have known unrelated suppliers stating their to extend the deadline to file its that its claims of being unable to unwillingness to supply factors of response to the Department’s persuade unrelated supplies to provide production information); see also Notice supplemental questionnaire. Again, FOP information would require of Fresh Garlic From the People’s only after the Department sent a letter convincing evidence of the suppliers’ Republic of China: Final Results of requesting that the late information be inability or unwillingness to supply the Antidumping Duty New Shipper Review, supplied did CITIC respond. requested information. See CITIC 68 FR 36767, 36768 (June 19, 2003) Additionally, CITIC’s response to the Trading Co., Ltd et al v. U.S., No. 01– (‘‘Garlic’’) (applying adverse facts supplemental questionnaire was 00901, slip op. 03–23 (CIT 2003) available when a supplier stated that it incomplete, informing the Department (finding that CITIC acted to the best of was unwilling to provide details on its that it would supply the missing its ability when in it provided production process or its FOP; and the information at a later date. To date, the Commerce with documentation that its respondent did not provide an Department has not received a complete unrelated non-responding suppliers had explanation as to why it or its supplier supplemental questionnaire response. been shutdown). On numerous could not provide the FOP information); Further, as noted earlier, CITIC failed to occasions, the Department requested see also Notice of Certain Cased Pencils respond on three separate occasions to that CITIC supply detailed information from the People’s Republic of China; the Department’s requests for regarding its attempts to contact its Final Results and Partial Rescission of information regarding Supplier C and suppliers for the FOP information. The Antidumping Duty Administrative any documentation with respect to each only response the Department received Review, 67 FR 48612 (July 25, 2002), of its suppliers purported inability to from CITIC was a conclusory statement and accompanying Issues and Decision supply the FOP information. The explaining that ‘‘section D requires Memorandum, Comment 10 (finding information that the Department cooperation of unrelated producers of that there was no acceptable requested was for documentation foundry coke . . . CITIC Trading has explanation on the record for the relating to CITIC’s purchase of subject been unable to persuade those supplier’s failure to provide factor of merchandise from Supplier C (e.g., producers to undertake the time and production information, an adverse contracts, payment documentation,
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shipment documentation, etc.). A means that the Department will satisfy Department disregarded the highest reasonable respondent would have itself that the secondary information to margin for the use as adverse facts maintained all this documentation in be used has probative value. See id. As available because the margin was based anticipation the Department would discussed in Notice of Preliminary on a finding of middleman dumping by request it. Finally, throughout the Tapered Roller Bearings and Parts another producer). The rate used is the process the Department informed CITIC Thereof, Finished and Unfinished, from rate currently applicable to all exporters of the importance of the information Japan, and Tapered Roller Bearings, subject to the PRC-wide rate. Further, and the need to respond to the requests Four Inches or Less in Outside there is no information on the for information. Diameter, and Components Thereof, administrative record of the current Therefore, in accordance with the from Japan; Preliminary Results of review that indicates the application of statute, the Department finds that CITIC Antidumping Duty Administrative this rate would be inappropriate or that and its suppliers, as interested parties, Reviews and Partial Termination of the margin is not relevant. Therefore, for have not acted to the best of their Administrative Reviews, 61 FR 57391, all sales of subject merchandise by the ability. First, it reasonable that CITIC 57392 (November 6, 1996) (‘‘TRBs’’), to PRC entity, we have applied, as adverse should have known, as a responsible corroborate secondary information, the facts available, the 214.89 percent exporter, that the requested FOP Department will, to the extent margin from the investigation and have information was required to be kept and practicable, examine the reliability and satisfied the corroboration requirements maintained under the applicable relevance of the information used. under section 776(c) of the Act. See statutes, rules, and regulations, as CITIC The highest rate determined in any Persulfates from the People’s Republic and one of its suppliers participated in segment of this proceeding is the PRC- of China: Preliminary Results of the original investigation. Second, it wide rate from the investigation, which Antidumping Duty Administrative reasonable that an interested party is 214.89 percent; it is currently the Review, 66 FR 18439, 18441 (April 9, could have provided an explanation for PRC-wide rate and was calculated based 2001) (employing a petition rate used as either its inability to respond to the on information contained in the adverse facts available in a previous Department’s requested information or petition. See Final Determination of segment as adverse facts available in the offer alternative forms for which to Sales at Less Than Fair Value: Foundry current review). comply with the Department’s requests. Coke Products From The People’s Further, it is the Department’s Republic of China, 66 FR 39487 (July, Preliminary Results Of The Review procedure to apply adverse facts 31, 2001). The information contained in As a result of the application of available when a respondent is unable the petition was corroborated for the adverse facts available, we preliminarily to provide an explanation and final determination of the investigation. determine that a dumping margin of documentation for its failure to supply In the investigation, the Department 214.89 percent exists for the period complete FOP information, even if it is reviewed the adequacy and accuracy of March 8, 2001, through August 31, the failure of one of its suppliers. the petition. To the extent practicable, 2002, on all exports of foundry coke by Finally, the Department finds that CITIC the Department examined the key the PRC entity. and its suppliers, by failing produce the elements of the U.S. price and NV An interested party may request a requested information, engaged in a calculations on which the petition hearing within 30 days of publication of pattern of non-compliance and also margin was based and compared the these preliminary results. Any hearing, failed to put forth a maximum efforts to sources used in the petition to publicly if requested, will be held 37 days after investigate and obtain the requested available information, where available, the date of publication, or the first information from their records. See and respondent data as appropriate. See business day thereafter, unless the Nippon, 337 F.3d at 1382. Thus, Notice of Preliminary Determination of Department alters the date per 19 CFR because CITIC and its suppliers have Sales at Less Than Fair Value: Foundry 351.310(d). Interested parties may failed to act to the best of their ability Coke From the People’s Republic of submit case briefs and/or written the Departments finds that an adverse China, 66 FR 13885 (March 8, 2001). comments no later than 30 days after the facts available is applicable to this Additionally, no information has been date of publication of these preliminary review. presented in the current review that results of review. Rebuttal briefs and An adverse inference may include calls into question the reliability of this rebuttals to written comments, limited reliance on information derived from information. We note that this is the to issues raised in the case briefs and the petition, the final determination in highest rate from the investigation and comments, may be filed no later than 35 the investigation, any previous review, is less than two years old. Thus, the days after the date of publication of this or any other information placed on the Department finds that the information notice. Parties who submit argument in record. See section 776(b) of the Act. continues to be reliable. this proceeding are requested to submit Section 776(c) of the Act provides, With respect to the relevance aspect with the argument: (1) a statement of the however, that, when the Department of corroboration, the Department stated issue, (2) a brief summary of the relies on secondary information rather in TRBs that it will ‘‘consider argument, and (3) a table of authorities. than on information obtained in the information reasonably at its disposal as The Department will publish the final course of a review, the Department to whether there are circumstances that results of this administrative review, shall, to the extent practicable, would render a margin irrelevant. including the results of its analysis of corroborate that information from Where circumstances indicate that the issues raised in any case or rebuttal independent sources that are reasonably selected margin is not appropriate as brief, within 120 days of publication of at its disposal. The SAA states that the adverse facts available, the Department this notice. See 19 CFR 351.213(h)(1). independent sources may include will disregard the margin and determine published price lists, official import an appropriate margin.’’ See TRBs at 61 Assessment Rates statistics and customs data, and FR 57392; see also Stainless Steel Sheet Upon issuance of the final results, the information obtained from interested and Strip in Coils from Taiwan; Final Department will determine, and parties during the particular Result and Rescission of Antidumping Customs shall assess, antidumping investigation or review. See SAA at 870. Duty Administrative Review, 67 FR duties on all appropriate entries. The The SAA clarifies that ‘‘corroborate’’ 40914, 40916 (June 14, 2002) (where the Department will issue appropriate
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assessment instructions directly to DEPARTMENT OF COMMERCE shipper review requests, both Shanghai Customs upon completion of this and Changshan arranged their sales and review. If these preliminary results are International Trade Administration made the shipments on relatively short adopted in our final results of review, [A-570–501] notice. While there are similarities in we will direct Customs to assess the the shipments, the two companies resulting rate against the entered Natural Bristle Paintbrushes and Brush stated that they are not affiliated, and customs value for the subject Heads from the People’s Republic of therefore they requested separate new merchandise on each importer’s/ China: Initiation of Antidumping Duty shipper reviews. The Department will customer’s entries during the POR. New Shipper Reviews continue throughout the review to examine carefully any similarities Cash-Deposit Requirements AGENCY: Import Administration, between Shanghai and Changshan. International Trade Administration, The following cash-deposit Department of Commerce. Initiation of Reviews requirements will be effective upon SUMMARY: The Department of Commerce Pursuant to 19 CFR 351.214(b)(2)(ii) publication of the final results of this (the Department) has received timely and 19 CFR 351.214(b)(2)(iii)(A), in administrative review for all shipments requests to conduct new shipper their August 14, 2003 requests for of the subject merchandise entered, or reviews of the antidumping duty order review, Shanghai and Changshan withdrawn from warehouse, for on natural bristle paintbrushes and certified that they did not export the consumption on or after the publication brush heads from the People’s Republic subject merchandise to the United date, as provided for by section of China (PRC). In accordance with 19 States during the period of investigation 751(a)(2)(C) of the Act: (1) for all CFR 351.214(d), we are initiating a (POI) and that they are not affiliated previously investigated companies review for Shanghai R&R Imp./Exp. Co., with any company which exported which have a separate rate, the cash- Ltd. (Shanghai) and its producer subject merchandise to the United States during the POI. Pursuant to 19 deposit rates will continue to be the Zhejiang Lin’an Maxiao Brushes Factory CFR 351.214(b)(ii)(B), Shanghai’s and company specific rates published for the (ZLMBF), and for Changshan Import/ Export Co., Ltd. (Changshan) and its Changshan’s producer, ZLMBF, certified most recent period; (2) for all other PRC producer ZLMBF. that it did not export subject exporters, including CITIC, the cash- EFFECTIVE DATE: October 7, 2003. merchandise during the period of deposit rate will be the PRC investigation. Pursuant to 19 CFR countrywide rate, which is 214.89 FOR FURTHER INFORMATION CONTACT: Douglas Kirby or Dana Mermelstein, 351.214(b)(2)(iii)(B), Shanghai and percent; and (3) for all non-PRC Changshan further certified that their Office of AD/CVD Enforcement 7, exporters of subject merchandise, the export activities are not controlled by Import Administration, International cash-deposit rate will be the rate the central government of the PRC. Also, Trade Administration, U.S. Department applicable to the PRC supplier of that in accordance with 19 CFR of Commerce, 14th Street and exporter. These deposit requirements, 351.214(b)(2)(iv), Shanghai and Constitution Avenue, N.W., when imposed, shall remain in effect Changshan submitted documentation Washington, D.C. 20230; telephone: establishing the date on which each until publication of the final results of (202) 482–0961 or (202) 482–1391, company first shipped the subject the next administrative review. respectively. merchandise to the United States, the Notification To Importers SUPPLEMENTARY INFORMATION: volume of its first shipment, and the date of the first sale to an unaffiliated This notice also serves as a Background customer in the United States. Shanghai preliminary reminder to importers of On August 14, 2003, the Department and Changshan also stated that they had their responsibility under 19 CFR received timely requests from Shanghai no shipments to the United States other 351.402(f) to file a certificate regarding and Changshan, pursuant to section than their first shipment. the reimbursement of antidumping 751(a)(2)(B) of the Tariff Act of 1930 Therefore, in accordance with section duties prior to liquidation of the (the Act) and in accordance with 19 CFR 751(a)(2)(B) of the Act and 19 CFR relevant entries during this review 351.214(c), for new shipper reviews 351.214(d), we are initiating new period. Failure to comply with this under the antidumping duty order on shipper reviews of the antidumping requirement could result in the natural bristle paintbrushes and brush duty order on natural bristle Secretary’s presumption that heads from the PRC. This order has a paintbrushes and brush heads from the reimbursement of antidumping duties February anniversary month and PRC. In accordance with 19 CFR occurred and the subsequent assessment therefore an August semiannual 351.214(i), we intend to issue the of double antidumping duties. anniversary month. On August 27, 2003, preliminary results not later than 180 the Department issued a letter to We are issuing and publishing these days from the date of initiation of these Shanghai and Changshan noting that preliminary results of review in reviews. All provisions of 19 CFR there were similarities in the new 351.214 will apply to Shanghai and accordance with sections 751(a)(2)(B) shipper review requests for both Changshan throughout the duration of and 777(i)(1) of the Act. companies, and we asked whether these new shipper reviews. Dated: September 30, 2003. Shanghai and Changshan were related In accordance with 19 CFR James J. Jochum, in any way. Shanghai and Changshan, 351.214(g)(1)(i)(B), the POR for a new Assistant Secretary for Import in their response of August 29, 2003, shipper review initiated in the month Administration. replied that the similarities occurred immediately following the semiannual [FR Doc. 03–25384 Filed 10–6–03; 8:45 am] because the actions by both Shanghai anniversary month is the six-month and Changshan occurred shortly after period immediately preceding the BILLING CODE 3510–DS–S their counsel conducted a program in semiannual anniversary month. China discussing the antidumping law Therefore, the POR for these new and various ways of participating. shipper reviews is February 1, 2003 Because of the schedule for filing new through July 31, 2003. Pursuant to
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section 751(a)(2)(B) of the Act and 19 country-wide rate provide de jure and exports of natural bristle paintbrushes CFR 351.214(d)(1), we are initiating new de facto evidence of an absence of and brush heads, the review will shipper reviews for shipments of natural government control over the company’s proceed. If, on the other hand, a bristle paintbrushes and brush heads export activities. Accordingly, we will respondent does not demonstrate its from the PRC: (1) produced by ZLMBF issue a questionnaire to Shanghai and eligibility for a separate rate, then it will and exported by Shanghai; (2) produced Changshan (including a complete be deemed to be affiliated with other by ZLMBF and exported by Changshan. separate rates section), allowing companies that exported during the POI It is the Department’s usual practice approximately 37 days for response. If and not eligible for a separate rate, and in cases involving non-market the response from each respondent the review of that respondent will be economies to require that a company provides sufficient indication that it is rescinded. seeking to establish eligibility for an not subject to either de jure or de facto antidumping duty rate separate from the government control with respect to its
Antidumping Duty New Shipper Reviews: Period To Be Reviewed:
Shanghai R&R Imp./Exp. Co., Ltd. / Produced by Zhejiang Lin’an Maxiao Brushes Factory ...... 2/1/03–7/31/03 Changshan Import/Export Co., Ltd. / Produced by Zhejiang Lin’an Maxiao Brushes Factory ...... 2/1/03–7/31/03
We will instruct the U.S. Bureau of DEPARTMENT OF COMMERCE request from Huihe pursuant to section Customs and Border Protection (BCBP) 751(a)(2)(B) of the Tariff Act of 1930 to allow, at the option of the importer, International Trade Adminstration (the Act) and in accordance with 19 CFR the posting, until the completion of the [A-570–504] 351.214(c), for new shipper reviews review, of a single entry bond or under the antidumping duty order on security in lieu of a cash deposit for Petroleum Wax Candles from the petroleum wax candles from the PRC. subject merchandise exported by and People’s Republic of China: Initiation This order has an August anniversary produced by the above listed of Antidumping Duty New Shipper month. On August 27, 2003, the companies. See 19 CFR 351.214(e). Reviews Department issued a letter to Shanghai and Changshan noting that there were Shanghai and Changshan certified that AGENCY: Import Administration, similarities in the new shipper review they exported but did not produce the International Trade Administration, requests for both companies, and we subject merchandise on which they Department of Commerce. asked whether Shanghai and Changshan based their new shipper review requests SUMMARY: The Department of Commerce were related in any way. Shanghai and (i.e. ZLMBF certified that it produced (the Department) has received timely Changshan, in their response of August the subject merchandise exported by requests to conduct new shipper 29, 2003, replied that the similarities Shanghai and Changshan). Therefore, reviews of the antidumping duty order occurred because the sales by both we will instruct BCBP to limit the on petroleum wax candles from the Shanghai and Changshan occurred bonding option only to entries of subject People’s Republic of China (PRC). In shortly after their counsel conducted a merchandise: (1) exported by Shanghai accordance with 19 CFR 351.214(d), we program in China discussing the U.S. and produced by ZLMBF; or (2) are initiating a review for Shanghai R&R antidumping law. Shanghai and exported by Changshan and produced Imp./Exp. Co., Ltd. (Shanghai) and its Changshan further explained that, by ZLMBF. producer Qing Yuan Huaxing Arts and because of the schedule for filing new Interested parties may submit Crafts Candle Co., Ltd. (Qing Yuan), and shipper review requests, they both applications for disclosure of business for Changshan Import/Export Co., Ltd. arranged the sales and made the (Changshan) and its producer Shaoxing shipments on relatively short notice. proprietary information under Youcheng Artcraft Knitting Co., Ltd. While we noted the similarities in the administrative protective order in (Shaoxing). We are also initiating a shipments, the two companies claimed accordance with 19 CFR 351.305 and review for Shandong Huihe Trade Co., that they are not affiliated, and therefore 351.306. Ltd. (Huihe), which is both the exporter they requested separate new shipper This initiation and notice are in and the producer. reviews. The Department will continue accordance with section 751(a) of the EFFECTIVE DATE: October 7, 2003. to examine carefully any similarities Act and 19 CFR 351.214. between Shanghai and Changshan FOR FURTHER INFORMATION CONTACT: throughout the review. Dated: September 30, 2003. Douglas Kirby or Dana Mermelstein, Joseph A. Spetrini, Office of AD/CVD Enforcement 7, Initiation of Reviews Deputy Assistant Secretary for Import Import Administration, International Pursuant to 19 CFR 351.214(b)(2)(i), Administration, Group III. Trade Administration, U.S. Department 19 CFR 351.214(b)(2)(ii) and 19 CFR [FR Doc. 03–25385 Filed 10–6–03; 8:45 am] of Commerce, 14th Street and 351.214(b)(2)(iii)(A), in their August 14, Constitution Avenue, N.W., BILLING CODE 3510–DS–S 2003 requests for review, Shanghai and Washington, D.C. 20230; telephone: Changshan certified that they did not (202) 482–0961 or (202) 482–1391, export the subject merchandise to the respectively. United States during the period of SUPPLEMENTARY INFORMATION: investigation (POI) and that neither they nor their producers are affiliated with Background any company which exported subject On August 14, 2003, the Department merchandise to the United States during received timely requests from Shanghai the POI. Pursuant to 19 CFR and Changshan and on August 28, 2003 351.214(b)(ii)(B), Shanghai’s producer, the Department received a timely Qing Yuan, and Changshan’s producer,
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Shaoxing, each certified that it did not accordance with 19 CFR 351.214(i), we It is the Department’s usual practice export subject merchandise during the intend to issue the preliminary results in cases involving non-market period of investigation. Pursuant to 19 not later than 180 days from the date of economies to require that a company CFR 351.214(b)(2)(i) Huihe (which is initiation of these reviews. All seeking to establish eligibility for an both the producer and exporter) provisions of 19 CFR 351.214 will apply antidumping duty rate separate from the certified that it did not export subject to Shanghai, Changshan and Huihe country-wide rate provide de jure and merchandise to the United States during throughout the duration of these new de facto evidence of an absence of the period of investigation. Pursuant to shipper reviews. government control over the company’s 19 CFR 351.214(b)(2)(iii)(B), Shanghai, export activities. Accordingly, we will In accordance with 19 CFR Changshan, and Huihe further certified issue a questionnaire to Shanghai and that their export activities are not 351.214(g)(1)(i)(A), the POR for a new Changshan (including a complete controlled by the central government of shipper review initiated in the month separate rates section), allowing the PRC. Also, in accordance with 19 immediately following the anniversary approximately 37 days for response. If CFR 351.214(b)(2)(iv), Shanghai, month is the twelve-month period the response from each respondent Changshan, and Huihe submitted immediately preceding the anniversary provides sufficient indication that it is documentation establishing the date on month. Therefore, the POR for these not subject to either de jure or de facto which each company first shipped the new shipper reviews is August 1, 2002 government control with respect to its subject merchandise to the United through July 31, 2003. Pursuant to exports of natural bristle paintbrushes States, the volume of each company’s section 751(a)(2)(B) of the Act and 19 and brush heads, the review will first and only shipment, and the date of CFR 351.214(d)(1), we are initiating new proceed. If, on the other hand, a the first sale to an unaffiliated customer shipper reviews for shipments of respondent does not demonstrate its in the United States.Therefore, in petroleum wax candles from the PRC: eligibility for a separate rate, then it will accordance with section 751(a)(2)(B) of (1) produced by Qing Yuan and be deemed to be affiliated with other the Act and 19 CFR 351.214(d), we are exported by Shanghai; (2) produced by companies that exported during the POI initiating new shipper reviews under Shaoxing and exported by Changshan; and not eligible for a separate rate, and the antidumping duty order on and, (3) produced and exported by the review of that respondent will be petroleum wax candles from the PRC. In Huihe. rescinded.
Antidumping Duty New Shipper Reviews Period to be reviewed
Shanghai R&R Imp./Exp. Co., Ltd./Produced by Qing YuanHuaxing Arts and Crafts Candle Co., Ltd...... 8/01/02–7/31/03 Changshan Import/Export Co., Ltd./Produced by ShaoxingYoucheng Artcraft Knitting Co., Ltd...... 8/01/02–7/31/03 Shandong Huihe Trade Co., Ltd./Produced by ShandongHuihe Trade Co., Ltd...... 8/01/02–7/31/03
We will instruct the U.S. Bureau of proprietary information under People’s Republic of China (‘‘PRC’’). In Customs and Border Protection (BCBP) administrative protective order in accordance with 19 CFR 351.214(d), we to allow, at the option of the importer, accordance with 19 CFR 351.305 and are initiating a new shipper review for the posting, of a single entry bond or 351.306. two of the companies that requested security in lieu of a cash deposit for This initiation and notice are in such a review: Guangxi Hengxian Pro- subject merchandise exported by and accordance with section 751(a)(2)(B) of Light Foods, Inc., a producer and produced by the above listed the Act and 19 CFR 351.214. exporter of certain preserved companies. See 19 CFR 351.214(e). Dated: September 30, 2003. mushrooms from the PRC; and Nanning Shanghai and Changshan certified that Joseph A. Spetrini, Runchao Industrial Trade Company, Ltd., an exporter of certain preserved they exported but did not produce the Deputy Assistant Secretary for Import subject merchandise on which they Administration, Group III. mushrooms from the PRC. based their new shipper review [FR Doc. 03–25383 Filed 10–6–03; 8:45 am] EFFECTIVE DATE: October 7, 2003. requests; Qing Yuan certified that it BILLING CODE 3510–DS–S FOR FURTHER INFORMATION CONTACT: produced the subject merchandise Brian Smith or Sophie Castro, Import exported by Shanghai and Shaoxing Administration, International Trade certified that it produced the subject DEPARTMENT OF COMMERCE Administration, U.S. Department of merchandise exported by Changshan. Commerce, 14th Street and Constitution Therefore, we will instruct BCBP to International Trade Administration Avenue, N.W., Washington, D.C. 20230; limit the bonding option only to entries telephone (202) 482–1766 or (202) 482– of subject merchandise: (1) exported by [A-570–851] 0588, respectively. Shanghai and produced by Qing Yuan; SUPPLEMENTARY INFORMATION: or (2) exported by Changshan and Certain Preserved Mushrooms from produced by Shaoxing. Shandong Huihe the People’s Republic of China: Background Trade Co., Ltd. certified that it is both Initiation of Seventh New Shipper Antidumping Duty Review The Department has received timely the producer and exporter of the requests in August 2003 from: (1) petroleum wax candles. Therefore, we AGENCY: Import Administration, Guangxi Hengxian Pro-Light Foods, Inc. will instruct BCBP to limit the bonding International Trade Administration, (‘‘Guangxi Hengxian’’); (2) Nanning option only to entries of subject Department of Commerce. Runchao Industrial Trade Company, merchandise both produced and SUMMARY: The Department of Commerce Ltd. (‘‘Nanning Runchao’’); (3) Xiamen exported by Shandong Huihe Trade Co., received several requests in August International Trade and Industry Ltd. 2003 to conduct a new shipper review Company, Ltd. (‘‘XITIC’’); (4) Xiamen Interested parties may submit of the antidumping duty order on Zhongjia Import and Export Company, applications for disclosure of business certain preserved mushrooms from the Ltd. (‘‘Zhongjia’’); (5) Zhangzhou
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Longhai Minhui Industry and Trade Co., 19 CFR 351.214(b)(2)(iv)(A), each In cases involving non-market Ltd. (‘‘Minhui’’); and (6) Shanghai company provided the date of the first economies, it is the Department’s Superlucky Import & Export Company, sale to an unaffiliated customer in the normal practice to require that a Ltd (‘‘Superlucky’’), in accordance with United States. Each company submitted company seeking to establish eligibility 19 CFR 351.214(c), for a new shipper documentation establishing the date on for an antidumping duty rate separate review of the antidumping duty order which it first shipped the subject from the country-wide rate provide de on certain preserved mushrooms from merchandise to the United States and jure and de facto evidence of an absence the PRC, which has an August semi- the volume of that shipment. Nanning of government control over the annual anniversary month. On Runchao, Zhongjia and Minhui also company’s export activities. September 22, 2003, Superlucky provided the date of entry of that first Accordingly, we will issue a withdrew its request for a new shipper shipment. questionnaire to Nanning Runchao and review. Accordingly, we have not In accordance with section Guangxi Hengxian (including a considered Superlucky in this new 751(a)(2)(B) of the Tariff Act of 1930 complete separate rates section), shipper review initiation. (‘‘the Act’’), as amended, and 19 CFR allowing approximately 37 days for Guangxi Hengxian identified itself as 351.214(b), and based on our analysis of response. If the response from each the producer of the preserved the information and documentation respondent provides sufficient mushrooms it exports. Nanning provided with the new shipper review indication that it is not subject to either Runchao identified itself as an exporter requests, as well as our analysis of de jure or de facto government control of preserved mushrooms produced by proprietary import data from the U.S. with respect to its exports of brake its supplier, Guangxi Yizhou Dongfang Bureau of Customs and Border rotors, the review will proceed. If a Cannery (‘‘Guangxi Yizhou’’). XITIC Protection (‘‘Customs’’), we find that respondent does not demonstrate its identified itself as an exporter of Nanning Runchao and Guangxi eligibility for a separate rate, then it will preserved mushrooms produced by its Hengxian have met the requirements be deemed to be affiliated with other supplier, Inter-Foods (D.S.) Company, under which the Department can companies that exported during the POI Ltd.1 Zhongjia identified itself as an initiate a new shipper review (for more and that it did not establish entitlement exporter of preserved mushrooms details, see New Shipper Initiation to a separate rate, and the review of that produced by its supplier, Zhangzhou Checklists for Nanning Runchao and respondent will be rescinded. Hongning Canned Food Factory. Minhui Guangxi Hengxian). Therefore, we are Initiation of Review identified itself as an exporter of initiating a new shipper review for preserved mushrooms produced by its Nanning Runchao and Guangxi In accordance with section supplier, Longhai Jiuhu Longhuan Tin Hengxian. Furthermore, based on our 751(a)(2)(B)(ii) of the Act and 19 CFR Food Factory.2 analysis of the information and 351.214(d)(1), we are initiating a new As required by 19 CFR documentation provided with the new shipper review of the antidumping duty 351.214(b)(2)(i), (ii), and (iii)(A), each shipper review requests, as well as our order on certain preserved mushrooms company identified above has certified analysis of proprietary import data from from the PRC. We intend to issue the that it did not export certain preserved Customs, we find that XITIC, Zhongjia preliminary results of this review not mushrooms to the United States during and Minhui all had transactions which later than 180 days after the date on the period of investigation (‘‘POI’’), and took place outside of the relevant period which the review is initiated. that it has never been affiliated with any of review (‘‘POR’’) and therefore do not In accordance with 19 CFR exporter or producer which did export meet the requirements under which the 351.214(g)(1)(i)(B), the POR for a new certain preserved mushrooms during the Department can initiate a new shipper shipper review, initiated in the month POI. Each company has further certified review (for more details, see New following the semi-annual anniversary that its export activities are not Shipper Initiation Checklists for XITIC, month, will be the six-month period controlled by the central government of Zhongjia and Minhui). Thus, we are not immediately proceeding the semi- the PRC, satisfying the requirements of initiating a new shipper review for annual anniversary month. Therefore, 19 CFR 351.214(b)(2)(iii)(B). Pursuant to XITIC, Zhongjia and Minhui. the POR for this new shipper review is:
Antidumping Duty New Shipper Review Proceeding Period to be Reviewed
PRC: Certain Preserved Mushrooms, A-570–851:. Nanning Runchao Industrial Trade Company, Ltd...... 02/01/03 - 07/31/03 Guangxi Hengxian Pro-Light Foods, Inc...... 02/01/03 - 07/31/03
We will instruct Customs to allow, at With regard to Guangxi Hengxian, Nanning Runchao and its producer the option of the importer, the posting, because Guangxi Hengxian has certified Guangxi Yizhou, we will apply the until the completion of the review, of a that it both produces and exports the bonding privilege only to entries of the bond or security in lieu of a cash subject merchandise, the sale of which subject merchandise exported by deposit for each entry of the subject was the basis for its new shipper review Nanning Runchao which was also merchandise from the above-listed request, we will apply the bonding produced by Guangxi Yizhou. companies. This action is in accordance privilege only to entries of subject Interested parties that need access to with section 751(a)(2)(B)(iii) of the Act, merchandise for which it is both the proprietary information in this new as amended, and 19 CFR 351.214(e). producer and exporter. With regard to shipper review should submit
1 On August 7, 2003, the Department issued a identify correctly the producer of the subject because Zhongjia’s and Minhui’s certifications memorandum notifying interested parties of its merchandise. failed to identify correctly the producer of the intent to rescind the new shipper review of this 2 On August 4, 2003, the Department subject merchandise (see 68 FR 45792 and 67 FR company, initiated on March 28, 2003 (see 68 FR preliminarily rescinded the new shipper review of 62438, respectively). 15152), because XITIC’s certification failed to Zhongjia and Minhui, initiated on October 7, 2002,
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applications for disclosure under FOR FURTHER INFORMATION CONTACT: December 2002. The Department issued administrative protective order in Karine Gziryan, Jeff Pedersen, or Crystal supplemental questionnaires to accordance with 19 CFR 351.305 and Scherr Crittenden, AD/CVD Changwon and Dongbang in December 351.306. Enforcement, Office IV, Group II, Import 2002 and, January, February, March and This initiation and notice are in Administration, International Trade April 2003, and received responses from accordance with section 751(a)(2)(B) of Administration, U.S. Department of Changwon and Dongbang in January, the Act (19 U.S.C. 1675(a)) and 19 CFR Commerce, 14th and Constitution February, March and April 2003. 351.214(d). Avenue, N.W., Washington, D.C. 20230; On May 16, 2003 the Department Dated: September 30, 2003. telephone: (202) 482–4081, (202) 482– published in the Federal Register a Jeffrey May, 2769 or (202) 482–0989, respectively. notice extending the deadline for Deputy Assistant Secretary for Import SUPPLEMENTARY INFORMATION: issuing the preliminary results in this Administration. Background case until no later than September 30, 2003. See Stainless Steel Wire Rod from [FR Doc. 03–25387 Filed 10–6–03; 8:45 am] On September 15, 1998, the BILLING CODE 3510–DS–S South Korea: Extension of Time Limit Department published in the Federal for Preliminary Results of Antidumping Register the antidumping duty order on Duty Administrative Review, 68 FR DEPARTMENT OF COMMERCE SSWR from Korea. See Notice of 26571 (May 16, 2003). Amendment of Final Determination of International Trade Administration Sales at Less Than Fair Value and Scope of the Review Antidumping Duty Order: Stainless [A-580–829] Steel Wire Rod From Korea, 63 FR For purposes of this review, SSWR 49331 (September 15, 1998) (Amended comprises products that are hot-rolled Stainless Steel Wire Rod From the Final Determination). On September 3, or hot-rolled annealed and/or pickled Republic of Korea: Preliminary Results 2002, the Department published a notice and/or descaled rounds, squares, of Antidumping Duty Administrative of ‘‘Opportunity to Request an octagons, hexagons or other shapes, in Review Administrative Review’’ of the coils, that may also be coated with a AGENCY: Import Administration, antidumping duty order on SSWR from lubricant containing copper, lime or International Trade Administration, Korea. See Antidumping or oxalate. SSWR is made of alloy steels Department of Commerce. Countervailing Duty Order, Finding, or containing, by weight, 1.2 percent or less of carbon and 10.5 percent or more ACTION: Notice of Preliminary Results of Suspended Investigation; Opportunity of chromium, with or without other Antidumping Duty Administrative to Request Administrative Review, 67 elements. These products are Review. FR 56267 (September 3, 2002). On September 30, 2002, Changwon manufactured only by hot-rolling or hot- SUMMARY: The Department of Commerce Specialty Steel Co., Ltd. (Changwon) rolling annealing, and/or pickling and/ (the Department) is conducting an and Dongbang Special Steel Co., Ltd. or descaling, are normally sold in coiled administrative review of the (Dongbang) (collectively, together with form, and are of solid cross-section. The antidumping duty order on stainless Pohang Iron and Steel Co., Ltd. majority of SSWR sold in the United steel wire rod (SSWR) from the Republic (POSCO), respondent1 (see the States is round in cross-sectional shape, of Korea (Korea). The review covers two ‘‘Affiliation and Collapsing’’ section of annealed and pickled, and later cold- manufacturers/exporters of subject this notice)) requested an administrative finished into stainless steel wire or merchandise during the period of review of the U.S. sales of Changwon small-diameter bar. The most common review (POR) September 1, 2001 and Dongbang that were subject to the size for such products is 5.5 millimeters through August 31, 2002. Based upon antidumping order on SSWR from or 0.217 inches in diameter, which our analysis, the Department has Korea. On October 24, 2002, the represents the smallest size that preliminarily determined that dumping Department initiated an administrative normally is produced on a rolling mill margins exist for both manufacturers/ review of Changwon and Dongbang. See and is the size that most wire-drawing exporters. If these preliminary results Initiation of Antidumping and machines are set up to draw. The range are adopted in our final results of Countervailing Duty Administrative of SSWR sizes normally sold in the administrative review, we will instruct Reviews, 67 FR 65336 (October 24, United States is between 0.20 inches the U.S. Bureau of Customs and Border 2002). and 1.312 inches in diameter. Protection (BCBP) to assess On October 15, 2002, the Department Two stainless steel grades are antidumping duties as appropriate. issued an antidumping questionnaire to excluded from the scope of the review. Interested parties are invited to Changwon and Dongbang. The SF20T and K-M35FL are excluded. The comment on these preliminary results. Department received Changwon’s and chemical makeup for the excluded EFFECTIVE DATE : October 7, 2003. Dongbang’s responses in November and grades is as follows: SF20T
Carbon ...... 0.05 max Chromium 19.00/21.00 Manganese ...... 2.00 max Molybdenum 1.50/2.50 Phosphorous ...... 0.05 max Lead-added (0.10/0.30) Sulfur ...... 0.15 max Tellurium-added (0.03 min) Silicon ...... 1.00 max
1 Although we are treating POSCO, Changwon, instances, refer to POSCO, Changwon, and Dongbang separately to distinguish the information and Dongbang, as a single entity, we may, in certain separately reported by these companies.
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K-M35FL
Carbon ...... 0.015 max Nickel 0.30 max Silicon ...... 0.70/1.00 12.50/14.00 Manganese ...... 0.40 max Lead 0.10/0.30 Phosphorous ...... 0.04max Aluminum 0.20/0.35 Sulfur ...... 0.03 max
The products subject to this review Preliminary Results and Partial order, whether antidumping duties have are currently classifiable under Rescission of Antidumping Duty been absorbed by a foreign producer or subheadings 7221.00.0005, Administrative Review, 66 FR 29930, exporter, if the subject merchandise is 7221.00.0015, 7221.00.0030, 29931 (June 4, 2001), citing Certain sold in the United States through an 7221.00.0045, and 7221.00.0075 of the Welded Carbon Steel Pipes and Tubes affiliated importer. Because the Harmonized Tariff Schedule of the from Thailand: Preliminary Results of collapsed entity POSCO/Changwon/ United States (HTSUS). Although the Antidumping Duty Administrative Dongbang (see ‘‘Affiliation and HTSUS subheadings are provided for Review, 64 FR 17998, 17999 (April 13, Collapsing’’ section of this notice) sold convenience and customs purposes, the 1999) (unchanged by the final results)). to unaffiliated customers in the United written description of the scope of this States through an importer that is review is dispositive. B. Affiliation Between Changwon, Dongbang and U.S. Trading Company affiliated, and because this review was Affiliation and Collapsing Customers initiated four years after the publication A. Changwon, POSCO, and Dongbang Dongbang reported U.S. sales to of the order, we will make a duty absorption determination in this During the less-than-fair value (LTFV) trading companies whom it classified as unaffiliated parties in its November 19, segment of the proceeding within the investigation, POSCO was the sole meaning of section 751(a)(4) of the Act. supplier to Dongbang of black coil and December 12, 2002 questionnaire (unfinished SSWR). See Notice of Final responses. The petitioners (Carpenter On February 21, 2003, the Department Determination of Sales at Less than Fair Technoloy Corporation and Empire requested evidence from the respondent Value: Stainless Steel Wire Rod from Specialty Steel) contend that Dongbang to demonstrate that the U.S. purchasers Korea, 63 FR 40404, 40410 (July 29, is affiliated with these trading company will pay any antidumping duties 1998) (Final Determination). Based on customers through a principal/agent ultimately assessed on entries during this fact, and the fact that Dongbang was relationship. the POR. In its response, submitted on not able to obtain suitable black coil In the review of SSWR from Korea February 28, 2003, Changwon, which is covering the period September 1, 1999 from alternative sources, the affiliated with the importer of the through August 31, 2000, the petitioners Department determined that POSCO subject merchandise, stated that it also contended that Changwon and and its wholly-owned subsidiary, negotiates a duty paid delivered price Changwon, were affiliated with Dongbang were affiliated with certain U.S. trading company customers that includes the antidumping duties, Dongbang through a close supplier and thus it sets prices so as to pass the relationship pursuant to section through a principal/agent relationship. However, the Department determined cost of the antidumping duties to the 771(33)(G) of the Act and section customer. In determining whether the 351.102(b) of the Department’s that no such relationship existed. See Stainless Steel Wire Rod From Korea; antidumping duties have been absorbed regulations. See id. In the Final by the respondent during the POR we Determination, the Department also Final Results of Antidumping Duty presume that the duties will be absorbed collapsed Changwon, POSCO, and Administrative Review, 67 FR 6685 for those sales that have been made at Dongbang and treated them as a single (February 13, 2002). See also less than normal value (NV). This entity for purposes of the dumping Memorandum from Holly Kuga to analysis in accordance with section Bernard Carreau on Whether Changwon presumption can be rebutted with 351.401(f) of the Department’s and Dongbang are Affiliated With evidence (e.g., an agreement between regulations. See id. Certain U.S. Customers Under Section the affiliated importer and unaffiliated Neither POSCO, Changwon, nor 771(33) of the Act, dated October 1, purchaser) that the unaffiliated Dongbang has provided any new 2001. Because the petitioners have not purchaser will pay the full duty evidence requiring the Department to provided any new evidence indicating a ultimately assessed on the subject revisit this finding. Therefore, we change in the relationship between merchandise. continue to find that POSCO and these companies, we continue to find Although Changwon claims that the Changwon are affiliated with Dongbang that Dongbang is not affiliated with its price charged to the unaffiliated U.S. 2 U.S. trading company customers through a close supplier relationship. customer includes duties paid, it through a principal/agent relationship. Further, we have continued to treat provided no evidence that these duties POSCO, Changwon, and Dongbang as a Duty Absorption include antidumping duties nor did it single entity and to calculate a single On November 5, 2002, the petitioners provide an agreement between the margin for them. (See, e.g., Frozen requested that the Department affiliated importer and the unaffiliated Concentrated Orange Juice from Brazil; determine whether antidumping duties purchaser stating that the unaffiliated purchaser will pay the full duty 2 During the POR, Changwon, and not POSCO, had been absorbed during the POR by was Dongbang’s sole supplier of black coil. the respondent. Section 751(a)(4) of the ultimately assessed on the subject However, since we continue to treat POSCO and Tariff Act of 1930, as amended (the Act), merchandise. Therefore, we Changwon as a single entity (as we did in the LTFV provides for the Department, if preliminarily find that antidumping investigation), this does not change our duties have been absorbed by POSCO/ determination that POSCO/Changwon are affiliated requested, to determine, during an with Dongbang through a close supplier administrative review initiated two or Changwon/Dongbang on all U.S. sales relationship. four years after the publication of the made through its affiliated importer.
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Section 201 Duties received on imported materials, manifested in a pattern of consistent The Department notes that pursuant to section 772(c)(1)(B) of the price differences between the sales on merchandise subject to this review is Act. which NV is based and comparison- market sales at the LOT of the export subject to duties imposed under section Constructed Export Price 201 of the Act (section 201 duties). transaction, we make a LOT adjustment For all reported sales by the U.S. under section 773(a)(7)(A) of the Act. Because the Department has not affiliate POSAM, in calculating U.S. Finally, for CEP sales, if the NV level is previously addressed the price, the Department used CEP, as more remote from the factory than the appropriateness of deducting section defined in section 772(b) of the Act, CEP level and there is no basis for 201 duties from export price and because the merchandise was sold, after determining whether the difference in constructed export price, on September importation, to unaffiliated purchasers the levels between NV and CEP affects 9, 2003 the Department published a in the United States. We calculated CEP price comparability, we adjust NV as request for public comments on this based on delivered prices to unaffiliated provided under section 773(a)(7)(B) of issue (68 FR 53104). All comments are customers in the United States. We the Act (the CEP offset provision). See due by October 9, 2003 and rebuttal made deductions from the starting price, Notice of Final Determination of Sales comments are due October 24, 2003. where appropriate, for foreign and U.S. at Less Than Fair Value: Certain Cut-to Since the Department has not made a brokerage and handling, foreign and Length Carbon Steel Plate from South determination on this issue at this time, U.S. inland freight, international freight, Africa, 62 FR 61731 (November 19, for purposes of these preliminary marine insurance, U.S. duties, and 1997). results, no adjustment has been made. direct and indirect selling expenses to In determining whether separate Normal Value Comparisons the extent that they are associated with LOTs exist, we obtained information economic activity in the United States from the collapsed entity POSCO/ To determine whether the in accordance with section 772(d)(1)(B) Changwon/Dongbang about the respondent’s sales of SSWR from Korea and (D) of the Act. These deductions marketing stages for the reported U.S. to the United States were made at less included credit expenses. We added and comparison-market sales, including than NV, we compared the export price duty drawback received on imported a description of the selling activities (EP) and constructed export price (CEP), materials pursuant to section performed by POSCO/Changwon/ as appropriate, to the NV, as described 772(c)(1)(B) of the Act. Finally, in Dongbang for each channel of in the ‘‘Export Price,’’ ‘‘Constructed accordance with section 772(d)(3) of the distribution. In identifying LOTs for EP Export Price’’ and ‘‘Normal Value’’ Act, we made a deduction for CEP and comparison-market sales, we sections of this notice, below. We first profit. considered the selling functions attempted to compare contemporaneous For further details, see Calculation reflected in the starting price before any U.S. and comparison-market sales of Memorandum dated September 30, adjustments. See 19 CFR products that are identical with respect 2003, on file in the Central Records 351.412(c)(1)(i). In identifying LOTs for to the following characteristics: grade, Unit, Room B-099 of the Main CEP sales, we considered the selling diameter, further processing and Commerce Building (CRU). functions reflected in the starting price, coating. Where we were unable to Level of Trade (LOT) as adjusted under section 772(d) of the compare sales of identical merchandise, Act. See 19 CFR 351.412(c)(ii). We we compared U.S. sales to comparison- In accordance with section expect that, if claimed LOTs are the market sales of the most similar 773(a)(1)(B) of the Act, to the extent same, the selling functions and merchandise based on the above practical, we determined NV based on activities of the seller at each level characteristics, which are listed in order sales in the comparison market at the should be similar. Conversely, if a party of importance for matching purposes. same LOT as the EP or CEP sales. The claims that LOTs are different for NV LOT is that of the starting-price Export Price different groups of sales, the selling sales in the comparison market or, when functions and activities of the seller for For all reported U.S. sales, other than NV is based on CV, that of the sales each group should be dissimilar. those made by the U.S. affiliate POSAM, from which we derive selling, general, In their questionnaire responses, in calculating U.S. price, the and administrative (SG&A) expenses Changwon and Dongbang reported that, Department used EP, as defined in and profit. For EP sales, the U.S. LOT during the POR, they sold the foreign section 772(a) of the Act, because the is also the level of the starting-price like product in the home market merchandise was sold, prior to sale. For CEP sales, it is the level of the through one channel of distribution and importation, to unaffiliated purchasers constructed sale from the exporter to the in the United States through one in the United States, or to an importer. The Department adjusts the channel of distribution. We examined unaffiliated purchaser for exportation to CEP, pursuant to section 772(d), prior to the selling functions for the collapsed the United States, and CEP methodology performing the LOT analysis, as entity POSCO/Changwon/Dongbang and was not otherwise warranted based on articulated by the Department’s found that the selling functions the facts on the record. We calculated regulations at section 351.412. See performed by Changwon and Dongbang EP based on the packed, delivered Micron Technology, Inc. v. United in the home market are similar. Also, we prices charged to unaffiliated customers States, 243 F.3rd 1301, 1315 (Fed. Cir. found that the selling functions in the United States or to unaffiliated 2001). performed by Changwon and Dongbang customers for exportation to the United To determine whether NV sales are at with respect to the U.S. channels of States. In accordance with section a different LOT than the EP or CEP distribution are similar. Based on the 772(c)(2)(A) of the Act, we made sales, we examined stages in the similarity of the selling functions, we deductions from the starting price, marketing process and selling activities have determined that the collapsed where applicable, for foreign movement along the chain of distribution between entity’s sales of SSWR are made at one expenses (including brokerage and the producer and the unaffiliated LOT in the home market and one LOT handling and inland freight), customer. If the comparison-market in the U.S. market. Moreover, we international freight, and marine sales are at a different LOT, and the examined the selling functions for the insurance. We added duty drawback difference affects price comparability, as collapsed entity POSCO/Changwon/
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Dongbang, and found that the selling affiliated party were at arm’s length. See made in ‘‘substantial quantities.’’ Where functions performed by the collapsed 19 CFR 351.403(c). In instances where 20 percent or more of POSCO/ respondent are sufficiently similar in no price ratio could be constructed for Changwon/Dongbang’s sales of a given the home market and the United States an affiliated customer because identical product were made at prices below the to consider the LOTs in the two markets merchandise was not sold to COP, we determined that such sales to be the same LOT. Therefore, we unaffiliated customers, the Department were made in substantial quantities preliminarily find that there is one LOT was unable to determine that these sales within an extended period of time (i.e., in the U.S. and comparison-market, and were made at arm’s length prices and, a period of one year). Further, because thus, no LOT adjustment is required for therefore, excluded them from our we compared prices to POR-average comparison of U.S. sales to comparison- analysis. See Notice of Final costs, we determined that the below- market sales. Moreover, because there is Determination of Sales at Less Than cost prices would not permit recovery of one LOT in the U.S. and comparison Fair Value: Certain Cold-Rolled Carbon all costs within a reasonable time market, we have denied the Steel Flat Products from Argentina, 58 period, and thus, we disregarded the respondent’s request for a CEP offset. FR 37062, 37077 (July 9, 1993). Where below-cost sales in accordance with For further details, see Memorandum the exclusion of such sales eliminated sections 773(b)(1) and (2) of the Act. regarding Level of Trade Analysis dated all sales of the most appropriate We found that for certain products, September 30, 2003 on file in the CRU. comparison product, the Department POSCO/Changwon/Dongbang made home market sales at prices below the Normal Value made a comparison to the next most similar product. COP within an extended period of time After testing home market viability, in substantial quantities. Further, we whether sales to affiliates were at arm’s- 3. Cost of Production (COP) Analysis found that these sale prices did not length prices, and whether home market In the second administrative review of permit the recovery of costs within a sales failed the cost test, we calculated SSWR from Korea, the most recently reasonable period of time. We therefore NV as noted in subsection 4, completed segment of this proceeding, excluded these sales from our analysis ‘‘Calculation of NV,’’ below. the Department disregarded POSCO/ in accordance with section 773(b)(1) of 1. Home Market Viability Changwon/Dongbang’s sales that were the Act. found to have failed the cost test. D. Calculation of CV In order to determine whether there is Accordingly, the Department, pursuant a sufficient volume of sales in the home to section 773(b) of the Act, initiated a In accordance with section 773(e)(1) market to serve as a viable basis for COP investigation of the respondent for of the Act, we calculated POSCO/ calculating NV (i.e., whether the purposes of this administrative review. Changwon/ Dongbang’s CV based on the aggregate volume of home market sales We conducted the COP analysis as sum of POSCO/Changwon/Dongbang’s of the foreign like product is equal to or described below. cost of materials, fabrication, SG&A, greater than five percent of the aggregate including interest expenses, and profit. volume of U.S. sales), we compared the A. Calculation of COP We calculated the COPs included in the respondents’ volume of home market In accordance with section 773(b)(3) calculation of CV as noted above in the sales of the foreign like product to the of the Act, we calculated the weighted- ‘‘Calculation of COP’’ section of this volume of its U.S. sales of subject average COP, by model, for the POR notice. In accordance with section merchandise, in accordance with based on the sum of materials and 773(e)(2)(A) of the Act, we based SG&A section 773(a)(1) of the Act. Because the fabrication costs, general and and profit on the amounts incurred and respondents’ aggregate volume of home administrative (G&A) expenses, and realized by POSCO/Changwon/ market sales of the foreign like product packing costs. Dongbang in connection with the is greater than five percent of its production and sale of the foreign like aggregate volume of U.S. sales of subject B. Test of Comparison-Market Sales product in the ordinary course of trade, merchandise, we determined that the Prices for consumption in the foreign country. home market is viable for the As required under section 773(b) of respondent. the Act, we compared the weighted- 4. Calculation of NV average COPs to the comparison-market We determined price-based NVs for 2. Affiliated-Party Transactions and sales of the foreign like product, in POSCO/Changwon/Dongbang as Arm’s-Length Test order to determine whether these sales follows: we calculated NV based on Sales to affiliated customers in the had been made at prices below the COP packed, delivered and ex-factory prices home market not made at arm’s length within an extended period of time in to home market customers. We prices were excluded from our analysis substantial quantities, and whether such increased the starting price for duty because the Department considered prices were sufficient to permit the drawback revenue received from them to be outside the ordinary course recovery of all costs within a reasonable customers, where applicable, and for of trade. See 19 CFR 351.102. To test period of time. On a product-specific freight revenue. We made deductions whether these sales were made at arm’s basis, we compared the COP to the from the starting price for foreign inland length prices, the Department comparison-market prices, less any freight, where applicable, pursuant to compared, on a product-specific and applicable movement charges and direct section 773(a)(6)(B)(ii) of the Act. quality-specific (i.e., prime and non- and indirect selling expenses. Pursuant to section 773(a)(6)(C)(iii) of prime quality) basis, the prices of sales the Act and 19 CFR 351.410(c), we made to affiliated and unaffiliated customers C. Results of the COP Test circumstance-of-sale (COS) adjustments net of all movement charges, direct Pursuant to section 773(b)(2)(C) of the to the starting price, where appropriate, selling expenses, and packing. Where, Act, where less than 20 percent of for differences in credit and warranty. for the tested products, prices to the POSCO/Changwon/Dongbang’s sales of We deducted home market packing affiliated party were on average 99.5 a given product were made at prices costs from, and added U.S. packing percent or more of the price to below the COP, we did not disregard costs to, the starting price, in unaffiliated parties, the Department any below-cost sales of that product accordance with section 773(a)(6)(A) determined that sales made to the because the below-cost sales were not and (B) of the Act. Where appropriate,
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we made adjustments to NV to account will calculate importer-specific ad of the relevant entries during this for differences in the physical valorem duty assessment rates based on review period. Failure to comply characteristics of the merchandise sold the ratio of the total amount of dumping with this requirement could result in in the U.S. and comparison market, in margins calculated for the examined the Secretary’s presumption that accordance with section 773(a)(6)(C)(ii) sales to the entered value of sales used reimbursement of the antidumping of the Act and 19 CFR 351.411. to calculate those duties. Where the duties occurred and the subsequent assessment of double antidumping Currency Conversion importer-specific assessment rate is above de minimis, we will instruct the duties. Pursuant to section 773A(a) of the BCBP to assess the importer-specific This administrative review and this Act, we made currency conversions into rate uniformly on all entries made notice are in accordance with sections U.S. dollars based on the exchange rates during the POR. For EP sales, since the 751(a)(1) and 777(I)(1) of the Act. in effect on the dates of the U.S. sales respondent did not report the entered as certified by the Federal Reserve Bank. Dated: September 30, 2003. value for these sales, we have calculated James J. Jochum, exporter-specific per-unit duty Preliminary Results of Review Assistant Secretary for Import assessment rates based on the ratio of As a result of this review, we Administration. the total amount of dumping margins preliminarily determine that the [FR Doc. 03–25386 Filed 10–6–03; 8:45 am] calculated for the examined sales to the following weighted-average margin BILLING CODE 3510–DS–S quantity corresponding to the sales used exists for the period September 1, 2001, to calculate those duties. The through August 31, 2002: Department will issue appropriate DEPARTMENT OF COMMERCE Margin assessment instructions directly to the Manufacturer/Exporter (percent) BCBP within 15 days of publication of International Trade Administration the final results of review. POSCO/Changwon/ [A-580–844] Dongbang ...... 1.77 Cash Deposit Requirements Steel Concrete Reinforcing Bar from The following cash deposit We will disclose the calculations used The Republic of Korea: Notice of requirements will be effective upon in our analysis to parties to this Preliminary Results of Antidumping publication of these final results for all proceeding within five days of the Duty Administrative Review shipments of the subject merchandise publication date of this notice. See 19 entered, or withdrawn from warehouse, AGENCY: Import Administration, CFR 351.224(b). Any interested party for consumption on or after the International Trade Administration, may request a hearing within 30 days of publication date of these final results of Department of Commerce. the publication date of this notice. See administrative review, as provided by ACTION: 19 CFR 351.310(c). If requested, a Notice of Preliminary Results of section 751(a)(1) of the Act: (1) the cash hearing will be held 44 days after the Antidumping Duty Administrative date of publication of this notice, or the deposit rate for the reviewed companies Review. first workday thereafter. Interested will be the rate listed above (except that EFFECTIVE DATE: October 7, 2003. parties may submit case briefs within 30 if the rate is de minimis, i.e., less than SUMMARY: In response to a request from days of the date of publication of this 0.5 percent, a cash deposit rate of zero Dongkuk Steel Mill Corporation Ltd. notice. Rebuttal briefs, limited to issues will be required); (2) for previously (‘‘DSM’’), the Department of Commerce raised in the case briefs, may be filed investigated companies not listed above, not later than 7 days after the deadline the cash deposit rate will continue to be (‘‘the Department’’) is conducting an for filing case briefs. Interested parties the company-specific rate published for administrative review of the are invited to comment on the the most recent period; (3) if the antidumping duty order on steel preliminary results. Parties who submit exporter is not a firm covered in this concrete reinforcing bar (‘‘rebar’’) from arguments are requested to submit with review, a prior review, or the original the Republic of Korea (Korea). The each argument: (1) a statement of the LTFV investigation, but the period of review (‘‘POR’’) is January 30, issue, (2) a brief summary of the manufacturer is, the cash deposit rate 2001 through August 31, 2002. argument and (3) a table of authorities. will be the rate established for the most As discussed below, the Department Further, the parties submitting written recent period for the manufacturer of collapsed DSM and Korea Iron and Steel comments should provide the the merchandise; and (4) the cash Co., Ltd. (‘‘KISCO’’) into a single entity Department with an additional copy of deposit rate for all other manufacturers for purposes of this administrative the public version of any such or exporters will continue to be the ‘‘all review. We preliminarily determine that comments on a diskette. The others’’ rate of 5.77 percent, which is DSM/KISCO made sales at less than Department will issue the final results the ‘‘all others’’ rate established in the normal value during the POR. If these of this administrative review, which LTFV investigation (see Amended Final preliminary results are adopted in our will include the results of its analysis of Determination). These deposit final results of review, we will instruct issues raised in any such comments, requirements, when imposed, shall the U.S. Bureau of Customs and Border within 120 days from the publication remain in effect until publication of the Protection (‘‘BCBP’’) to assess date of this notice. final results of the next administrative antidumping duties based on the review. difference between the United States Assessment Rate Price (‘‘USP’’) and normal value (‘‘NV’’). Notification to Interested Parties Upon completion of this Interested parties are invited to administrative review, the Department This notice also serves as a comment on these preliminary results. will determine, and the BCBP shall preliminary reminder to importers of FOR FURTHER INFORMATION CONTACT: assess, antidumping duties on all their responsibility under 19 CFR Richard Johns or Mark Manning at (202) appropriate entries. For CEP sales, since 351.402(f)(2) to file a certificate 482–2305 or (202) 482–5253, the respondent reported the entered regarding the reimbursement of respectively, Antidumping and values and importer for these sales, we antidumping duties prior to liquidation Countervailing Duty Enforcement Group
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II, Office 4, Import Administration, This extension established the deadline Acting Deputy Assistant Secretary International Trade Administration, for these preliminary results as Group II, ‘‘Decision Memorandum: U.S. Department of Commerce, 14th September 30, 2003. Whether to Collapse Dongkuk Steel Mill Street and Constitution Avenue, NW, On May 7, 2003, the Department Co., Ltd., and Korea Iron and Steel Co., Washington, DC 20230. released to DSM the results of a query Ltd., Into a Single Entity,’’ dated SUPPLEMENTARY INFORMATION: of entry data obtained from the BCBP, September 12, 2003 (‘‘Collapsing and requested that DSM verify that all Memorandum’’), on file in the Central Background sales through an affiliated company Records Unit, Room B-099 of the Main On September 7, 2001, the were included in the sales data set Commerce Building (‘‘CRU’’). On Department issued an antidumping duty submitted to the Department. In September 15, 2003, we issued the order on rebar from Korea. See response, on May 14, 2003, DSM antidumping questionnaire to KISCO. Antidumping Duty Orders: Steel submitted additional U.S. sales, some of Since the questionnaire was released to Concrete Reinforcing Bars From Belarus, which had been previously unreported. KISCO approximately two weeks before Indonesia, Latvia, Moldova, People’s On May 27, 2003, the petitioner1 the fully extended deadline for the Republic of China, Poland, Republic of objected to the additional sales preliminary results, KISCO’s sales and Korea and Ukraine, 66 FR 46777 contained in DSM’s May 14, 2003 letter, costs of production data are not (September 7, 2001). On September 3, stating that such sales constitute available for inclusion in these 2002, the Department published a notice untimely submitted new factual preliminary results. For this reason, the of opportunity to request the first information and should be removed preliminary results are based only upon administrative review of this order. See from the record. On June 2, 2003, DSM DSM’s data. We will provide the Antidumping or Countervailing Duty submitted comments objecting to the petitioner an opportunity to comment Order, Finding, or Suspended petitioner’s request that the additional on KISCO’s questionnaire responses and Investigation; Opportunity to Request sales be stricken from the record. On will include KISCO’s information in our Administrative Review, 67 FR 56267 June 23, 2003, the petitioner rebutted final results of review. (September 3, 2002). On September 30, DSM’s June 2, 2003 submission. 2002, in accordance with 19 CFR § On August 6, 2003, the Department Scope of the Review 351.213(b), DSM requested an instructed DSM to remove the The product covered by this administrative review. On October 24, additional sales from its May 14, 2003 administrative review is all rebar sold in 2002, the Department published the submission and delete all references to straight lengths, currently classifiable in notice of initiation of this administrative those sales from its June 2, 2003 the Harmonized Tariff Schedule of the review, covering the period January 30, submission. On August 11, 2003, DSM United States (‘‘HTSUS’’) under item 2001, through August 31, 2002. See submitted a letter objecting to the number 7214.20.00 or any other tariff Initiation of Antidumping and removal of the additional sales it had item number. Specifically excluded are Countervailing Duty Administrative reported. DSM argued that the rejected plain rounds (i.e., non-deformed or Reviews, 67 FR 65336 (October 24, information was an appropriate and smooth bars) and rebar that has been 2002). necessary response to questions posed further processed through bending or On October 18, 2002, the Department in the Department’s May 7, 2003 letter. coating. The HTSUS subheadings are issued a questionnaire to DSM. On On August 12, 2003, DSM submitted provided for convenience and customs November 15, 2002, DSM notified the redacted versions of its May 14, 2003 purposes. The written description of the Department that its corporate structure and June 2, 2003 letters, as well as a scope of this proceeding is dispositive. had changed since the less-than-fair- revised version of its May 14, 2003 Verification value (‘‘LTFV’’) investigation and that it letter. The revised version of DSM’s is no longer affiliated with KISCO. DSM May 14, 2003 letter contains a Pursuant to 19 CFR § 351.307, the stated that it should not be required to reconciliation worksheet which shows Department will conduct verification of submit information regarding KISCO’s that DSM’s previously reported sales the information and data submitted by sales or costs of production, and that it and the additional sales reported on DSM and KISCO prior to the final would respond to the Department’s May 14, 2003, sum to the total quantity results of administrative review. questionnaire with only its own data. of entries identified by the BCBP data Fair Value Comparisons We received timely responses to query. Sections A-D of the initial questionnaire After reviewing the arguments To determine whether sales of rebar in November and December 2002. The contained in DSM’s August 11 and in the United States were made at LTFV, Department issued supplemental August 12, 2003 submissions, the we compared USP to NV, as described questionnaires for Sections A-D, in Department has decided to accept in the ‘‘Constructed Export Price’’ and addition to questions regarding the DSM’s additional U.S. sales, as reported ‘‘Normal Value’’ sections of this notice. relationship between DSM and KISCO, in its revised May 14, 2003 submission, In accordance with section 777A(d)(2) from January through April 2003. We and include them in our margin of the Tariff Act of 1930, as amended received timely responses from DSM calculation for purposes of the (‘‘the Act’’), we calculated monthly from February through May 2, 2003. preliminary determination. See DSM’s weighted-average NVs and compared Because it was not practicable to issue May 14, 2003 submission at Attachment these to individual U.S. transactions. the preliminary results of this review III.On September 12, 2003, the Constructed Export Price within the normal time frame, on June Department collapsed DSM and KISCO We calculated the constructed export 3, 2003, we published in the Federal into a single entity for the purposes of price (‘‘CEP’’) in accordance with Register our notice of the extension of this administrative review. See subsection 772(b) of the Act, because time limits for these preliminary results. Memorandum from Thomas F. Futtner, the subject merchandise was first sold See Steel Concrete Reinforcing Bars Acting Office Director to Holly A. Kuga, from the Republic of Korea: Notice of in the United States by Dongkuk Postponement of Preliminary Results of 1 The petitioner in this administrative review is International Inc. (‘‘DKA’’), a U.S. seller Antidumping Duty Administrative the Rebar Trade Action Coalition and its individual affiliated with DSM, to a purchaser not Review, 68 FR 33105 (June 3, 2003). members (collectively, the ‘‘petitioner’’). affiliated with the producer, DSM. We
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based CEP on the packed prices charged average, less than 99.5 percent of the home market sales of a given model to the first unaffiliated customer in the prices to unaffiliated parties, we were at prices less than the COP, we United States. Pursuant to section determine that the sales made to the disregarded the below-cost sales 772(c)(1)(B) we increased the starting affiliated party are not at arm’s-length. because such sales were made: (1) in price by the amounts reported by DSM See 19 CFR § 351.403(c).2 In the instant substantial quantities within the POR for duty drawback. We made deductions review, we found that all sales to the (i.e., within an extended period of time) for movement expenses in accordance single affiliated home market customer in accordance with section 773(b)(2)(B) with section 772(c)(2)(A) of the Act; passed the arm’s-length test and, for this of the Act, and (2) at prices which these included, where appropriate, reason, were included in our analysis. would not permit recovery of all costs foreign inland freight, foreign brokerage See Preliminary Calculation within a reasonable period of time, in and handling, international freight, Memorandum. accordance with section 773(b)(2)(D) of marine insurance, U.S. customs duties, the Act (i.e., the sales were made at Cost of Production Analysis and U.S. brokerage and handling. In prices below the weighted-average per- accordance with section 772(d)(1) of the The Department disregarded certain unit COP for the POR). We used the Act, we deducted those selling expenses sales made by DSM in the investigation remaining sales as the basis for associated with economic activities because these sales failed the cost test. determining NV in accordance with occurring in the United States, See Notice of Final Determination of section 773(b)(1) of the Act. We did not including direct selling expenses (credit Sales at Less Than Fair Value: Steel use the constructed value (‘‘CV’’), as all costs and other direct selling expenses), Concrete Reinforcing Bar from the U.S. sales were matched to home market and indirect selling expenses. We also Republic of Korea, 66 FR 33526 (June merchandise. made an adjustment for CEP profit in 22, 2001); see also Notice of Preliminary Normal Value accordance with section 772(d)(3) of the Determination of Sales at Less Than Act. See Memorandum from Mark Fair Value and Postponement of Final We calculated NV based on prices to Manning, Senior Import Compliance Determination: Steel Concrete unaffiliated customers or prices to Specialist, to Ronald Trentham, Acting Reinforcing Bars from the Republic of affiliated customers that we determined Program Manager, ‘‘Calculation Korea, 66 FR 8348, 8354 (January 30, to be at arm’s length. We adjusted the Memorandum of the Preliminary 2001). Thus, in accordance with section starting price for the discount DSM Results of Administrative Review,’’ 773(b)(2)(A)(ii) of the Act, there are provided to certain home market dated September 30, 2003 (‘‘Preliminary reasonable grounds to believe or suspect customers. We made deductions, where Calculation Memorandum’’), on file in that sales of rebar in the home market appropriate, for foreign inland freight the CRU. were made at prices below their cost of and warehousing, pursuant to section production (‘‘COP’’) in the current 773(a)(6)(B) of the Act. In addition, Home Market review period. Accordingly, pursuant to when comparing sales of similar In order to determine whether there section 773(b) of the Act, we initiated a merchandise, we made adjustments for was a sufficient volume of sales in the cost investigation to determine whether differences in cost attributable to home market to serve as a viable basis sales made during the POR were at differences in physical characteristics of for calculating NV (i.e., the aggregate prices below their respective COP. the merchandise pursuant to section volume of home market sales of the In accordance with section 773(b)(3) 773(a)(6)(C)(ii) of the Act and 19 CFR § foreign like product was equal to or of the Act, we calculated COP based on 351.411. We also adjusted the starting greater than five percent of the aggregate the sum of the cost of materials and price for differences in circumstances of volume of U.S. sales), we compared the fabrication for the foreign like product, sale (‘‘COS’’) in accordance with section respondent’s volume of home market plus an amount for general and 773(a)(6)(C)(iii) of the Act and 19 CFR sales of the foreign like product to the administrative expenses (‘‘G&A’’) and § 351.410. We made a COS adjustment volume of U.S. sales of the subject interest expenses. We relied on the COP for imputed credit expenses. See merchandise, in accordance with data submitted by DSM. See Preliminary Preliminary Calculation Memorandum. section 773(a)(1) of the Act. As DSM’s Calculation Memorandum. We also made an adjustment for the CEP aggregate volume of home market sales In accordance with section 773(b)(1) offset in accordance with section of the foreign like product was greater of the Act, in determining whether to 773(a)(7)(B) of the Act. See ‘‘Level of than five percent of its aggregate volume disregard home market sales made at Trade and CEP Offset’’ section below. of U.S. sales of the subject merchandise, prices below COP, we examined Finally, we deducted home-market we determined that the home market whether such sales were made within (‘‘HM’’) packing costs and added U.S. was viable. Therefore, we have based an extended period of time in packing costs in accordance with NV on home market sales in the usual substantial quantities, and whether such sections 773(a)(6)(A) and (B) of the Act. commercial quantities and in the sales were made at prices which would ordinary course of trade. permit recovery of all costs within a Level of Trade and CEP Offset It is the Department’s practice to reasonable period of time. In accordance with section remove from our analysis sales to Pursuant to section 773(b)(2)(C) of the 773(a)(1)(B)(i) of the Act, to the extent affiliated customers for consumption in Act, where less than 20 percent of practicable, we determine NV based on the home market which are determined DSM’s sales of a given model were at sales in the comparison market at the not to be at arm’s-length. To test prices less than COP, we did not same level of trade (‘‘LOT’’) as the CEP whether these sales were made at arm’s- disregard any below-cost sales of that transaction. The NV LOT is that of the length, we compared the prices of sales model because these below-cost sales starting-price sales in the comparison of comparison products to affiliated and were not made in substantial quantities. market or, when NV is based on CV, that unaffiliated customers, net of all Where 20 percent or more of DSM’s of the sales from which we derive movement charges, direct selling selling, general and administrative expenses, discounts, and packing. 2 Because this review was initiated before (‘‘SG&A’’) expenses and profit. For CEP, November 23, 2002, the 99.5 percent test applies to Pursuant to 19 CFR § 351.403(c), and in this review. See Antidumping Proceedings: it is the level of the constructed sale accordance with our practice, when the Affiliated Party Sales in the Ordinary Course of from the exporter to the importer. prices to the affiliated party are, on Trade, 67 FR 69186, 69197 (November 15, 2002). Moreover, for CEP sales, we consider
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only the selling activities reflected in home market and the United States. market, DSM provides services normally the price after the deduction of expenses DSM identified two channels of found further down the chain of and profit, pursuant to section 772(d) of distribution in the home market: (1) distribution which are normally the Act. See Micron Technology, Inc. v. direct sales and (2) warehouse sales. For performed by the affiliated reseller in United States, 243 F.3d 1301, 1314– both channels DSM performs similar the U.S. market (e.g., interaction with 1315 (Fed. Cir. 2001). selling functions such as negotiating customers, market research). prices with customers, setting similar Based on our analysis, we determined To determine whether the credit terms, arranging freight to the comparison-market sales are at a that CEP and the starting price of HM customer, and conducting market sales represent different stages in the different LOT than CEP sales, we research and sales calls. The remaining examine stages in the marketing process marketing process, and are thus at selling activities did not differ different LOTs. Therefore, when we and selling functions along the chain of significantly by channel of distribution. distribution between the producer and compared CEP sales to HM sales, we Because channels of distribution do not examined whether a LOT adjustment the unaffiliated customer. If the qualify as separate levels of trade when comparison-market sales are at a may be appropriate. In this case, DSM the selling functions performed for each sold at one LOT in the home market; different LOT, and the difference affects customer class or channel are therefore, there is no basis upon which price comparability, as manifested in a sufficiently similar, we determined that to determine whether there is a pattern pattern of consistent price differences one level of trade exists for DSM’s HM of consistent price differences between between the sales on which NV is based sales. levels of trade. Further, we do not have and comparison-market sales at the LOT For the U.S. market, DSM reported the information which would allow us one channel of distribution sales to of the export transaction, we make a to examine pricing patterns of DSM’s unaffiliated U.S. customers through LOT adjustment under section sales of other similar products, and DKA, DSM’s affiliated U.S. sales 773(a)(7)(A) of the Act. Finally, for CEP there is no other record evidence upon company. All of DSM’s U.S. sales were sales, if the NV LOT is more remote which such an analysis could be based. from the factory than the CEP level and CEP transactions and DSM performed Because the data available do not there is no basis for determining the same selling functions in each provide an appropriate basis for making whether the differences in the levels instance. Therefore, the U.S. market has a LOT adjustment, but the LOT in Korea between NV and CEP affect price one LOT. for DSM is at a more advanced stage comparability, we adjust NV under When we compared CEP sales (after deductions made pursuant to section than the LOT of the CEP sales, a CEP section 773(a)(7)(B) of the Act (‘‘the CEP offset is appropriate in accordance with offset provision’’). See, e.g., Certain 772(d) of the Act) to HM sales, we determined that for CEP sales, DSM did section 773(a)(7)(B) of the Act, as Carbon Steel Plate from South Africa, not have interaction with customers, did claimed by DSM. Therefore, we applied Final Determination of Sales at Less not perform market research, and did the CEP offset to NV. Than Fair Value, 62 FR 61731 not provide inventory maintenance. Preliminary Results of Review (November 19, 1997). However, these functions are performed In implementing these principles in for HM sales. The differences in selling As a result of our review, we this review, we asked DSM to identify functions performed for home market preliminarily determine the following the specific differences and similarities and CEP transactions indicate that HM weighted-average dumping margin in selling functions and support services sales involved a more advanced stage of exists for the period January 30, 2001 between all phases of marketing in the distribution than CEP sales. In the home through August 31, 2002:
Weighted Average Margin Manufacturer / Exporter (percentage)
Dongkuk Steel Mill Co., Ltd./Korea Iron and Steel Co., Ltd...... 10.37
The Department will disclose the a brief summary of the argument and (3) POR if these preliminary results are calculations performed within five days a table of authorities. Further, parties adopted in the final results of review. of the date of publication of this notice submitting written comments should The Department will issue appropriate in accordance with 19 CFR § 351.224(b). provide the Department with an appraisement instructions directly to An interested party may request a additional copy of the public version of BCBP within fifteen days of publication hearing within thirty days of any such comments on diskette. The of the final results of review. publication. See CFR § 351.310(c). The Department will issue final results of Furthermore, the following cash date of any hearing, if requested, will be these administrative reviews, including deposit requirements will be effective announced to all interested parties by the results of our analysis of the issues upon completion of the final results of the Department pursuant to 19 CFR § raised in any such written comments, this administrative review for all 351.310(d). The Department will within 120 days of publication of these shipments of rebar from Korea entered, establish a schedule for interested preliminary results. or withdrawn from warehouse, for parties to submit case briefs regarding The Department shall determine, and consumption on or after the publication the preliminary results and verification BCBP shall assess, antidumping duties date of the final results of this findings. Rebuttal briefs, limited to on all appropriate entries. In accordance administrative review, as provided by issues raised in the case briefs, may be with 19 CFR § 351.212(b)(1), we will section 751(a)(1) of the Act: 1) the cash filed no later than 5 days after the calculate importer-specific ad valorem deposit rate for DSM/KISCO will be the submission of case briefs. Parties who assessment rates for the merchandise rate established in the final results of submit argument in these proceedings subject to this review. These rates will this review; 2) for previously reviewed are requested to submit with the be assessed uniformly on all entries the or investigated companies not listed argument (1) a statement of the issue, (2) respective importers made during the above, the cash deposit rate will
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continue to be the company-specific rate will hold a work session to review DEPARTMENT OF ENERGY published for the most recent period; 3) documentation of Fishery Regulation if the exporter is not a firm covered in Assessment Models (FRAMs). The work Federal Energy Regulatory this review, or the LTFV investigation, sessions are open to the public. Commission but the manufacturer is, the cash [Docket No. CP03–356–000] deposit rate will be the rate established DATES: The joint STT and SSC Salmon Subcommittee work session will be held for the most recent period for the El Paso Natural Gas Company; Notice Thursday, October 23, 2003 from 9 a.m. manufacturer of the merchandise; and 4) of Request for Authorization the cash deposit rate for all other to noon. The MEW work session will be manufacturers or exporters will held Thursday, October 23, 2003 from 1 October 1, 2003. continue to be 22.89 percent, the ‘‘all p.m. to 5 p.m. Take notice that on September 22, 2003, El Paso Natural Gas Company (El others’’ rate made effective by the LTFV ADDRESSES: The work sessions will be Paso), Post Office Box 1087, Colorado investigation. See Notice of Final held at the Embassy Suites Hotel, Pine Springs, Colorado, 80904, filed in Determination of Sales at Less Than II Room, 7900 NE 82nd Ave., Portland, Docket No. CP03–356–000 a request Fair Value: Steel Concrete Reinforcing OR 97220; telephone: 503–460–3000. Bars From the Republic of Korea, 66 FR pursuant to Sections 157.216(b) and 33526 (June 22, 2001). The required Council address: Pacific Fishery 157.208(b) of the Federal Energy cash deposits shall remain in effect until Management Council, 7700 NE Regulatory Commission’s regulations publication of the final results of the Ambassador Place, Suite 200, Portland, under the Natural Gas Act (NGA) for next administrative review. OR 97220–1384. authorization to abandon by removal and reconfigure segments of El Paso’s 8– FOR FURTHER INFORMATION CONTACT: Mr. Notification to Importers 5⁄8 inch Willcox/Safford line (Line Chuck Tracy, Salmon Management Staff 2105), located between milepost (MP) This notice also serves as a Officer, Pacific Fishery Management 0+0000 and MP 11+0264, located in preliminary reminder to importers of Council; telephone: (503) 820–2280. their responsibility under 19 CFR § Cochise County, Arizona, pursuant to 351.402(f) to file a certificate regarding SUPPLEMENTARY INFORMATION: The Section 7 of the NGA, all as more fully the reimbursement of antidumping purpose of the joint STT & SSC Salmon set forth in the application which is on duties prior to liquidation of the Subcommittee work session is to brief file with the Commission and open to relevant entries during this review the STT and SSC on changes made to public inspection. This filing is period. Failure to comply with this or proposed for the Coho FRAM, review available for review at the Commission requirement could result in the the scientific bases for those changes, or may be viewed on the Commission’s Secretary’s presumption that and compare results from the updated Web site at http://www.ferc.gov using reimbursement of antidumping duties model with those from the previous the ‘‘eLibrary’’ link. Enter the docket occurred and the subsequent assessment version. The purpose of the MEW work number excluding the last three digits in of double antidumping duties. session is to further develop the docket number field to access the We are issuing and publishing this documentation for the Chinook and document. For assistance, please contact notice in accordance with sections Coho FRAM. FERC Online Support at 751(a)(1) and 777(i)(1) of the Act. [email protected] or toll- Although non-emergency issues not free at (866) 208–3676, or for TTY, Dated: September 30, 2003. contained in the meeting agendas may contact (202) 502–8659. James J. Jochum, come before the these groups for El Paso states the proposed Assistant Secretary for Import discussion, those issues may not be the abandonment and reconfiguration is Administration. subject of formal action during these necessary in order to address anomalies [FR Doc. 03–25382 Filed 10–6–03; 8:45 am] meetings. Action will be restricted to discovered in Line 2105 (between MP 0 BILLING CODE 3510–DS–S those issues specifically listed in this and MP 11.05) during an internal notice and any issues arising after inspection conducted by El Paso during publication of this notice that require 2001 and 2002. Any questions DEPARTMENT OF COMMERCE emergency action under Section 305(c) concerning this request may be directed of the Magnuson-Stevens Fishery to Robert T Tomlinson, Director, National Oceanic and Atmospheric Conservation and Management Act, Administration Regulatory Affairs Department, El Paso provided the public has been notified of Natural Gas Company, P.O. Box 1087, [I.D. 100103A] the Council’s intent to take final action Colorado Springs, Colorado 80944, at to address the emergency. (719) 520–3788 or fax (719) 520–4318. Pacific Fishery Management Council; Special Accommodations Any person or the Commission’s staff Public Meetings may, within 45 days after issuance of AGENCY: National Marine Fisheries These meetings are physically the instant notice by the Commission, Service (NMFS), National Oceanic and accessible to people with disabilities. file pursuant to Rule 214 of the Atmospheric Administration (NOAA), Requests for sign language Commission’s Procedural Rules (18 CFR Commerce. interpretation or other auxiliary aids 385.214) a motion to intervene or notice ACTION: Notice of public meetings. should be directed to Ms. Carolyn Porter of intervention and pursuant to Section at (503) 820–2280 at least 5 days prior 157.205 of the regulations under the SUMMARY: The Pacific Fishery to the meeting date. NGA (18 CFR 157.205), a protest to the Management Council’s (Council) Joint request. If no protest is filed within the Dated: October 2, 2003. Salmon Technical Team (STT) and time allowed therefore, the proposed Scientific and Statistical Committee Richard W. Surdi, activity shall be deemed to be (SSC) Salmon Subcommittee will hold a Acting Director, Office of Sustainable authorized effective the day after the work session to review proposed salmon Fisheries, National Marine Fisheries Service. time allowed for filing a protest. If a methodology changes. The Council’s [FR Doc. 03–25374 Filed 10–6–03; 8:45 am] protest is filed and not withdrawn Model Evaluation Workgroup (MEW) BILLING CODE 3510–22–S within 30 days after the allowed time
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for filing a protest, the instant request under the heading ‘‘Filings to FERC’’ for between PSO and various entities under shall be treated as an application for other interested parties in this matter. PSO’s FERC Electric Tariff, First authorization pursuant to Section 7 of The Midwest ISO also states that it will Revised Volume No. 5. AEPSC requests the NGA. provide hard copies to any interested an effective date of September 1, 2003 Comments, protests and interventions parties upon request. for the cancellations. may be filed electronically via the Comment Date: October 17, 2003. AEPSC states that it has served copies Internet in lieu of paper. See, 18 CFR 2. Craven County Wood Energy Limited of the filing upon the parties to the 385.2001(a)(1)(iii) and the instructions Partnership cancelled service agreements and the on the Commission’s under the ‘‘e- affected state regulatory commissions. Filing’’ link. The Commission strongly [Docket No. ER03–1379–000] Comment Date: October 15, 2003. encourages electronic filings. Take notice that on September 25, 5. DeSoto County Generating Company, Magalie R. Salas, 2003, Craven County Wood Energy Limited Partnership (Craven) tendered L.L.C. Secretary. for filing a Supplement No. 5 to Rate [Docket No. ER03–1383–000] [FR Doc. E3–00006 Filed 10–6–03; 8:45 am] Schedule FERC No.1. Craven states that BILLING CODE 6717–01–P Take notice that on September 25, the Supplement consists of a letter 2003, Progress Energy, Inc. (Progress agreement, dated January 28, 1991, Energy), on behalf of DeSoto County amending an agreement for the sale of DEPARTMENT OF ENERGY Generating Company, L.L.C. (DeSoto), power dated December 21, 1983, as tendered for filing a request for market- Federal Energy Regulatory subsequently amended by letters dated based rate (MBR) authority for DeSoto. Commission August 5, 1987, August 1, 1988, August Progress Energy requests that the 9, 1988, and June 14, 1989, all [Docket No. ER03–580–003, et al.] Commission make DeSoto’s MBR tariff previously filed with the Commission. effective on November 25, 2003, sixty Craven states that a review of its files Midwest Independent Transmission days after the date of this filing. Progress caused it to be aware of the need to file System Operator, Inc., et al.; Electric Energy also requests waiver for DeSoto the January 28, 1991 letter agreement as Rate and Corporate Filings from the Commission’s accounting, a Supplement to its previously filed reporting and other requirements under September 30, 2003. power sales agreement with Carolina Parts 41,101 and 141 of the The following filings have been made Power & Light Company. Commission’s regulations. with the Commission. The filings are Comment Date: October 16, 2003. Progress Energy states that a copy of listed in ascending order within each 3. Southern Company Services, Inc. the filing was served on each entity docket classification. operating a control area in Peninsular [Docket No. ER03–1381–000] Florida and the Florida Public Service 1. Midwest Independent Transmission Take notice that on September 24, System Operator, Inc. Commission. 2003, Southern Company Services, Inc. Comment Date: October 16, 2003. [Docket Nos. ER03–580–003 EL03–119–003] (SCS), on behalf of Georgia Power Take notice that on September 26, Company (Georgia Power), tendered for 6. Tampa Electric Company 2003, the GridAmerica Companies and filing an unexecuted Interconnection [Docket No. ER03–1384–000] Agreement by and between Georgia the Midwest Independent Transmission Take notice that on September 25, System Operator, Inc. (Midwest ISO) Power and Live Oaks Company, LLC (Live Oaks) (the Agreement), under 2003, Tampa Electric Company (Tampa (Applicants) submitted proposed Electric) tendered for filing amendments revisions to the Midwest ISO Open Southern Operating Companies’ Open Access Transmission Tariff (FERC to Appendices Card D to its Market- Access Transmission Tariff, FERC Based Sales Tariff. The amendments Electric Tariff, Second Revised Volume Electric Tariff, Fourth Revised Volume No. 5) designated as Service Agreement lower the credit rating thresholds in No. 1. Applicants state that these Appendix C and update the statement of revisions supplement the Compliance No. 464. SCS states that the Agreement provides the general terms and rates for services under Tampa Electric’s Filing made by the Applicants on May open access transmission tariff in 30, 2003 in Docket Nos. ER03–580–001 conditions for the interconnection and parallel operation of Live Oaks’s electric Appendix D. Tampa Electric proposes and EL03–119–001. that the amendments be made effective The Midwest ISO has requested an generating facility located near the City on September 25, 2003. effective date upon commencement of of Brunswick, Georgia in Glynn County. service over the GridAmerica SCS also states that the Agreement Tampa Electric states that copies of transmission facilities under the terminates forty years from the effective the filing have been served on the Midwest ISO OATT. date unless extended or terminated customers under Tampa Electric’s The Midwest ISO has also requested earlier by mutual written agreement. Market-Based Sales Tariff and the waiver of the service requirements set Comment Date: October 15, 2003. Florida Public Service Commission. Comment Date: October 16, 2003. forth in 18 CFR 385.2010. The Midwest 4. American Electric Power Service ISO states that it has electronically Corporation 7. Exelon Corporation served a copy of this filing, with attachments, upon all Midwest ISO [Docket No. ER03–1382–000] [Docket No. ER03–1385–000] Members, Member representatives of Take notice that on September 24, Take notice that on September 25, Transmission Owners and Non- 2003, American Electric Power Service 2003, Exelon Corporation submitted for Transmission Owners, the Midwest ISO Corporation (AEPSC) as agent for Public filing revised and redated Network Advisory Committee participants, as Service Company of Oklahoma (PSO), Service and Network Operating well as all state commissions within the tendered for filing pursuant to Section Agreements between Commonwealth region. In addition, the filing has been 35.15 of the Federal Energy Regulatory Edison Company and the Cities of electronically posted on the Midwest Commission’s regulations, Notices of Batavia and St. Charles, Illinois. ISO’s Web site at www.midwestiso.org Cancellation of Service Agreements Comment Date: October 16, 2003.
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8. Cleco Power LLC territory. Progress Energy also submitted DEPARTMENT OF ENERGY [Docket No. ER03–1386–000] revised MBR tariffs for each of the Progress Energy Affiliates which Federal Energy Regulatory Take notice that on September 25, Commission 2003, Cleco Power LLC (Cleco) filed describe their authority to make MBR changes to Sections 3, 13.7, 14.5, and sales within Peninsular Florida, with [Docket Nos. RM01–12–000 and RT01–95– 15.7 of its Open Access Transmission the exception of FPC service territory. 000] Tariff, FERC Electric Tariff, Original Progress Energy states that copies of Remedying Undue Discrimination Volume No. 1, Original Sheet Nos. 14, the filing were served on the official Through Open Access Transmission 22, 24, and 26 to incorporate charges for service lists in the above-captioned Service and Standard Electricity unauthorized use of transmission and proceedings, each entity operating a Market Design, New York Independent ancillary services. Cleco states that it is control area in Peninsular Florida, and System Operator, Inc. ; Notice of submitting First Revised Sheet Nos. 14, the Florida Public Service Commission. Technical Conference 22, 24, and 26 and Original Sheet Nos. Comment Date: October 16, 2003. 14A, 22A, 24A, and 26A to its FERC October 1, 2003. Electric Tariff, Original Volume No. 1 Standard Paragraph As announced in the Notice of and proposes that they be made Technical Conference issued on August effective October 1, 2003. Any person desiring to intervene or to 15, 2003, a technical conference will be Comment Date: October 16, 2003. protest this filing should file with the held on October 20, 2003, to discuss Federal Energy Regulatory Commission, 9. LG&E Capital Trimble County LLC with state regulators and market 888 First Street, N.E., Washington, DC participants the timetables for [Docket No. ER03–1387–000] 20426, in accordance with rules 211 and addressing wholesale power market Take notice that on September 25, 214 of the Commission’s Rules of design issues and to explore ways to 2003, LG&E Capital Trimble County LLC Practice and Procedure (18 CFR 385.211 provide flexibility the region may need tendered for filing a Notice of and 385.214). Protests will be to meet the requirements of the final Cancellation pursuant to 18 CFR 35.15, considered by the Commission in rule in this proceeding. Members of the in order to reflect the cancellation of its determining the appropriate action to be Commission will attend and participate Market Rate Tariff, designated as Rate taken, but will not serve to make in the discussion. Schedule FERC No. 2, Original Sheet protestants parties to the proceeding. The conference will focus on the issues identified in the agenda, which is Nos. 1–4, originally accepted for filing Any person wishing to become a party in Docket No. ER02–1756–000. appended to this notice as Attachment must file a motion to intervene. All such Comment Date: October 16, 2003. A. However, participants/stakeholders motions or protests should be filed on 10. Electrion, Inc. may present their views on other or before the comment date, and, to the important issues that relate to the [Docket No. ER03–1388–000] extent applicable, must be served on the development of the Wholesale Power Take notice that on September 25, applicant and on any other person Market Platform. 2003, Electrion, Inc. submitted for filing designated on the official service list. The conference will begin at 1 p.m. a Notice of Cancellation of its Market- This filing is available for review at the Eastern Time and will adjourn at about based Rate Authority in Docket No. Commission or may be viewed on the 5 p.m. Eastern Time at the offices of ER98–3171–000 issued on June 29, Commission’s Web site at http:// Consolidated Edison Company, 4 Irving 1998. Electrion, Inc. is requesting an www.ferc.gov, using the ‘‘FERRIS’’ link. Place, 19th floor auditorium, New York effective date of October 1, 2003. Enter the docket number excluding the City, New York. The conference is open Comment Date: October 16, 2003. last three digits in the docket number for the public to attend. Please note: to 11. Progress Energy, Inc., Carolina filed to access the document. For accommodate security regulations for Power & Light Company, Progress assistance, call (202) 502–8222 or TTY, the Consolidated Edison building, we Ventures, Inc., Effingham County (202) 502–8659. Protests and are asking all attendees to preregister for Power, LLC, MPC Generating, LLC, interventions may be filed electronically the conference by close of business on Rowan County Power, LLC, Walton via the Internet in lieu of paper; see 18 Thursday, October 16 on-line at http:// CFR 385.2001(a)(1)(iii) and the www.ferc.gov/whats-new/registration/ County Power, LLC, Washington _ County Power, LLC instructions on the Commission’s Web smd 1020-form.asp. site under the ‘‘e-Filing’’ link. The Transcripts of the conference will be [Docket No. ER03–1389–000] immediately available from Ace Commission strongly encourages Take notice that on September 25, Reporting Company (202–347–3700 or electronic filings. 2003, Progress Energy, Inc., (Progress 1–800–336–6646) for a fee. They will be Energy) on behalf of certain of its Magalie R. Salas, available for the public on the subsidiaries including: Carolina Power Secretary. Commission’s eLibrary seven calendar & Light Company; Progress Ventures, [FR Doc. E3–00007 Filed 10–6–03; 8:45 am] days after FERC receives the transcript. Inc.; Effingham County Power, LLC; Additionally, Capitol Connection offers MPC Generating, LLC (formerly known BILLING CODE 6717–01–P the opportunity to remotely listen to the as Monroe Power Company); Rowan conference via the Internet or a Phone County Power, LLC; Walton County Bridge Connection for a fee. Interested Power, LLC; and Washington County persons should make arrangements as Power, LLC (collectively, the Progress soon as possible by visiting the Capitol Energy Affiliates), tendered for filing a Connection Web site at http:// request for clarification of the Progress www.capitolconnection.gmu.edu and Energy Affiliates’ Market-based Rate clicking on ‘‘FERC.’’ If you have any (MBR) authority within Peninsular questions contact David Reininger or Florida, with the exception of the Julia Morelli at the Capitol Connection Florida Power Corporation (FPC) service (703–993–3100).
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For more information about the • Bob Hiney, Executive Vice President, ENVIRONMENTAL PROTECTION conference, please contact Sarah Power Generation, New York Power AGENCY McKinley at (202) 502–8004 or Authority [FRL–7569–5] [email protected]. End Use Consumers: • Mike Delaney, Energy Policy Magalie R. Salas, Advocate, City of New York Science Advisory Board Staff Office; Secretary. Transmission Owners: Advisory Council on Clean Air • Paul Gioia, Counsel, LeBoeuf Lamb Compliance Analysis; Notification of Appendix A—Agenda Greene & MacRae LLP Upcoming Public Teleconferences for 1–1:20 p.m. Opening Remarks Other Suppliers: Its Subcommittees and Special Panel Pat Wood, III, Chairman, Federal Energy • Dan Allegretti, Vice President, and a Public Meeting for Its Special Regulatory Commission Regulatory Origination, Constellation Panel and Air Quality Modeling William Flynn, Chairman, New York Public 4–5 p.m. Discussion with Regulators and Subcommittee Service Commission Industry Representatives Joe Oates, Consolidated Edison, Chairman, AGENCY: Environmental Protection [FR Doc. E3–00004 Filed 10–6–03; 8:45 am] Management Committee, New York ISO Agency (EPA). 1:20–1:30 p.m. Summary of NYISO Issues BILLING CODE 6717–01–P ACTION: Notice. William J. Museler, President and CEO, New York ISO SUMMARY: The EPA Science Advisory 1:30–2:15 p.m. Panel I Discussion: DEPARTMENT OF ENERGY Board Staff Office is announcing a Transmission Planning and Incentives for public meeting and a public Infrastructure Development Federal Energy Regulatory teleconference of the Advisory Council Generator Owners: Commission on Clean Air Compliance Analysis • Glenn Haake, General Counsel, Special Council Panel for the Review of Independent Power Producers of New [Project No. 2030–036] the Third 812 Analysis (Council Special York Inc. Panel). It is also announcing a public Public Power/Environment: • Portland General Electric and the meeting and a public teleconference of Jim Parmelee, Director, Long Island Confederated Tribes of the Warm Power Authority End Use Consumers: the Council’s Air Quality Modeling • Mike Mager, Counsel, Couch White Springs Reservation of Oregon; Notice Subcommittee and a public LLP, representing Multiple Intervenors of Meeting To Discuss Update on teleconference for the Council’s Health Transmission Owners: Pelton Round Butte Hydroelectric Effects Subcommittee. • Masheed Rosenqvist, Vice President— Project Collaborative Settlement DATES: October 15, 2003. A public Director Transmission Regulation and Process teleconference for the Health Effects Policy U.S., National Grid • October 1, 2003. Subcommittee (HES) will be held from Stuart Nachmias, Project Manager, 11 a.m. to 12:30 p.m. (Eastern Time). Consolidated Edison Company of New a. Date and Time of Meeting: York, Inc. October 23, 2003. A public Wednesday, October 15, 2003 at 11 a.m. teleconference call meeting for the Other Suppliers: Eastern Daylight Saving Time. • Matt Picardi, General Manager— Council Special Panel will be held from Regulatory Affairs, Coral Power LLC b. Place: Federal Energy Regulatory 11 a.m. to 12:30 p.m. (Eastern Time). 2:15–3 p.m. Panel II Discussion: Commission, 888 First Street, NE, October 24, 2003. A public Pancaked Transmission Rates and Seams Washington, DC. teleconference call meeting for the Air Issues c. FERC Contact: Nicholas Jayjack. Quality Modeling Subcommittee Generator Owners: (AQMS) will be held from 11 a.m. to • Mark Younger, Vice President, Slater d. Purpose of Meeting: Portland 12:30 p.m. (Eastern Time). Consulting, representing Indeck and General Electric has requested a meeting November 5–6, 2003. A public Fortistar with Commission staff to update staff on • meeting for the Council Special Panel William Roberts, Senior Counsel, Edison the status of ongoing settlement talks will be held from 8:30 a.m. to 6 p.m. Mission Marketing & Trading, Inc. and to request procedural advice Public Power/Environment: November 5, 2003 and from 8:30 a.m.to • regarding the Pelton Round Butte 5 p.m on November 6, 2003 (Eastern Tom Rudebusch, Counsel, Duncan Hydroelectric Project. The project is Weinberg Genzer & Pembroke, Time). representing City of Jamestown Public located on the Deschutes River in north November 7, 2003. A public meeting Utilities central Oregon. for the AQMS will be held from 8:30 End Use Consumers: e. Proposed Agenda: (1) Introduction a.m. to 5 p.m on November 7, 2003 • Tariq Niazi, Chief Economist, New of participants; (2) Portland General (Eastern Time). York State Consumer Protection Board Electric presentation on the purpose of ADDRESSES: The meeting location for the Transmission Owners: the meeting; (3) Discussion; and (4) November 5–6, 2003 meeting of the • Ray Kinney, Project Manager, New York State Electric & Gas Conclusion. Council Special Panel and for the Other Suppliers: f. All local, state, and federal agencies, November 6–7, 2003 meeting of the • Peter Brown, Brown Olson & Wilson Indian tribes, and other interested AQMS will be in Washington, DC. The P.C., representing Aquila parties are invited to participate. Please meeting location will be announced on 3–3:15 p.m. Break call Nicholas Jayjack at (202) 502–6073 the SAB website, http://www.epa/sab in 3:15–4 p.m. Panel III Discussion: Regional by October 8, 2003, to RSVP and to advance of the meeting. Participation in Decision-making: receive instructions on how to the teleconference meetings will be by NYISO Governance and State/Regional teleconference only. Committees participate in person or by phone. FOR FURTHER INFORMATION CONTACT: Generator Owners: Magalie R. Salas, • Susann Felton, Director, Regulatory Members of the public who wish to Secretary. Affairs, Mirant Americas Energy obtain the call-in number and access Marketing LP [FR Doc. E3–00005 Filed 10–6–03; 8:45 am] code to participate in the teleconference Public Power/Environment: BILLING CODE 6717–01–P meeting may contact Ms. Sandra
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Friedman, EPA Science Advisory Board addressing uncertainties associated with at least 35 copies of their comments and Staff Office, at telephone/voice mail: the analysis. presentation slides for distribution to (202) 564–2526; or via e-mail at: The public teleconference for the the participants and public at the [email protected], or Ms. Council Special Panel is planned to meeting. Written Comments: Although Delores Darden, EPA Science Advisory prepare the Council for its public written comments are accepted until the Board Staff Office at telephone/voice meeting and to discuss the Council date of the meeting (unless otherwise mail: (202) 564–2282; or via e-mail at Special Panel draft report ‘‘Interim stated), written comments should be [email protected]. Any member Installment: Review of the Revised received in the SAB Staff Office at least of the public wishing further Analytical Plan for EPA’s Second one week prior to the meeting date so information regarding the Council Prospective Analysis’’ posted on the that the comments may be made Special Panel or the Council’s SAB website as a draft report (consult available to the committee for their Subcommittees may contact Dr. Angela the following page: http://www.epa.gov/ consideration. Comments should be Nugent, Designated Federal Officer science1/drrep.htm). supplied to the DFO at the address/ (DFO), U.S. EPA Science Advisory The purpose of the public meeting for contact information noted above in the Board (1400A), 1200 Pennsylvania the AQMS is for the AQMS to provide following formats: one hard copy with Avenue NW., Washington, DC 20460; by advice on the Agency’s plans for air original signature, and one electronic telephone/voice mail at (202) 564–4562; quality modeling. copy via e-mail (acceptable file format: or via e-mail at [email protected]. The public teleconference for the Adobe Acrobat, WordPerfect, Word, or General information about the SAB can AQMS, also described above, is planned Rich Text files (in IBM–PC/Windows be found in the SAB web site at to prepare the AQMS for its public 95/98 format). Those providing written http://www.epa.gov/sab. meeting, which will focus on the comments and who attend the meeting Agency’s plans for air quality modeling. are also asked to bring 35 copies of their SUPPLEMENTARY INFORMATION: The purpose of the public comments for public distribution. teleconference for the HES is to discuss Background Meeting Accommodations: a draft report entitled ‘‘Advisory on Individuals requiring special Pursuant to the Federal Advisory Plans for Health Effects Analysis in the accommodation to access these Committee Act, Public Law 92–463, Analytical Plan for EPA’s Second meetings, should contact Dr. Nugent at Notice is given that the Council Special Prospective Analysis—Benefits and least five business days prior to the Panel and the AQMS will each hold a Costs of the Clean Air Act, 1990–2020,’’ meeting so that appropriate public meeting and the HES will hold developed during the HES public arrangements can be made. a public teleconference call, as meeting on August 28–28, 2003. That described above, to advise the Agency meeting was previously announced in Dated: September 30, 2003. on its plan to develop the third in a the Federal Register on July 30, 2003 Vanessa T. Vu, series of statutorily mandated (68 FR 44766–44767). The HES draft Director, EPA Science Advisory Board Staff comprehensive analyses of the total report will be posted on the SAB Office. costs and benefits of programs website (on the special page for Draft [FR Doc. 03–25404 Filed 10–6–03; 8:45 am] implemented pursuant to the Clean Air Reports at http://www.epa.gov/science1/ BILLING CODE 6560–50–P Act. drrep.htm) in advance of the meeting. Background on the Council Special Agendas for the public meetings and Panel, the AQMS, and this advisory teleconferences will be posted on the ENVIRONMENTAL PROTECTION project was provided in a Federal SAB website ten days before the dates AGENCY Register notice published on February of those events. 14, 2003 (68 FR 7531–7534). [FRL–7569–6] The Council Special Panel and the Procedures for Providing Public Comment Council subcommittees will be Science Advisory Board Staff Office; providing advice on the review It is the policy of the EPA Science Notification of a Consultative Meeting document, ‘‘Benefits and Costs of the Advisory Board (SAB) Staff Office to of the Radiation Advisory Committee Clean Air Act 1990–2020; Revised accept written public comments of any of the Science Advisory Board Analytical Plan for EPA’s Second length, and to accommodate oral public Prospective Analysis’’ currently found comments whenever possible. The EPA AGENCY: Environmental Protection at the following website, maintained by SAB Staff Office expects that public Agency (EPA). EPA’s Office of Air and Radiation at: statements presented at its meetings will ACTION: Notice. http://www.epa.gov/oar/sect812/ under not be repetitive of previously the link ‘‘Study Blueprint and Charge submitted oral or written statements. SUMMARY: The EPA Science Advisory Questions Electronic Copy.’’ This link Oral Comments: In general, each Board (SAB) Staff Office announces a provides electronic access to the individual or group requesting an oral public meeting of the Science Advisory Revised Analytical Plan, the ‘‘change presentation at a face-to-face meeting Board’s Radiation Advisory Committee pages’’ given to the Council in July will be limited to a total time of ten (RAC). The SAB RAC will conduct a 2003, and the detailed review charge minutes (unless otherwise indicated). second consultation regarding the Multi questions. For conference call meetings, Multi-Agency Radiation Survey and Site The public meeting for the Council opportunities for oral comment will Investigation Manual (MARSSIM) Special Panel, described above is usually be limited to no more than three supplement dealing with the Multi planned for the Council to provide minutes per speaker and no more than Agency Radiation Survey and advice to the Agency on remaining fifteen minutes total. Interested parties Assessment of Materials and Equipment charge questions related to its review of should contact the Designated Federal (MARSAME). the Revised Analytical Plan for EPA’s Official (DFO) identified above at least DATES: October 21, 2003: 9 a.m. to 5 Second Prospective Analysis. These one week prior to the meeting in order p.m. eastern standard time. charge questions include the Agency’s to be placed on the public speaker list October 22, 2003: 8:30 a.m. to no later plans for valuation and its plans for for the meeting. Speakers should bring than 3:30 p.m. eastern standard time.
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ADDRESSES: The meeting location for modeling technology that could be used one hard copy with original signature, this face-to-face meeting of the RAC will as a tool to guide sampling approaches and one electronic copy via e-mail be in the Washington, DC, metropolitan to be considered by the federal (acceptable file format: Adobe Acrobat, area and will be announced on the SAB MARSSIM Work Group as they develop WordPerfect, Word, or Rich Text files Web site, http://www.epa.gov/sab) in the MARSAME supplement. (in IBM-PC/Windows 95/98 format). advance prior to the meeting. Any Charge to the Panel: The SAB’s RAC Those providing written comments and member of the public wishing to was asked to provide a second round of who attend the meeting are also asked provide comment should contact the consultative advice on the technical to bring 35 copies of their comments for Designated Federal Officer as indicated approach and to provide suggestions for public distribution. below. additional approaches to the problem, Definition: A SAB balanced review FOR FURTHER INFORMATION CONTACT: Any and to comment on any technical issues panel: For the EPA SAB, A balanced member of the public wishing further that the federal MARSSIM Work Group review panel (i.e., committee, information regarding the SAB or the might encounter in development of the subcommittee, or panel) is characterized RAC may contact Dr. K. Jack MARSSIM Supplement dealing with by inclusion of candidates who possess Kooyoomjian, Designated Federal Materials and Equipment (MARSAME). the necessary domains of knowledge, Further Information: The SAB Staff Officer (DFO), U.S. EPA Science the relevant scientific perspective Office will re-post the names and Advisory Board Staff Office (1400A), (which, among other factors, can be biosketches for members of the RAC on 1200 Pennsylvania Avenue, NW., influence by work history and the SAB Web site for examination by the Washington, DC 20460; by telephone/ affiliation), and the collective breadth of interested public and will provide voice mail at (202) 564–4557; or via e- expertise to adequately address the copies of the biosketches at the public mail at [email protected]. charge. Information considered in the meeting. Additional information General information about the SAB can selection of the panel, include regarding this advisory meeting, such as information provided by the public, be found in the SAB Web site at the agenda and this FR notice for the along with information provided by http://www.epa.gov/sab. meeting can be found at the SAB Web candidates and information gathered by SUPPLEMENTARY INFORMATION: site at http://www.epa.gov/sab. Since EPA SAB Staff independently on the Summary: The EPA SAB Staff Office this is a consultation, there are no background of each candidate (e.g., is announcing that the Radiation review or background documents posted financial disclosure information and Advisory Committee (RAC), a standing on the SAB website. computer searches to evaluate a committee of the SAB will conduct a Procedures for Providing Public nominee’s prior involvement with the second consultation regarding the Comment. It is the policy of the EPA topic under review). Specific criteria to Multi-Agency Radiation Survey and Site SAB Staff Office to accept written be used in evaluating an individual Investigation Manual (MARSSIM) public comments of any length, and to subcommittee member include: (a) supplement dealing with the Multi- accommodate oral public comments Scientific and/or technical expertise, Agency Radiation Survey and whenever possible. The EPA SAB Staff knowledge, and experience (primary Assessment of Materials and Equipment Office expects that public statements factors); (b) availability and willingness (MARSAME). The first consultation presented at the SAB RAC meeting will to serve; (c) absence of financial took place on February 25 through 27, not be repetitive of previously conflicts of interest; (d) scientific 2003 (see 68 FR, 6914-6915, February submitted oral or written statements. credibility and impartiality; and (e) 11, 2003). The RAC will also receive an Oral Comments: In general, each ability to work constructively and update on EPA’s Office of Radiation and individual or group requesting an oral effectively in committees. Indoor Air (ORIA) and the federal presentation at a face-to-face meeting Meeting Accommodations: MARSSIM Work Group activities, will be limited to a total time of ten Individuals requiring special receive program updates from ORIA, as minutes (unless otherwise indicated). accommodation to access these well as plan other committee business For conference call meetings, meetings, should contact Dr. K. Jack for the balance of the fiscal year. opportunities for oral comment will Kooyoomjian at least five business days The Committee is to provide advice to usually be limited to no more than three prior to the meeting so that appropriate the Agency as part of the SAB mission minutes per speaker and no more than arrangements can be made. established by 42 U.S.C. 4365 to provide fifteen minutes total. Interested parties Dated: September 30, 2003. independent scientific and technical should contact the Designated Federal Vanessa T. Vu, advice, consultation, and Officer (DFO) in writing (email, fax or recommendations to the EPA mail) at least one week prior to the Director, EPA Science Advisory Board Staff Office. Administrator on the technical basis for meeting in order to be placed on the Agency positions and regulations. This public speaker list for the meeting. [FR Doc. 03–25403 Filed 10–6–03; 8:45 am] committee will comply with the Speakers should bring at least 35 copies BILLING CODE 6560–50–P provisions of the Federal Advisory of their comments and presentation Committee Act (FACA) and all slides for distribution to the participants ENVIRONMENTAL PROTECTION appropriate SAB procedural policies. and public at the meeting. Written AGENCY Background: The RAC had previously Comments: Although written comments given advice to the federal MARSSIM are accepted until the date of the [OPPT–2003–0054; FRL–7329–7] Work Group pertaining to the meeting (unless otherwise stated), MARSAME supplement on a variety of written comments should be received in Forum on State and Tribal Toxics issues, including advice on better the SAB Staff Office at least one week Action; Notice of Public Meeting definition of the problems and issues, prior to the meeting date so that the AGENCY: Environmental Protection better specification on monitoring and comments may be made available to the Agency (EPA). measurement technologies and a committee for their consideration. ACTION: Notice. discussion on a variety of topics and Comments should be supplied to the approaches. This consultative advice DFO at the address/contact information SUMMARY: EPA is announcing the included development of scenarios and noted above in the following formats: meeting of the Forum on State and
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Tribal Toxics Action (FOSTTA) to FOSTTA and hearing more about the docket materials through the docket collaborate on environmental protection perspectives of the States and Tribes on facility identified in Unit I.B.1. Once in and toxic chemical issues. The EPA programs and information the system, select ‘‘search,’’ then key in Chemical Information and Management exchange regarding important issues the appropriate docket ID number. Project and the Tribal Affairs Project, related to human health and components of FOSTTA, will be environmental exposure to toxics. II. Background Potentially affected entities may meeting October 20-21, 2003. The The Toxic Substances Control Act, 15 meeting is being held to provide the include, but are not limited to: U.S.C. 2609 section 10(g), authorizes participants of the two projects an • States and federally recognized EPA and other Federal agencies to opportunity to have in depth tribes. • establish and coordinate a system for discussions on issues concerning the State, Federal, and local exchange among Federal, State, and environment and human health, which environmental and public health are affecting the States and Indian organizations. local authorities of research and country. This notice announces the This listing is not intended to be development results respecting toxic location and times for the meeting and exhaustive, but rather provides a guide chemical substances and mixtures, sets forth some tentative agenda topics. for readers regarding entities likely to be including a system to facilitate and EPA invites all interested parties to affected by this action. If you have any promote the development of standard attend the public meeting. questions regarding the applicability of data format and analysis and consistent this action to a particular entity, consult testing procedures. Through FOSTTA, DATES: The two projects will meet the technical person listed under FOR the Chemical Information and concurrently on October 20, 2003, from FURTHER INFORMATION CONTACT. 10 a.m. to 5 p.m., and October 21, 2003, Management Project (CIMP) focuses on from 8 a.m. to noon. A plenary session B. How Can I Get Copies of this EPA’s chemical program and works to is being planned for the participants on Document and Other Related develop a more coordinated effort Monday, October 20, Information? involving Federal, State, and Tribal Requests to participate in the meeting, 1. Docket. EPA has established an agencies. The Pollution Prevention identified by docket ID number OPPT– official public docket for this action Project (P2) promotes the prevention 2003–0054, must be received on or under docket ID number OPPT–2003– ethic across society, helping companies before October 16, 2003. 0054. The official public docket consists incorporate P2 approaches and ADDRESSES: The meeting will be held at of the documents specifically referenced techniques and integrating P2 into the Washington Court Hotel, 525 New in this action, any public comments mainstream environmental activities at Jersey Ave., NW., Washington, DC. received, and other information related both the Federal level and among the Requests to participate in the meeting to this action. Although, a part of the States. The Tribal Affairs Project (TAP) may be submitted to the technical official docket, the public docket does concentrates on chemical and person listed under FOR FURTHER not include Confidential Business prevention issues that are most relevant INFORMATION CONTACT. Information (CBI) or other information to the Tribes, including lead control and FOR FURTHER INFORMATION CONTACT: For whose disclosure is restricted by statute. abatement, Tribal traditional/ general information contact: Barbara The official public docket is the subsistence lifeways, and hazard Cunningham, Director, Environmental collection of materials that is available communications and outreach. Assistance Division (7408M), Office of for public viewing at the EPA Docket FOSTTA’s vision is to reinvigorate the Pollution Prevention and Toxics, Center, Rm. B102-Reading Room, EPA projects, focus on major policy-level Environmental Protection Agency, 1200 West, 1301 Constitution Ave., NW., issues, recruit more senior State and Pennsylvania Ave., NW., Washington, Washington, DC. EPA’s Docket Center is Tribal leaders, increase outreach to all DC 20460–0001; telephone number: open from 8:30 a.m. to 4:30 p.m., 50 States and some 560 federally (202) 554–1404; e-mail address: TSCA- Monday through Friday, excluding legal recognized tribes, and vigorously seek [email protected]. holidays. The EPA Docket Center ways to engage the States and Tribes in For technical information contact: Reading Room telephone number is ongoing substantive discussions on Darlene Harrod, Environmental (202) 566–1744 and the telephone complex and oftentimes controversial Assistance Division (7408M), Office of number for the OPPT Docket, which is environmental issues that States and Pollution Prevention and Toxics, located in the EPA Docket Center, is Tribes resolve at their respective levels Environmental Protection Agency, 1200 (202) 566–0280. of government. In January 2002, the Pennsylvania Ave., NW., Washington, 2. Electronic access. You may access Environmental Council of the States this Federal Register document DC 20460–0001; telephone number: (ECOS), in cooperation with the electronically through the EPA internet (202) 564–8814; fax number: (202) 564– National Tribal Environmental Council under the ‘‘Federal Register’’ listings 8813; e-mail (NTEC), was awarded the new FOSTTA address:[email protected]. athttp://www.epa.gov/fedrgstr/. An electronic version of the public cooperative agreement. ECOS, NTEC, Christine Eppstein, Environmental and EPA’s Office of Pollution Council of the States, 444 North Capitol docket is available through EPA’s electronic public docket and comment Prevention and Toxics (OPPT) are co- Street, NW., Suite 445, Washington, DC sponsoring the meetings. As part of a 20001; telephone number: (202) 624– system, EPA Dockets. You may use EPA Dockets at http://www.epa.gov/edocket/ cooperative agreement, ECOS facilitates 3661; fax number: (202) 624–3666; e- ongoing efforts of the State and Tribal mail address: [email protected]. to submit or view public comments, access the index listing of the contents leaders and OPPT to increase SUPPLEMENTARY INFORMATION: of the official public docket, and to understanding and improve I. General Information access those documents in the public collaboration on toxics and pollution docket that are available electronically. prevention issues and to continue a A. Does this Action Apply to Me? Although, not all docket materials may dialogue on how Federal environmental You may be potentially affected by be available electronically, you may still programs can best be implemented this action if you are interested in access any of the publicly available among the States, Tribes, and EPA.
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III. How Can I Request to Participate in Farm Credit Administration Board, collection of information unless it this Meeting? (703) 883–4009, TTY (703) 883–4056. displays a currently valid control You may submit a request to ADDRESSES: Farm Credit number. No person shall be subject to participate in this meeting to the Administration, 1501 Farm Credit Drive, any penalty for failing to comply with technical persons, listed under FOR McLean, Virginia 22102–5090. a collection of information subject to the FURTHER INFORMATION CONTACT. Do not SUPPLEMENTARY INFORMATION: Parts of Paperwork Reduction Act (PRA) that submit any information in your request this meeting of the Board will be open does not display a valid control number. that is considered CBI. Requests to to the public (limited space available), Comments are requested concerning (a) participate in the meeting, identified by and parts will be closed to the public. whether the proposed collection of docket ID number OPPT–2003–0054, In order to increase the accessibility to information is necessary for the proper must be received on or before October Board meetings, persons requiring performance of the functions of the 16, 2003. assistance should make arrangements in Commission, including whether the advance. The matters to be considered information shall have practical utility; IV. The Meeting at the meeting are: (b) the accuracy of the Commission’s In the interest of time and efficiency, burden estimate; (c) ways to enhance the meetings are structured to provide Open Session the quality, utility, and clarity of the maximum opportunity for State, Tribal, A. Approval of Minutes information collected; and (d) ways to and EPA participants to discuss items minimize the burden of the collection of —September 11, 2003 (Open and on the predetermined agenda. At the information on the respondents, Closed) discretion of the chair, an effort will be including the use of automated made to accommodate participation by B. Reports collection techniques or other forms of information technology. observers attending the proceedings. • Corporate/Non-corporate Approvals DATES: The FOSTTA representatives and EPA Report. Written comments should be will collaborate on environmental • Financial Institution Rating System submitted on or before November 6, protection and prevention issues. The (FIRS)—Liquidity Discussion. 2003. If you anticipate that you will be tentative agenda items identified by the • Strategic Plan—Third Quarter Goal submitting comments, but find it States and the Tribes follow: Status Report. difficult to do so within the period of 1. Tribal environmental indicators • White Paper on Governance, time allowed by this notice, you should project. Conflict of Interest, Compensation advise the contact listed below as soon 2. Risk Screening Environmental Disclosure, and Audit Committee as possible. Indicators model. Standards. ADDRESSES: Direct all comments to Les 3. OPPTS Tribal Strategy. Smith, Federal Communications 4. High Production Volume (HPV) C. New Business—Other Commission, Room 1–A804, 445 12th Challenge Program and data base • FCA Draft Strategic Plan for Fiscal Street, SW., Washington, DC 20554, or update. Years 2003–2008. via the Internet to [email protected]; 5. Practical and conceptual aspects of or Kim A. Johnson, Office of environmental indicators. Closed Session* Management and Budget (OMB), Room List of Subjects Reports 10236 NEOB, Washington, DC 20503, (202) 395–3562 or via Internet at Environmental protection, Chemical • East Carolina Farm Credit, ACA [email protected]. information and management. Class A Cumulative Preferred Stock. FOR FURTHER INFORMATION CONTACT: Dated: September 30, 2003. * Session Closed-Exempt pursuant to 5 For additional information or copies of the Barbara Cunningham, U.S.C. 552b(c)(4), (8) and (9). information collections contact Les Director, Environmental Assistance Division, Dated: October 3, 2003. Smith at (202) 418–0217 or via the Office of Pollution Prevention and Toxics. Jeanette C. Brinkley, Internet at [email protected]. [FR Doc. 03–25405 Filed 10–6–03; 8:45 am] Secretary, Farm Credit Administration Board. SUPPLEMENTARY INFORMATION: BILLING CODE 6560–50–S [FR Doc. 03–25556 Filed 10–3–03; 3:05 pm] OMB Control Number: 3060–0310. BILLING CODE 6705–01–P Title: Cable Community Registration, FCC Form 322. FARM CREDIT ADMINISTRATION Form Number: FCC 322. FEDERAL COMMUNICATIONS Type of Review: Revision of a Farm Credit Administration Board; COMMISSION currently approved collection. Regular Meeting ; Sunshine Act Respondents: Business and other for- AGENCY: Farm Credit Administration. Notice of Public Information profit entities; not-for-profit institutions. Collection(s) Being Submitted to OMB Number of Respondents: 316. SUMMARY: Notice is hereby given, Estimated Time Per Response: 30 pursuant to the Government in the for Review and Approval minutes. Sunshine Act (5 U.S.C. 552b(e)(3)), of September 25, 2003. Frequency of Response: One time the regular meeting of the Farm Credit SUMMARY: The Federal Communications reporting requirement. Administration Board (Board). Commission, as part of its continuing Total Annual Burden: 158 hours. DATE AND TIME: The regular meeting of effort to reduce paperwork burden Total Annual Costs: $15,800. the Board will be held at the offices of invites the general public and other Needs and Uses: On March 13, 2003, the Farm Credit Administration in Federal agencies to take this the Commission adopted a Report and McLean, Virginia, on October 9, 2003, opportunity to comment on the Order (R&O), Amendment of the from 9 a.m. until such time as the Board following information collection, as Commission’s Rules for Implementation concludes its business. required by the Paperwork Reduction of its Cable Operations and Licensing FOR FURTHER INFORMATION CONTACT: Act of 1995, Public Law 104–13. An System (COALS) to Allow for Electronic Jeanette C. Brinkley, Secretary to the agency may not conduct or sponsor a Filing of Licensing Applications, Forms,
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Registrations and Notifications in the FEDERAL COMMUNICATIONS Title: Broadcast EEO Program Report, Multichannel Video and Cable COMMISSION FCC Form 396. Television Service and the Cable Form Number: FCC 396. Television Relay Service, FCC 03–55. Notice of Public Information Respondents: Business or other for- This R&O provided for electronic filing Collection(s) Being Submitted to OMB profit entities; not-for-profit institutions. and standardized information for Review and Approval Number of Respondents: 2,000. collections. Under 47 CFR Section Estimated Time Per Response: 1.5 September 17, 2003. 76.1801, cable operators will be hours. required to file FCC Form 322 with the SUMMARY: The Federal Communications Frequency of Response: Commission prior to commencing Commissions, as part of its continuing Recordkeeping; Renewal reporting operation of a community unit. FCC effort to reduce paperwork burden requirement. Form 322 will collect biographical invites the general public and other Total Annual Burden: 3,000 hours. information about the operator and Federal agencies to take this Total Annual Cost: $100,000. system as well as a list of broadcast opportunity to comment on the Needs and Uses: On November 7, channels carried on the system. This following information collection, as 2002, the FCC adopted a Second Report form will replace the requirement that required by the Paperwork Reduction and Order and Third NPRM (Second cable operators send a letter containing Act of 1995, Public Law 104–13. An R&O), MM Docket No. 98–204, FCC 02– approximately the same information. agency may not conduct or sponsor a 303, 68 FR 670 (2003), which collection of information unless it OMB Control Number: 3060–XXXX. established new EEO rules and forms to displays a currently valid control comply with the court’s decision in MD/ Title: Operator, Mail Address, and number. No person shall be subject to DC/DE Broadcasters Association v. FCC. Operational Information Changes, FCC any penalty for failing to comply with The new rules reinstate the requirement Form 324. a collection of information subject to the that broadcast licensees file the FCC Form Number: FCC 324. Paperwork Reduction Act (PRA) that Form 396 at the time they file for Type of Review: New collection. does not display a valid control number. renewal of license. The new EEO rules Comments are requested concerning (a) also ensure equal employment Respondents: Business and other for- whether the proposed collection of profit entities; not-for-profit institutions. opportunity in broadcast and multi- information is necessary for the proper channel video program distributor Number of Respondents: 5,000. performance of the functions of the industries through outreach to the Estimated Time Per Response: 10 Commission, including whether the community in recruitment and minutes to 1 hour. information shall have practical utility; prevention of employment Frequency of Response: On occasion (b) the accuracy of the Commission’s discrimination. Among other things, the reporting requirements. burden estimate; (c) ways to enhance Second R&O affords broadcasters with Total Annual Burden: 2,500 hours. the quality, utility, and clarity of the five or more full-time employees information collected; and (d) ways to Total Annual Costs: None. maximum flexibility in designing EEO minimize the burden of the collection of programs while ensuring broad Needs and Uses: On March 13, 2003, information on the respondents, dissemination of full-time employment the Commission adopted a Report and including the use of automated opportunities. These broadcasters must Order (R&O), Amendment of the collection techniques or other forms of file annually an EEO public file report Commission’s Rules for Implementation information technology. detailing their outreach efforts. In of its Cable Operations and Licensing DATES: Written comments should be addition, licensees must include a System (COALS) to Allow for Electronic submitted on or before November 6, narrative statement demonstrating how Filing of Licensing Applications, Forms, 2003. If you anticipate that you will be the station achieved an inclusive Registrations and Notifications in the submitting comments, but find it outreach in the prior two years and Multichannel Video and Cable difficult to do so within the period of report the status of any employment Television Service and the Cable time allowed by this notice, you should discrimination complaints. Television Relay Service, FCC 03–55. advise the contact listed below as soon This R&O provided for electronic filing OMB Control Number: 3060–0120. as possible. and standardized information Type of Review: Extension of a collections. Under 47 CFR Section ADDRESSES: Direct all comments to Les currently approved collection. 76.1610, cable operators must notify the Smith, Federal Communications Title: Broadcast Equal Employment Commission of changes in ownership Commission, Room 1–A804, 445 12th Opportunity Model Program Report, information or operating status within Street, SW., Washington, DC 20554, or FCC Form 396–A. 30 days of such change using FCC Form via the Internet to [email protected]; Form Number: FCC 396–A. 324. FCC Form 324 will cover a variety or Kim A. Johnson, Office of Respondents: Business or other for- of changes related to cable operators, Management and Budget (OMB), Room profit entity; not-for-profit institutions. replacing the requirement of a letter 10236 NEOB, Washington, DC 20503, Number of Respondents: 5,000. containing approximately the same (202) 395–3562 or via Internet at Estimated Time Per Response: 1 hour. _ _ information. Every Form 324 filing will Kim A. [email protected]. Frequency of Response: On occasion reporting requirement. require biographical information about FOR FURTHER INFORMATION CONTACT: For the operator and system—the additional Total Annual Burden: 5,000 hours. additional information or copies of the Total Annual Cost: None. information required depending largely information collections contact Les upon the nature of the change. Needs and Uses: On November 7, Smith at (202) 418–0217 or via the 2002, the FCC adopted a Second Report Federal Communications Commission. Internet at [email protected]. and Order and Third NPRM (Second Marlene H. Dortch, SUPPLEMENTARY INFORMATION: R&O), MM Docket No. 98–204, FCC 02– Secretary. OMB Control Number: 3060–0113. 303, 68 FR 670 (2003), which [FR Doc. 03–25301 Filed 10–6–03; 8:45 am] Type of Review: Extension of a established new EEO rules and forms to BILLING CODE 6712–01–P currently approved collection. comply with the court’s decision in MD/
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DC/DE Broadcasters Association v. FCC. organizations. Broadcasters must also FEDERAL COMMUNICATIONS The new rules reinstate the requirement retain records to demonstrate that they COMMISSION that broadcast licensees file the FCC have recruited for all full-time [Report No. AUC–03–53D (Auction No. 53); Form 396–A at the time they file permanent positions, i.e., full-time DA 03–2354] applications for construction permits, or vacancy filled, listings of recruitment assignments or transfers of license. The sources, dated copies of advertisements, Auction of Licenses in the new EEO rules also ensure equal etc., and place such types of records Multichannel Video Distribution and employment opportunity in broadcast annually in their local public inspection Data Service (MVDDS) Rescheduled for and multi-channel video program file. January 14, 2004; Notice and Filing distributor industries through outreach Requirements, Minimum Opening Bids, to the community in recruitment and OMB Control Number: 3060–0349. Upfront Payments and Other Auction prevention of employment Type of Review: Extension of a Procedures discrimination. While FCC Form 396–A currently approved collection. remains almost entirely the same as the AGENCY: Federal Communications Title: Equal Employment Opportunity form used under the rules adopted in Commission. Requirements. 2000, the Second R&O also builds in ACTION: Notice. flexibility for licensees to implement a Form Number: N/A. SUMMARY: This document announces the program in compliance with the new Respondents: Business or other for- procedures and minimum opening bids rules, i.e., it allows for a range of profit entities; not-for-profit institutions. community outreach programs to those for the upcoming auction of MVDDS interested in broadcast careers, and Number of Respondents: 2,125. licenses and announces that the auction broadcasters with five or more full-time Estimated Time Per Response: 42 has been rescheduled for January 14, employees may list recruitment sources hours. 2004. This document is intended to they plan to use. familiarize prospective bidders with the Frequency of Response: procedures and minimum opening bids OMB Control Number: 3060–0212. Recordkeeping; Annual and five year for this auction. Type of Review: Extension of a reporting requirements. DATES: Auction No. 53 is scheduled to currently approved collection. Total Annual Burden: 89,250 hours. Title: Section 73.2080, Equal begin on January 14, 2004. Employment Opportunities (EEO Rule). Total Annual Cost: None. FOR FURTHER INFORMATION CONTACT: Form Number: N/A. Needs and Uses: On November 7, Auctions and Industry Analysis Respondents: Business or other for- 2002, the FCC adopted a Second Report Division: Legal questions: Brian Carter profit entities; not-for-profit institutions. and Order and Third NPRM (Second at (202) 418–0660, or General auction Number of Respondents: 10,825. R&O), MM Docket No. 98–204, FCC 02– questions: Roy Knowles or Barbara Estimated Time Per Response: 42 303, 68 FR 670 (2003), which Sibert at (717) 338–2888. Media Contact: Press inquiries: Chelsea Fallon at (202) hours. established new EEO rules and forms to 418–0660. Public Safety and Private Frequency of Response: comply with the court’s decision in MD/ Wireless Division: Legal questions: Recordkeeping; Annual reporting DC/DE Broadcasters Association v. FCC. requirement. Jennifer Burton at (202) 418–0680, or Among other things, the Second R&O Technical questions: Michael Pollak at Total Annual Burden: 454,650 hours. adopts several EEO recordkeeping and Total Annual Cost: None. (202) 418–0680 or Steve Buenzow at reporting requirements. It specifies Needs and Uses: On November 7, (717) 338–2646. which EEO materials must be kept in 2002, the FCC adopted a Second Report SUPPLEMENTARY INFORMATION: This is a and Order and Third NPRM (Second the public inspection file. All multi- summary of the Auction No. 53 R&O), MM Docket No. 98–204, FCC 02– channel video program distributor Procedures Public Notice released on 303, 68 FR 670 (2003), which (MVPD) employment units with six or August 28, 2003. The complete text of established new EEO rules and forms to more full-time employees are subject to the Auction No. 53 Procedures Public comply with the court’s decision in MD/ EEO program provisions and must Notice, including attachments, as well DC/DE Broadcasters Association v. FCC. disseminate employment information as related Commission documents, are The new EEO rules ensure equal widely. These MVPDs must also retain available for public inspection and employment opportunity in broadcast records to demonstrate they have copying during regular business hours and multi-channel video program recruited for all full-time permanent at the FCC Reference Information distributor industries through outreach positions and must place a listing of all Center, Portals II, 445 12th Street, SW., to the community in recruitment and full-time vacancies filled and Room CY–A257, Washington, DC, prevention of employment recruitment sources used for each 20554. The Auction No. 53 Procedures discrimination. Specifically, the Second vacancy for the preceding year in their Public Notice and related Commission R&O adopts EEO recordkeeping and EEO records file. documents may also be purchased from reporting requirements; specifies which the Commission’s duplicating Federal Communications Commission. EEO materials must be kept in the contractor, Qualex International, Portals public inspection file; and requires all Marlene H. Dortch, II, 445 12th Street, SW., Room CY–B402, broadcasters to adhere to the EEO rules’ Secretary. Washington, DC, 20554, telephone 202– general anti-discrimination provisions. [FR Doc. 03–25302 Filed 10–6–03; 8:45 am] 863–2893, facsimile 202–863–2898, or Only station employment units with BILLING CODE 6712–01–P via e-mail [email protected]. When five or more full-time employees are ordering documents from Qualex, please subject to the EEO program provisions. provide the appropriate FCC document Among other requirements, broadcasters number (for example, FCC 02–116 for must widely distribute job vacancy the Second Report and Order). The information and provide full-time job Auction No. 53 Procedures Public vacancy information to requesting Notice and related documents are also
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available on the Internet at the rather than Component Economic Areas following four FCC-defined service area Commission’s Web site: http:// (‘‘CEAs’’) and adopted a five-year build additions: Alaska—Balance of State (all wireless.fcc.gov/auctions/53/. out requirement. geographic areas of Alaska not included 3. MVDDS licensees may provide any I. General Information in Nielsen’s three DMAs for the state: digital fixed one-way non-broadcast Anchorage, Fairbanks, and Juneau), A. Introduction service including direct-to-home/office Guam and the Northern Mariana 1. The Auction No. 53 Procedures wireless service. Mobile and Islands, Puerto Rico and the United Public Notice, announces that the aeronautical services are not authorized. States Virgin Islands, and American auction of licenses in the Multichannel Two-way services may be provided by Samoa. Potential applicants should note Video Distribution and Data Service using other spectrum or media for the that the boundaries of the DMA-based (‘‘MVDDS’’) (Auction No. 53) has been return or upstream path. MVDDS service areas of the 214 licenses offered rescheduled for January 14, 2004. In providers will share the 12.2–12.7 GHz in Auction No. 53 will not change, even addition, the Wireless band on a co-primary basis with non- if Nielsen alters the boundaries of its Telecommunications Bureau (‘‘Bureau’’) geostationary satellite orbit (‘‘NGSO’’) DMAs in the future, as it has in the past. announces the procedures and fixed-satellite services (‘‘FSS’’) and on a Each license will authorize the use of minimum opening bids for this auction. non-harmful interference basis with one block of unpaired spectrum in the On January 30, 2003, in accordance with incumbent Direct Broadcast Satellite 12.2–12.7 GHz band. (‘‘DBS’’) providers. The technical the Balanced Budget Act of 1997, the 5. Applicants should note that criteria for sharing established in the Bureau released a public notice seeking Nielsen owns the copyright to the DMA MVDDS Second Report and Order, 67 comment on reserve prices and/or listing. The Commission’s assignment of FR 43031 (June 26, 2002), ET Docket No. minimum opening bids and the MVDDS licenses will not confer on 98–206, released May 23, 2002, are procedures to be used in Auction No. applicants or licensees the right to use designed to protect NGSO FSS and DBS 53. The Bureau received one comment Nielsen’s DMA mark, regions, or data, operations from harmful interference. and one reply comment in response to and such right must be obtained from the Auction No. 53 Comment Public ii. Licenses To Be Auctioned Nielsen. In addition, the Commission Notice, 68 FR 6167 (February 6, 2003). 4. Auction No. 53 will offer 214 does not have the right to republish i. Background licenses based on DMAs and FCC- DMA regions or data. Therefore, the 2. On April 15, 2003, the Commission defined DMA-like service areas Commission will not provide the released the Second Further Notice of encompassing the United States, Guam populations, counties, or a map of Proposed Rule Making, 68 FR 19486 and the Northern Mariana Islands, DMAs to applicants for Auction No. 53 (April 21, 2003), which sought further Puerto Rico and the United States Virgin either before or during the auction. comment on the appropriate service Islands, and American Samoa. The 214 Applicants wishing to obtain such DMA area definition for MVDDS and on service areas are based on the 210 DMAs data and maps will need to acquire whether the build out requirement for delineated by Nielsen in its publication them from Nielsen. this service should be modified. On July entitled ‘‘U.S. Television Household 6. A complete list of the licenses 7, 2003, the Commission released the Estimates’’ dated September 2002 available in Auction No. 53 is included Third Report and Order, 18 FCC Rcd (which lists estimates of television in Attachment A of the Auction No. 53 13468 (2003), in which it decided to households ‘‘as of January 2003’’ and Procedures Public Notice. The license MVDDS on the basis of can be found at Nielsen’s Web site at characteristics of these licenses are Designated Market Areas (‘‘DMAs’’) http://www.nielsenmedia.com) plus the shown in the following table:
No. of Li- Frequencies Bandwidth Geographic Area Type censes
12.2–12.7 GHz ...... 500 MHz ...... DMA ...... 214
B. Rules and Disclaimers regarding competitive bidding other during the auction about bids, procedures. i. Relevant Authority bidding strategies, or settlements unless 8. The terms contained in the such applicants have identified each 7. Prospective bidders must Commission’s rules, relevant orders, other on their FCC Form 175 familiarize themselves thoroughly with and public notices are not negotiable. applications as parties with whom they the Commission’s rules relating to The Commission may amend or have entered into agreements under MVDDS contained in title 47, part 101, supplement the information contained § 1.2105(a)(2)(viii). Thus, applicants for of the Code of Federal Regulations, and in our public notices at any time, and any of the same geographic license areas those relating to application and auction will issue public notices to convey any must affirmatively avoid all discussions procedures, contained in title 47, part 1, new or supplemental information to with each other that affect, or in their of the Code of Federal Regulations. applicants. It is the responsibility of all reasonable assessment have the Prospective bidders must also be applicants to remain current with all thoroughly familiar with the Commission rules and with all public potential to affect, bidding or bidding procedures, terms and conditions notices pertaining to this auction. strategy. This prohibition begins at the (collectively, ‘‘terms’’) contained in the short-form application filing deadline Auction No. 53 Procedures Public ii. Prohibition of Collusion and ends at the down payment deadline Notice; the Auction No. 53 Comment 9. To ensure the competitiveness of after the auction. For purposes of this Public Notice; and the Part 1 Fifth the auction process, § 1.2105(c) of the prohibition, § 1.2105(c)(7)(i) defines Report and Order, 65 FR 52323 (August Commission’s rules prohibits applicants applicant as including all controlling 29, 2000), as well as prior and for any of the same geographic license interests in the entity submitting a subsequent Commission proceedings areas from communicating with each short-form application to participate in
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the auction, as well as all holders of Form 175 short-form applications, b. Canadian and Mexican Border partnership and other ownership applicants are certifying their Regions interests and any stock interest compliance with § 1.2105(c). 16. MVDDS systems in the United amounting to 10 percent or more of the 12. In addition, § 1.65 of the States within 56 km (35 miles) of the entity, or outstanding stock, or Commission’s rules requires an Canadian and Mexican border will be outstanding voting stock of the entity applicant to maintain the accuracy and granted conditional licenses, until final submitting a short-form application, and international agreements are approved. all officers and directors of that entity. completeness of information furnished MVDDS systems may not cause harmful 10. Applicants for licenses in any of in its pending application and to notify the same geographic license areas are the Commission within 30 days of any interference to stations in Canada or encouraged not to use the same substantial change that may be of Mexico. No stations are allowed within individual as an authorized bidder. A decisional significance to that 5 miles of the borders. violation of the anti-collusion rule could application. Thus, §§ 1.65 and 1.2105 c. Quiet Zone occur if an individual acts as the require an auction applicant to notify 17. MVDDS stations must protect the authorized bidder for two or more the Commission of any violation of the radio quiet zones. Stations are cautioned competing applicants, and conveys anti-collusion rules upon learning of that they must receive the appropriate information concerning the substance of such violation. Bidders therefore are approvals directly from the relevant bids or bidding strategies between the required to make such notification to quiet zone entity prior to operating. applicants he or she is authorized to the Commission immediately upon represent in the auction. A violation discovery. iv. Due Diligence could similarly occur if the authorized 18. Potential applicants are solely bidders are different individuals 13. A summary listing of documents responsible for identifying associated employed by the same organization issued by the Commission and the risks and for investigating and (e.g., law firm or consulting firm). In Bureau addressing the application of the evaluating the degree to which such such a case, at a minimum, applicants anti-collusion rules may be found in matters may affect their ability to bid should certify on their applications that Attachment G of the Auction No. 53 on, otherwise acquire, or make use of precautionary steps have been taken to Procedures Public Notice. licenses available in Auction No. 53. prevent communication between iii. Interference Protection 19. Potential applicants also should authorized bidders and that applicants and their bidding agents will comply be aware that certain applications 14. Among other licensing and (including those for modification), with the anti-collusion rule. However, technical rules, MVDDS licensees must the Bureau cautions that merely filing a petitions for rulemaking, requests for comply with the interference protection special temporary authority (‘‘STA’’), certifying statement as part of an and coordination requirements set forth application will not outweigh specific waiver requests, petitions to deny, in §§ 101.105, 101.1421, and 101.1440 petitions for reconsideration, and evidence that collusive behavior has of the Commission’s rules. Generally, occurred, nor will it preclude the applications for review may be pending §§ 101.105, 101.1421, and 101.1440 initiation of an investigation when before the Commission and relate to establish standards for protection of co- warranted. particular applicants or incumbent 11. The Commission’s anti-collusion primary NGSO FSS earth stations, licensees. In addition, certain judicial rules allow applicants to form certain incumbent and adjacent area licensees proceedings that may relate to particular agreements during the auction, provided and co-primary DBS earth stations. applicants or incumbent licensees, or the applicants have not applied for MVDDS shall be licensed on a non- the licenses available in Auction No. 53, licenses covering the same geographic harmful interference co-primary basis to may be commenced, or may be pending, areas. In Auction No. 53, for example, existing DBS operations and on a co- or may be subject to further review. We the rule will apply to any applicants primary basis with NGSO FSS stations note that resolution of these matters that apply for the same DMA-based in this band. MVDDS licensees must could have an impact on the availability service area. In addition, applicants that also protect and/or develop sharing of spectrum in Auction No. 53. In apply to bid for all markets will be agreements with neighboring licensees. addition, although the Commission will precluded from communicating with all continue to act on pending applications, other applicants until after the down a. Incumbent Licensees requests and petitions, some of these matters may not be resolved by the time payment deadline. However, all 15. Terrestrial private operational of the auction. applicants may enter into bidding fixed point-to-point stations in the 12.2– agreements before filing their FCC Form 20. In addition, potential applicants 12.7 GHz band which were licensed may research the licensing database for 175, as long as they disclose the prior to MVDDS are incumbent point-to- existence of the agreement(s) in their the Wireless Telecommunications point stations. However, only those Form 175. If parties agree in principle Bureau on the Internet in order to stations licensed as public safety must on all material terms prior to the short- determine which frequencies are form filing deadline, those parties must be protected from harmful interference already licensed to incumbent licensees. be identified on the short-form caused by later MVDDS entrants in the The Commission makes no application pursuant to § 1.2105(c), 12.2–12.7 GHz band. MVDDS operators representations or guarantees regarding even if the agreement has not been have the responsibility of resolving any the accuracy or completeness of reduced to writing. If the parties have harmful interference problems that their information in its databases or any third not agreed in principle by the filing operations may cause to these public party databases, including, for example, deadline, an applicant would not safety incumbent point-to-point court docketing systems. Furthermore, include the names of those parties on its operations in the 12.2–12.7 GHz band. the Commission makes no application, and may not continue To aid potential bidders, a list of public representations or guarantees regarding negotiations with other applicants for safety incumbents in this band can be the accuracy or completeness of licenses covering any of the same found at Appendix I to the MVDDS information that has been provided by geographic areas. By signing their FCC Second Report and Order. incumbent licensees and incorporated
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into the database. Potential applicants vi. National Environmental Policy Act vi. General Contact Information are strongly encouraged to physically Requirements 32. The following is a list of general inspect any sites located in, or near, the contact information related to Auction service area for which they plan to bid. 26. Licensees must comply with the Commission’s rules regarding the No. 53: 21. Licensing records for terrestrial General Auction Information: General private operational fixed point-to-point National Environmental Policy Act (‘‘NEPA’’). The construction of a Auction Questions, Seminar public safety are contained in the Registration—FCC Auctions Hotline, Bureau’s Universal Licensing System wireless antenna facility is a federal action and the licensee must comply (888) 225–5322, Press Option #2 or (‘‘ULS’’) and may be researched on the direct (717) 338–2888, Hours of service: Internet at http://wireless.fcc.gov/uls. with the Commission’s NEPA rules for each such facility. 8 a.m.–5:30 p.m. ET, Monday through Potential applicants may query the Friday. database online and download a copy of C. Auction Specifics Auction Legal Information: Auction their search results if desired. Detailed Rules, Policies, Regulations—Auctions i. Auction Date instructions on using License Search and Industry Analysis Division, Legal (including frequency searches and the 27. The auction will begin on Branch (202) 418–0660. GeoSearch capability) and downloading Licensing Information: Rules, query results are available online by Wednesday, January 14, 2004. The initial schedule for bidding will be Policies, Regulations, Licensing Issues, selecting the ‘‘?’’ button at the upper Due Diligence, Incumbency Issues— right-hand corner of the License Search announced by public notice at least one week before the start of the auction. Public Safety and Private Wireless screen. Division (202) 418–0680. 22. Potential applicants should direct Unless otherwise announced, bidding on all licenses will be conducted on Technical Support: Electronic Filing, questions regarding the search FCC Automated Auction System—FCC capabilities to the FCC Technical each business day until bidding has Auctions Technical Support Hotline Support hotline at (202) 414–1250 stopped on all licenses. (202) 414–1250 (Voice), (202) 414–1255 (voice) or (202) 414–1255 (TTY), or via ii. Auction Title (TTY), Hours of service: 8 a.m.–6 p.m. e-mail at [email protected]. The hotline ET, Monday through Friday. is available to assist with questions 28. Auction No. 53—Multichannel Payment Information: Wire Transfers, Monday through Friday, from 8 a.m. to Video Distribution and Data Service Refunds—FCC Auctions Accounting 6 p.m. ET. In order to provide better Branch (202) 418–0578, (202) 418–2843 service to the public, all calls to the iii. Bidding Methodology (Fax). hotline are recorded. 29. The bidding methodology for Telephonic Bidding: Will be v. Bidder Alerts Auction No. 53 will be simultaneous furnished only to qualified bidders. multiple round bidding. The 23. The FCC makes no representations FCC Forms: (800) 418–3676 (outside Commission will conduct this auction or warranties about the use of this Washington, DC), (202) 418–3676 (in the over the Internet, and telephonic spectrum for particular services. Washington Area), http://www.fcc.gov/ bidding will be available as well. As a Applicants should be aware that an FCC formpage.html contingency plan, bidders may also dial FCC Internet Sites: auction represents an opportunity to in to the FCC Wide Area Network. http://www.fcc.gov become an FCC licensee in this service, Qualified bidders are permitted to bid http://wireless.fcc.gov/auctions subject to certain conditions and telephonically or electronically. http://wireless.fcc.gov/uls regulations. An FCC auction does not constitute an endorsement by the FCC of iv. Pre-Auction Dates and Deadlines II. Short-Form (FCC Form 175) any particular services, technologies or Application Requirements 30. The following is a list of important products, nor does an FCC license 33. Guidelines for completion of the dates related to Auction No. 53: constitute a guarantee of business short-form (FCC Form 175) are set forth success. Applicants and interested Auction Seminar ...... October 29, 2003. Short-Form Application (FCC October 29, 2003; in Attachment D of the Auction No. 53 parties should perform their own due FORM 175) Filing Window 12 p.m. ET. Procedures Public Notice. diligence before proceeding, as they Opens. would with any new business venture. Short-Form Application (FCC November 12, A. License Selection 24. As is the case with many business FORM 175) Filing Window 2003; 6 p.m. 34. In Auction No. 53, FCC Form 175 Deadline. ET. investment opportunities, some Upfront Payments (via wire December 8, 2003; will include a mechanism that allows an unscrupulous entrepreneurs may transfer). 6 p.m. ET. applicant to create customized lists of attempt to use Auction No. 53 to Mock Auction ...... January 9, 2004. licenses. The applicant will select the deceive and defraud unsuspecting Auction Begins ...... January 14, 2004. filter criteria and the system will investors. v. Requirements For Participation produce a list of licenses satisfying the 25. Information about deceptive specified criteria. The applicant may telemarketing investment schemes is 31. Those wishing to participate in apply for all the licenses in the list (by available from the FTC at (202) 326– the auction must: using the ‘‘Save all filtered licenses’’ 2222 and from the SEC at (202) 942– • Submit a short-form application option) or select and save individual 7040. Complaints about specific (FCC Form 175) electronically by 6:00 licenses separately from the list. deceptive telemarketing investment p.m. ET, November 12, 2003. schemes should be directed to the FTC, B. Ownership Disclosure Requirements • the SEC, or the National Fraud Submit a sufficient upfront (FCC Form 175 Exhibit A) Information Center at (800) 876–7060. payment and an FCC Remittance Advice 35. All applicants must comply with Consumers who have concerns about Form (FCC Form 159) by 6:00 p.m. ET, the uniform part 1 ownership disclosure specific proposals regarding Auction December 8, 2003. standards and in completing FCC Form No. 53 may also call the FCC Consumer • Comply with all provisions 175 provide information required by Center at (888) CALL–FCC ((888) 225– outlined in the Auction No. 53 §§ 1.2105 and 1.2112 of the 5322). Procedures Public Notice. Commission’s rules.
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C. Consortia and Joint Bidding and consortia thereof, as follows for for cable operators. Specifically, no Arrangements (FCC Form 175 Exhibit B) Auction No. 53: cable operator, nor any entity owning an • 36. Applicants will be required to A bidder with attributed average attributable interest in a cable operator, identify on their short-form applications annual gross revenues of not more than shall have an attributable interest in an any parties with whom they have $40 million for the preceding three MVDDS license if such cable operator’s entered into any consortium years (‘‘entrepreneur’’) will receive a 15 service area significantly overlaps the arrangements, joint ventures, percent discount on its winning bids; MVDDS license area. • A bidder with attributed average partnerships or other agreements or iv. Supporting Documentation understandings which relate in any way annual gross revenues of not more than 45. Applicants should note that they to the licenses being auctioned, $15 million for the preceding three will be required to file supporting including any agreements relating to years (‘‘small business’’) will receive a documentation to their FCC Form 175 post-auction market structure. 25 percent discount on its winning bids; • short-form applications to establish that Applicants will also be required to A bidder with attributed average they satisfy the eligibility requirements certify on their short-form applications annual gross revenues of not more than to qualify as entrepreneurs, small that they have not entered into any $3 million for the preceding three years businesses, or very small businesses (or explicit or implicit agreements, (‘‘very small business’’) will receive a 35 consortia of entrepreneurs, small arrangements or understandings of any percent discount on its winning bids. businesses, or very small businesses) for kind with any parties, other than those Bidding credits are not cumulative; a this auction. Applicants should also identified, regarding the amount of their qualifying applicant receives the 15 note that they must fulfill the bids, bidding strategies, or the particular percent, 25 percent, or 35 percent certification requirements of licenses on which they will or will not bidding credit on its winning bid, but § 101.1412(g)(2) of the Commission’s bid. only one credit per license. 37. A party holding a non-controlling, 40. Bidders should note that unjust rules relating to complying with the attributable interest in one applicant enrichment provisions apply to a eligibility restrictions for cable will be permitted to acquire an winning bidder that utilizes a bidding operators. 46. Applicants should further note ownership interest in, form a credit and subsequently seeks to assign that submission of an FCC Form 175 consortium with, or enter into a joint or transfer control of its license or application constitutes a representation bidding arrangement with other construction permit to an entity not by the certifying official that he or she applicants for licenses in the same qualifying for the same level of bidding is an authorized representative of the geographic license area provided that (i) credit. applicant, has read the form’s the attributable interest holder certifies ii. Tribal Land Bidding Credit instructions and certifications, and that that it has not and will not 41. To encourage the growth of the contents of the application and its communicate with any party concerning wireless services in federally recognized attachments are true and correct. the bids or bidding strategies of more tribal lands the Commission has Submission of a false certification to the than one of the applicants in which it implemented a tribal land bidding Commission may result in penalties, holds an attributable interest, or with credit. See section V.F. of the Auction including monetary forfeitures, license which it has formed a consortium or No. 53 Procedures Public Notice. forfeitures, ineligibility to participate in entered into a joint bidding 42. Attribution for entrepreneur, small future auctions, and/or criminal arrangement; and (ii) the arrangements business, and very small business prosecution. do not result in a change in control of eligibility. In determining which entities 47. Entrepreneur, small business, or any of the applicants. While the anti- qualify as entrepreneurs, small very small business eligibility (Exhibit collusion rules do not prohibit non- businesses, or very small business, the C). Entities applying to bid as auction related business negotiations Commission will consider the gross entrepreneurs, small businesses, or very among auction applicants, applicants revenues of the applicant, its affiliates, small businesses (or consortia of are reminded that certain discussions or its controlling interests, and the entrepreneurs, small businesses, or very exchanges could touch upon affiliates of its controlling interests. The small businesses) will be required to impermissible subject matters because Commission does not impose specific disclose on Exhibit C to their FCC Form they may convey pricing information equity requirements on controlling 175 short-form applications, separately and bidding strategies. interest holders. Once the principals or and in the aggregate, the gross revenues D. Eligibility entities with a controlling interest are for the preceding three years of each of determined, only the revenues of those the following: (i) The applicant, (ii) its i. Bidding Credit Eligibility (FCC Form principals or entities, the affiliates of affiliates, (iii) its controlling interests, 175 Exhibit C) those principals or entities, the and (iv) the affiliates of its controlling 38. A bidding credit represents the applicant and its affiliates, will be interests. Certification that the average amount by which a bidder’s winning counted in determining small business annual gross revenues for the preceding bids are discounted. The size of the eligibility. three years do not exceed the applicable bidding credit depends on the average 43. Each member of a consortium of limit is not sufficient. A statement of the of the aggregated annual gross revenues entrepreneurs, small businesses or very total gross revenues for the preceding for each of the preceding three years of small businesses must disclose its gross three years is also insufficient. The the bidder, its affiliates, its controlling revenues along with those of its applicant must provide separately for interests, and the affiliates of its affiliates, its controlling interests, and itself, its affiliates, its controlling controlling interests. the affiliates of its controlling interests. interests, and the affiliates of its 39. In the Second Report and Order, controlling interests, a schedule of gross the Commission determined that three iii. Eligibility Restrictions for Cable revenues for each of the preceding three levels of bidding credits are appropriate Operators years, as well as a statement of total for MVDDS. Therefore, bidding credits 44. Applicants should note that average gross revenues for the three-year will be available to entrepreneurs, small § 101.1412 of the Commission’s rules period. If the applicant is applying as a businesses, and very small businesses, provide certain eligibility restrictions consortium of entrepreneurs, small
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businesses, or very small businesses, with § 101.1412(a) regarding eligibility DC. The seminar will provide attendees this information must be provided for restrictions for cable operators. This with information about pre-auction each consortium member. certification should be included as procedures, auction conduct, the FCC Exhibit F. Automated Auctions System, auction E. Provisions Regarding Defaulters and rules, and the MVDDS service rules. A Former Defaulters (FCC Form 175 H. Minor Modifications to Short-Form registration form is attached as Exhibit D) Applications (FCC Form 175) Attachment D of the Auction No. 53 48. Each applicant must certify on its 52. After the short-form filing Procedures Public Notice. FCC Form 175 application under deadline (6:00 p.m. ET on November 12, penalty of perjury that the applicant, its 2003), applicants may make only minor B. Short-Form Application (FCC Form controlling interests, its affiliates, and changes to their FCC Form 175 175)—Due November 12, 2003 the affiliates of its controlling interests, applications. Applicants will not be 56. In order to be eligible to bid in this as defined by § 1.2110, are not in default permitted to make major modifications auction, applicants must first submit an on any payment for Commission to their applications (e.g., change their FCC Form 175 application. This licenses (including down payments) and license selections, change the certifying application must be submitted not delinquent on any non-tax debt official, change control of the applicant, electronically and received at the owed to any Federal agency. In or change bidding credits). See 47 CFR Commission no later than 6 p.m. ET on addition, each applicant must attach to 1.2105. Permissible minor changes November 12, 2003. Late applications its FCC Form 175 application a include, for example, deletion and will not be accepted. statement made under penalty of addition of authorized bidders (to a 57. There is no application fee perjury indicating whether or not the maximum of three) and revision of required when filing an FCC Form 175. applicant, its affiliates, its controlling exhibits. Applicants should make these i. Electronic Filing interests, or the affiliates of its modifications to their FCC Form 175 controlling interests, as defined by electronically and submit a letter, 58. Applicants must file their FCC § 1.2110, have ever been in default on briefly summarizing the changes, by Form 175 applications electronically. any Commission licenses or have ever electronic mail to the attention of Applications may generally be filed at been delinquent on any non-tax debt Margaret Wiener, Chief, Auctions and any time beginning at noon ET on owed to any Federal agency. Applicants Industry Analysis Division, at the October 29, 2003, until 6 p.m. ET on must include this statement as Exhibit following address: [email protected]. November 12, 2003. Applicants are D of the FCC Form 175. The electronic mail summarizing the strongly encouraged to file early and are 49. ‘‘Former defaulters’’—i.e., changes must include a subject or responsible for allowing adequate time applicants, including their attributable caption referring to Auction No. 53. The for filing their applications. Applicants interest holders, that in the past have Bureau requests that parties format any may update or amend their electronic defaulted on any Commission licenses attachments to electronic mail as applications multiple times until the or been delinquent on any non-tax debt Adobe Acrobat (pdf) or Microsoft filing deadline on November 12, 2003. owed to any Federal agency, but that Word documents. 59. Applicants must press the have since remedied all such defaults 53. A separate copy of the letter ‘‘SUBMIT Application’’ button on the and cured all of their outstanding non- should be faxed to the attention of ‘‘Submission’’ page of the electronic tax delinquencies—are eligible to bid in Kathryn Garland at (717) 338–2850. form to successfully submit their FCC Auction No. 53, provided that they are Form 175s. Any form that is not otherwise qualified. However, as I. Maintaining Current Information in submitted will not be reviewed by the discussed infra in section III.D.iii, Short-Form Applications (FCC Form FCC. Information about accessing the former defaulters are required to pay 175) FCC Form 175 is included in upfront payments that are fifty percent 54. Section 1.65 of the Commission’s Attachment C. Technical support is more than the normal upfront payment rules requires an applicant to maintain available at (202) 414–1250 (voice) or amounts. the accuracy and completeness of (202) 414–1255 (text telephone (TTY)); hours of service are Monday through F. Installment Payments information furnished in its pending application and to notify the Friday, from 8 AM to 6 PM ET. In order 50. Installment payment plans will Commission within 30 days of any to provide better service to the public, not be available in Auction No. 53. substantial change that may be of all calls to the hotline are recorded. G. Other Information (FCC Form 175 decisional significance to that ii. Completion of the FCC Form 175 Exhibits E and F) application. Amendments reporting 60. Applicants should carefully 51. Applicants owned by minorities substantial changes of possible decisional significance in information review 47 CFR 1.2105, and must or women, as defined in 47 CFR complete all items on the FCC Form 1.2110(c)(2), may attach an exhibit contained in FCC Form 175 applications, as defined by 47 CFR 175. Instructions for completing the FCC (Exhibit E) regarding this status. This Form 175 are in Attachment D of the applicant status information is collected 1.2105(b)(2), will not be accepted and may in some instances result in the Auction No. 53 Procedures Public for statistical purposes only and assists Notice. the Commission in monitoring the dismissal of the FCC Form 175 participation of ‘‘designated entities’’ in application. iii. Electronic Review of FCC Form 175 its auctions. Applicants wishing to II. Pre-Auction Procedures 61. The FCC Form 175 electronic submit additional information may do review system may be used to locate so on Exhibit F (Miscellaneous A. Auction Seminar and print applicants’ FCC Form 175 Information) to the FCC Form 175. 55. On Wednesday, October 29, 2003, information. There is no fee for Applicants must also certify as an the FCC will sponsor a free seminar for accessing this system. See Attachment C exhibit to their short-form application Auction No. 53 at the Federal of the Auction No. 53 Procedures Public that they, and all parties to the Communications Commission, located Notice for details on accessing the application, will come into compliance at 445 12th Street, SW., Washington, review system.
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62. Applicants may also view other allow sufficient time for the transfer to the number of bidding units assigned to applicants’ completed FCC Form 175s be initiated and completed before the that license. At a minimum, therefore, after the filing deadline has passed and deadline. an applicant’s total upfront payment the FCC has issued a public notice 66. Applicants must fax a completed must be enough to establish eligibility to explaining the status of the applications. FCC Form 159 (Revised 2/03) to Mellon bid on at least one of the licenses Note: Applicants should not include Bank at (412) 209–6045 at least one hour applied for on Form 175, or else the sensitive information (i.e., TIN/EIN) on any before placing the order for the wire applicant will not be eligible to exhibits to their FCC Form 175 applications. transfer (but on the same business day). participate in the auction. An applicant On the cover sheet of the fax, write does not have to make an upfront C. Application Processing and Minor ‘‘Wire Transfer—Auction Payment for payment to cover all licenses for which Corrections Auction Event No. 53.’’ In order to meet the applicant has applied on Form 175, 63. After the deadline for filing the the Commission’s upfront payment but rather to cover the maximum FCC Form 175 applications has passed, deadline, an applicant’s payment must number of bidding units that are the FCC will process all timely be credited to the Commission’s account associated with licenses on which the submitted applications to determine by the deadline. Applicants are bidder wishes to place bids and hold which are acceptable for filing, and responsible for obtaining confirmation high bids at any given time. subsequently will issue a public notice from their financial institution that 69. In the Auction No. 53 Comment identifying: (i) Those applications Mellon Bank has timely received their Public Notice, the Bureau proposed accepted for filing; (ii) those upfront payment and deposited it in the upfront payments on a license-by- applications rejected; and (iii) those proper account. Detailed instructions for license basis for both CEAs and DMAs. applications which have minor defects completion of FCC Form 159 are Upfront payment calculations for DMA that may be corrected, and the deadline included in Attachment E of the licenses are based upon CEA upfront for filing such corrected applications. Auction No. 53 Procedures Public payment calculations. With respect to Notice. D. Upfront Payments—Due December 8, CEAs we proposed to use the following 2003 ii. Amount of Upfront Payment formula: $0.025 * License Area Population with a minimum of $1,000 64. In order to be eligible to bid in the 67. In the Part 1 Order the per license. The Bureau received no auction, applicants must submit an Commission delegated to the Bureau the comments on this issue. Therefore, the upfront payment accompanied by an authority and discretion to determine Bureau adopts its proposed upfront FCC Remittance Advice Form (FCC appropriate upfront payment(s) for each payments. The specific upfront Form 159). After completing the FCC auction. In addition, in the Part 1 Fifth payments and bidding units for each Form 175, filers will have access to an Report and Order, the Commission license are set forth in Attachment A of electronic version of the FCC Form 159 ordered that ‘‘former defaulters,’’ i.e., the Auction No. 53 Procedures Public that can be printed and faxed to Mellon applicants that have ever been in default Notice. Bank in Pittsburgh, PA. All upfront on any Commission license or have ever payments must be received at Mellon been delinquent on any non-tax debt 70. In calculating its upfront payment Bank by 6 p.m. ET on December 8, 2003. owed to any Federal agency, be required amount, an applicant should determine For specific instructions regarding to pay upfront payments fifty percent the maximum number of bidding units upfront payments, see section III.D. of greater than non-‘‘former defaulters.’’ on which it may wish to be active the Auction No. 53 Procedures Public For purposes of this calculation, the (bidding units associated with licenses Notice. Failure to deliver the upfront ‘‘applicant’’ includes the applicant on which the bidder has the standing payment by the December 8, 2003, itself, its affiliates, its controlling high bid from the previous round and deadline will result in dismissal of the interests, and affiliates of its controlling licenses on which the bidder places a application and disqualification from interests, as defined by § 1.2110 of the bid in the current round) in any single participation in the auction. Commission’s rules (as amended in the round, and submit an upfront payment Part 1 Fifth Report and Order). covering that number of bidding units. i. Making Auction Payments by Wire 68. In the Auction No. 53 Comment In order to make this calculation, an Transfer Public Notice, we proposed that the applicant should add together the 65. Wire transfer payments must be amount of the upfront payment would upfront payments for all licenses on received by 6 p.m. ET on December 8, determine the number of bidding units which it seeks to bid in any given 2003. To avoid untimely payments, on which a bidder may place bids. In round. Applicants should check their applicants should discuss arrangements order to bid on a license, otherwise calculations carefully, as there is no (including bank closing schedules) with qualified bidders that applied for that provision for increasing a bidder’s their banker several days before they license on Form 175 must have an maximum eligibility after the upfront plan to make the wire transfer, and eligibility level that meets or exceeds payment deadline.
EXAMPLE: UPFRONT PAYMENTS AND BIDDING FLEXIBILITY
Bidding Upfront Market No. Market Name Units Payment
DMA001 ...... New York ...... 480,000 $480,000 DMA004 ...... Philadelphia ...... 187,000 $187,000 Note: If a bidder wishes to bid on both licenses in a round, it must have selected both on its FCC Form 175 and purchased at least 667,000 bidding units (480,000 + 187,000). If a bidder only wishes to bid on one, but not both, purchasing 480,000 bidding units would meet the require- ment for either license. The bidder would be able to bid on either license, but not both at the same time. If the bidder purchased only 187,000 bidding units, it would have enough eligibility for the Philadelphia license but not for the New York license.
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71. Former defaulters should calculate identification number (BIN) and the G. Mock Auction their upfront payment for all licenses by other containing the SecurID cards, both 79. All qualified bidders will be multiplying the number of bidding units of which are required to place bids. eligible to participate in a mock auction they wish to purchase by 1.5. In order These mailings will be sent only to the on Friday, January 9, 2004. The mock to calculate the number of bidding units contact person at the contact address auction will enable applicants to to assign to former defaulters, the listed in the FCC Form 175. become familiar with the FCC Commission will divide the upfront 75. Applicants that do not receive Automated Auction System prior to the payment received by 1.5 and round the both registration mailings will not be auction. Participation by all bidders is result up to the nearest bidding unit. able to submit bids. Therefore, any qualified applicant that has not received strongly recommended. Details will be Note: An applicant may, on its FCC Form announced by public notice. 175, apply for every applicable license being both mailings by noon on Wednesday, offered, but its actual bidding in any round January 7, 2004, should contact the IV. Auction Event will be limited by the bidding units reflected Auctions Hotline at (717) 338–2888. in its upfront payment. Receipt of both registration mailings is 80. The first round of bidding for critical to participating in the auction, Auction No. 53 will begin on iii. Applicant’s Wire Transfer and each applicant is responsible for Wednesday, January 14, 2004. The Information for Purposes of Refunds of ensuring it has received all of the initial bidding schedule will be Upfront Payments registration material. announced in a public notice listing the 76. Qualified bidders should note that qualified bidders, which is released 72. The Commission will use wire lost bidder identification numbers or approximately 10 days before the start transfers for all Auction No. 53 refunds. SecurID cards can be replaced only by of the auction. To ensure that refunds of upfront appearing in person at the FCC payments are processed in an A. Auction Structure headquarters, located at 445 12th St., expeditious manner, the Commission is SW., Washington, DC 20554. Only an i. Simultaneous Multiple Round requesting that all pertinent information authorized representative or certifying Auction as listed be supplied to the FCC. official, as designated on an applicant’s 81. In the Auction No. 53 Comment Name of Bank FCC Form 175, may appear in person Public Notice, we proposed to award all ABA Number with two forms of identification (one of licenses in Auction No. 53 in a Contact and Phone Number which must be a photo identification) in simultaneous multiple round auction. Account Number to Credit order to receive replacements. Qualified We received no comments on this issue. Name of Account Holder bidders requiring replacements must We conclude that it is operationally FCC Registration Number (FRN) call technical support prior to arriving feasible and appropriate to auction the Taxpayer Identification Number at the FCC. Correspondent Bank (if applicable) MVDDS licenses through a ABA Number F. Remote Electronic Bidding simultaneous multiple round auction. Account Number 77. The Commission will conduct this Unless otherwise announced, bids will Applicants can provide the auction over the Internet, and be accepted on all licenses in each information electronically during the telephonic bidding will be available as round of the auction. This approach, we initial short-form filing window after well. As a contingency plan, bidders believe, allows bidders to take the form has been submitted. Wire may also dial in to the FCC Wide Area advantage of synergies that exist among Transfer Instructions can also be Network. Qualified bidders are licenses and is administratively manually faxed to the FCC, Financial permitted to bid telephonically or efficient. Operations Center, Auctions Accounting electronically. Each applicant should ii. Maximum Eligibility and Activity Group, ATTN: Gail Glasser, at (202) indicate its bidding preference— Rules 418–2843 by December 8, 2003. All electronic or telephonic—on the FCC refunds will be returned to the payer of Form 175. In either case, each 82. In the Auction No. 53 Comment record as identified on the FCC Form authorized bidder must have its own Public Notice, we proposed that the 159 unless the payer submits written SecurID card, which the FCC will amount of the upfront payment authorization instructing otherwise. For provide at no charge. For security submitted by a bidder would determine additional information, please call Gail purposes, the SecurID cards and the the initial (maximum) eligibility (as Glasser at (202) 418–0578. FCC Automated Auction System user measured in bidding units) for each manual are only mailed to the contact bidder. We received no comments on E. Auction Registration person at the contact address listed on this issue. 73. Approximately ten days before the the FCC Form 175. Each SecurID card is 83. For Auction No. 53 we adopt this auction, the FCC will issue a public tailored to a specific auction; therefore, proposal. The amount of the upfront notice announcing all qualified bidders SecurID cards issued for other auctions payment submitted by a bidder for the auction. Qualified bidders are or obtained from a source other than the determines the initial eligibility (in those applicants whose FCC Form 175 FCC will not work for Auction No. 53. bidding units) for each bidder. The total applications have been accepted for The telephonic bidding phone number upfront payment defines the maximum filing and have timely submitted will be supplied in the first overnight number of bidding units on which the upfront payments sufficient to make mailing, which also includes the applicant will be permitted to bid and them eligible to bid on at least one of confidential bidder identification hold high bids in a round. As there is the licenses for which they applied. number. no provision for increasing a bidder’s 74. All qualified bidders are 78. SecurID cards can be recycled, eligibility after the upfront payment automatically registered for the auction. and the Bureau encourages bidders to deadline, applicants are cautioned to Registration materials will be return the cards to the FCC. The Bureau calculate their upfront payments distributed prior to the auction by two will provide pre-addressed envelopes carefully. The total upfront payment separate overnight mailings, one that bidders may use to return the cards does not affect the total dollar amount containing the confidential bidder once the auction is over. a bidder may bid on any given license.
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84. In order to ensure that the auction waiver is used). During Stage One, Stage. We further proposed that the closes within a reasonable period of reduced eligibility for the next round Bureau would retain the discretion to time, an activity rule requires bidders to will be calculated by multiplying the change stages unilaterally by bid actively throughout the auction, bidder’s current activity (the sum of announcement during the auction. This rather than wait until late in the auction bidding units of the bidder’s standing determination, we proposed, would be before participating. Bidders are high bids and bids during the current based on a variety of measures of bidder required to be active on a specific round) by five-fourths (5/4). activity, including, but not limited to, percentage of their current eligibility Stage Two: During the second stage of the auction activity level, the during each round of the auction. the auction, a bidder desiring to percentages of licenses (as measured in 85. A bidder’s activity level in a maintain its current eligibility is bidding units) on which there are new round is the sum of the bidding units required to be active on 90 percent of its bids, the number of new bids, and the associated with licenses on which the current bidding eligibility. Failure to percentage increase in revenue. We bidder is active. A bidder is considered maintain the required activity level will received no comments on this issue. active on a license in the current round result in a reduction in the bidder’s 90. We adopt our proposal. Thus, the if it is either the high bidder at the end bidding eligibility in the next round of auction will start in Stage One and will of the previous bidding round and does bidding (unless an activity rule waiver generally advance to the next stage (i.e., not withdraw the high bid in the current is used). During Stage Two, reduced from Stage One to Stage Two, and from round, or if it submits a bid in the eligibility for the next round will be Stage Two to Stage Three) when, in each current round (see ‘‘Minimum calculated by multiplying the bidder’s of three consecutive rounds of bidding, Acceptable Bids and Bid Increments’’ in current activity (the sum of bidding the high bid has increased on 20 percent section IV.B.iii). The minimum required units of the bidder’s standing high bids or less of the licenses being auctioned activity is expressed as a percentage of and bids during the current round) by (as measured in bidding units). In the bidder’s current bidding eligibility, ten-ninths (10/9). addition, the Bureau will retain the and increases by stage as the auction Stage Three: During the third stage of discretion to regulate the pace of the progresses. Because these procedures the auction, a bidder desiring to auction by announcement. This have proven successful in maintaining maintain its current eligibility is determination will be based on a variety the pace of previous auctions (as set required to be active on 98 percent of its of measures of bidder activity, forth under ‘‘Auction Stages’’ in section current bidding eligibility. Failure to including, but not limited to, the IV.A.iii and ‘‘Stage Transitions’’ in maintain the required activity level will auction activity level, the percentages of section IV.A.iv), we adopt them for result in a reduction in the bidder’s licenses (as measured in bidding units) Auction No. 53. bidding eligibility in the next round of on which there are new bids, the number of new bids, and the percentage iii. Auction Stages bidding (unless an activity rule waiver is used). In this final stage, reduced increase in revenue. We believe that 86. In the Auction No. 53 Comment eligibility for the next round will be these stage transition rules, having Public Notice, we proposed to conduct calculated by multiplying the bidder’s proven successful in prior auctions, are the auction in three stages and employ current activity (the sum of bidding appropriate for use in Auction No. 53. an activity rule. We further proposed units of the bidder’s standing high bids that, in each round of Stage One, a v. Activity Rule Waivers and Reducing bidder desiring to maintain its current and bids during the current round) by Eligibility eligibility would be required to be active fifty-fortyninths (50/49). 91. Each bidder will be provided five on licenses encompassing at least 80 CAUTION: Since activity requirements activity rule waivers that may be used percent of its current bidding eligibility. increase in each auction stage, bidders must in any round during the course of the In each round of Stage Two, a bidder carefully check their current activity during auction. Use of an activity rule waiver desiring to maintain its current the bidding period of the first round preserves the bidder’s current bidding following a stage transition. This is especially eligibility would be required to be active critical for bidders that have standing high eligibility despite the bidder’s activity on at least 90 percent of its current bids and do not plan to submit new bids. In in the current round being below the bidding eligibility. Finally, we proposed past auctions, some bidders have required level. An activity rule waiver that a bidder in Stage Three, in order to inadvertently lost bidding eligibility or used applies to an entire round of bidding maintain its current eligibility, would be an activity rule waiver because they did not and not to a particular license. required to be active on 98 percent of its re-verify their activity status at stage 92. The FCC Automated Auction current bidding eligibility. We received transitions. Bidders may check their activity System assumes that bidders with no comments on this proposal. against the required activity level by using insufficient activity would prefer to use 87. We adopt our proposals for the the bidding system’s bidding module. an activity rule waiver (if available) activity rules and stages. Here are the 88. Because the foregoing procedures rather than lose bidding eligibility. activity levels for each stage of the have proven successful in maintaining Therefore, the system will automatically auction. The Bureau reserves the proper pace in previous auctions, we apply a waiver (known as an ‘‘automatic discretion to further alter the activity adopt them for Auction No. 53. waiver’’) at the end of any round where percentages before and/or during the a bidder’s activity level is below the iv. Stage Transitions auction. minimum required unless: (i) there are Stage One: During the first stage of the 89. In the Auction No. 53 Comment no activity rule waivers available; or (ii) auction, a bidder desiring to maintain Public Notice, we proposed that the the bidder overrides the automatic its current eligibility will be required to auction would generally advance to the application of a waiver by reducing be active on licenses encompassing at next stage (i.e., from Stage One to Stage eligibility, thereby meeting the least 80 percent of its current bidding Two, and from Stage Two to Stage minimum requirements. If a bidder has eligibility in each bidding round. Three) when the auction activity level, no waivers remaining and does not Failure to maintain the required activity as measured by the percentage of satisfy the required activity level, the level will result in a reduction in the bidding units receiving new high bids, current eligibility will be permanently bidder’s bidding eligibility in the next is below 20 percent for three reduced, possibly eliminating the bidder round of bidding (unless an activity rule consecutive rounds of bidding in each from the auction.
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93. A bidder with insufficient activity vii. Auction Delay, Suspension, or During the course of the auction, the that wants to reduce its bidding Cancellation Bureau will not entertain requests to eligibility rather than use an activity 98. By public notice or by reduce the minimum opening bid on rule waiver must affirmatively override announcement during the auction, the specific licenses. the automatic waiver mechanism during Bureau may delay, suspend, or cancel 103. The specific minimum opening the round by using the reduce eligibility the auction in the event of natural bids for each license available in function in the bidding system. In this disaster, technical obstacle, evidence of Auction No. 53 are set forth in case, the bidder’s eligibility is an auction security breach, unlawful Attachment A of the Auction No. 53 permanently reduced to bring the bidder bidding activity, administrative or Procedures Public Notice. into compliance with the activity rules weather necessity, or for any other iii. Minimum Acceptable Bids and Bid as described in ‘‘Auction Stages’’ (see reason that affects the fair conduct of Increments section IV.A.iii). Once eligibility has competitive bidding. Because this 104. In Auction No. 53 we will use a been reduced, a bidder will not be approach has proven effective in permitted to regain its lost bidding smoothing methodology to calculate resolving exigent circumstances in minimum acceptable bids. The eligibility. previous auctions, we adopt our 94. Finally, a bidder may proactively smoothing methodology is designed to proposed auction cancellation rules. In use an activity rule waiver as a means vary the increment for a given license such cases, the Bureau, in its sole to keep the auction open without between a maximum and minimum discretion, may elect to resume the placing a bid. If a bidder submits a percentage based on the bidding activity auction starting from the beginning of proactive waiver (using the proactive on that license. This methodology the current round, resume the auction waiver function in the FCC Automated allows the increments to be tailored to Auction System) during a round in starting from some previous round, or the activity on a license, decreasing the which no bids are submitted, the cancel the auction in its entirety. time it takes for licenses receiving many auction will remain open and the B. Bidding Procedures bids to reach their final prices. The bidder’s eligibility will be preserved. formula used to calculate this increment However, an automatic waiver triggered i. Round Structure is included as Attachment F of the during a round in which there are no 99. The initial bidding schedule will Auction No. 53 Procedures Public new bids or withdrawals will not keep be announced in the public notice Notice. We will initially set the the auction open. Note: Once a listing the qualified bidders, which is weighting factor at 0.5, the minimum proactive waiver is submitted during a released approximately 10 days before percentage increment at 0.1 (10%), and round, that waiver cannot be the start of the auction. Each bidding the maximum percentage increment at unsubmitted. round is followed by the release of 0.2 (20%). Hence, at these initial round results. Multiple bidding rounds settings, the percentage increment will vi. Auction Stopping Rules may be conducted in a given day. fluctuate between 10% and 20% 95. For Auction No. 53, the Bureau Details regarding round results formats depending upon the number of bids for proposed to employ a simultaneous and locations will also be included in the license. stopping rule. The Bureau also sought the qualified bidders public notice. 105. In each round, each eligible comment on a modified version of the 100. The FCC has discretion to change bidder will be able to place a bid on a stopping rule. The modified version of the bidding schedule in order to foster particular license for which it applied in the stopping rule would close the an auction pace that reasonably any of nine different amounts. The FCC auction for all licenses after the first balances speed with the bidders’ need to Automated Auction System will list the round in which no bidder submits a study round results and adjust their nine bid amounts for each license. proactive waiver, a withdrawal, or a bidding strategies. The Bureau may 106. Once there is a standing high bid new bid on any license on which it is increase or decrease the amount of time on a license, the FCC Automated not the standing high bidder. for the bidding rounds and review Auction System will calculate a 96. In addition, we proposed that the periods, or the number of rounds per minimum acceptable bid for that license Bureau reserve the right to declare that day, depending upon the bidding for the following round, as described in the auction will end after a designated activity level and other factors. Attachment F of the Auction No. 53 number of additional rounds (‘‘special Procedures Public Notice. The stopping rule’’). If the Bureau invokes ii. Reserve Price or Minimum Opening difference between the minimum this special stopping rule, it will accept Bid acceptable bid and the standing high bid bids in the final round(s) only for 101. For Auction No. 53, the Bureau for each license will define the bid licenses on which the high bid proposed the following license-by- increment—i.e., bid increment = increased in at least one of the license basis for calculating minimum (minimum acceptable bid)—(standing preceding specified number of rounds. opening bids: $0.05 * License Area high bid). The nine acceptable bid We proposed to exercise this option Population with a minimum of $1,000 amounts for each license consist of the only in circumstances such as where the per license. minimum acceptable bid (the standing auction is proceeding very slowly, 102. The Bureau received no high bid plus one bid increment) and where there is minimal overall bidding comments on this issue. Consequently, additional amounts calculated using activity or where it appears likely that the Bureau adopts its proposed multiple bid increments (i.e., the second the auction will not close within a minimum opening bids for Auction No. bid amount equals the standing high bid reasonable period of time. 53. The minimum opening bids we plus two times the bid increment, the 97. We adopt the proposals adopt for Auction No. 53 are reducible third bid amount equals the standing concerning the auction stopping rules. at the discretion of the Bureau. We high bid plus three times the bid Auction No. 53 will begin under the emphasize, however, that such increment, etc.). simultaneous stopping rule, and the discretion will be exercised, if at all, 107. At the start of the auction and Bureau will retain the discretion to sparingly and early in the auction, i.e., until a bid has been placed on a license, invoke the other versions of the before bidders lose all waivers and the minimum acceptable bid for that stopping rule. begin to lose substantial eligibility. license will be equal to its minimum
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opening bid. Corresponding additional subsequent round. If no bidder submits text files containing bid information and bid amounts will be calculated using a higher bid in a subsequent round, the a Type Bids function that allows bidders bid increments defined as the difference high bid from the previous round will to enter specific licenses for filtering. between the minimum opening bid win the license. If any bids are received 117. Finally, bidders are cautioned to times one plus the percentage on the license in a subsequent round, select their bid amounts carefully increment, rounded as described in the high bid will once again be because, as explained in the following Attachment F of the Auction No. 53 determined on the highest gross bid section, bidders that withdraw a Procedures Public Notice, and the amount received for the license. standing high bid from a previous minimum opening bid—i.e., bid round, even if the bid was mistakenly or v. Bidding increment = (minimum opening bid) (1 erroneously made, are subject to bid + percentage increment) {rounded}— 112. During a round, a bidder may withdrawal payments. submit bids for as many licenses as it (minimum opening bid). At the start of vi. Bid Removal and Bid Withdrawal the auction and until a bid has been wishes (subject to its eligibility), placed on a license, the nine acceptable withdraw high bids from previous 118. In the Auction No. 53 Comment bid amounts for each license consist of bidding rounds, remove bids placed in Public Notice, the Bureau proposed the minimum opening bid and the same bidding round, or permanently limiting each bidder to withdrawals in additional amounts calculated using reduce eligibility. Bidders also have the no more than two rounds during the multiple bid increments (i.e., the second option of making multiple submissions course of the auction. The two rounds bid amount equals the minimum and withdrawals in each round. If a in which withdrawals are used, we opening bid plus the bid increment, the bidder submits multiple bids for a single proposed, would be at the bidder’s third bid amount equals the minimum license in the same round, the system discretion. We received no comments opening bid plus two times the bid takes the last bid entered as that on this issue. increment, etc). bidder’s bid for the round. Bidders 119. Procedures. Before the close of a 108. In the case of a license for which should note that the bidding units bidding round, a bidder has the option the standing high bid has been associated with licenses for which the of removing any bids placed in that withdrawn, the minimum acceptable bidder has removed or withdrawn its round. By using the ‘‘remove bid’’ bid will equal the second highest bid bid do not count towards the bidder’s function in the bidding system, a bidder received for the license. The additional activity at the close of the round. may effectively ‘‘unsubmit’’ any bid bid amounts are calculated using the 113. Please note that all bidding will placed within that round. A bidder difference between the second highest take place remotely either through the removing a bid placed in the same bid times one plus the minimum FCC Automated Auction System or by round is not subject to withdrawal percentage increment, rounded, and the telephonic bidding. Telephonic bidders payments. Removing a bid will affect a second highest bid. are reminded to allow sufficient time to bidder’s activity for the round in which 109. The Bureau retains the discretion bid by placing their calls well in it is removed, i.e., a bid that is removed to change the minimum acceptable bids advance of the close of a round. does not count toward bidding activity. and bid increments and the (Normally, five to ten minutes are This procedure, about which we methodology for determining the necessary to complete a bid received no comments, will enhance minimum acceptable bids and bid submission). bidder flexibility during the auction, increments if it determines that 114. A bidder’s ability to bid on and therefore we adopt these procedures circumstances so dictate. The Bureau specific licenses in the first round of the for Auction No. 53. will do so by announcement in the FCC auction is determined by two factors: (i) 120. Once a round closes, a bidder Automated Auction System. The Bureau The licenses applied for on FCC Form may no longer remove a bid. However, may also use its discretion to adjust the 175 and (ii) the upfront payment in later rounds, a bidder may withdraw minimum bid increment without prior amount deposited. The bid submission standing high bids from previous notice if circumstances warrant. screens will allow bidders to submit rounds using the withdraw bid function bids on only those licenses for which in the FCC Automated Auction System iv. High Bids the bidder applied on its FCC Form 175. (assuming that the bidder has not 110. At the end of each bidding 115. In order to access the bidding reached its withdrawal limit). A high round, the high bids will be determined function of the FCC Automated Auction bidder that withdraws its standing high based on the highest gross bid amount System, bidders must be logged in bid from a previous round during the received for each license. A high bid during the bidding round using the auction is subject to the bid withdrawal from a previous round is sometimes bidder identification number provided payments specified in 47 CFR 1.2104(g). referred to as a ‘‘standing high bid.’’ A in the registration materials, and the Note: Once a withdrawal is submitted ‘‘standing high bid’’ will remain the password generated by the SecurID during a round, that withdrawal cannot high bid until there is a higher bid on card. Bidders are strongly encouraged to be unsubmitted. the same license at the close of a print bid confirmations for each round 121. The Bureau will limit the subsequent round. Bidders are after they have completed all of their number of rounds in which bidders may reminded that standing high bids count activity for that round. place withdrawals to two rounds. These towards bidding activity. 116. In each round, eligible bidders rounds will be at the bidder’s discretion 111. A Sybase SQL pseudo-random will be able to place bids on a given and there will be no limit on the number generator based on the L’Ecuyer license in any of nine different amounts. number of bids that may be withdrawn algorithms will be used to select a high For each license, the FCC Automated in either of these rounds. Withdrawals bid in the event of identical high bids Auction System interface will list the during the auction will be subject to the on a license in a given round (i.e., tied nine acceptable bid amounts in a drop- bid withdrawal payments specified in bids). The tied bid having the highest down box. Bidders may use the drop- 47 CFR 1.2104(g). Bidders should note random number will become the down box to select from among the nine that abuse of the Commission’s bid standing high bid. The remaining bid amounts. The FCC Automated withdrawal procedures could result in bidders, as well as the high bidder, will Auction System also includes an import the denial of the ability to bid on a be able to submit a higher bid in a function that allows bidders to upload market.
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122. Calculation. Generally, the V. Post-Auction Procedures $7,607,200.00 of its ADV to make its Commission imposes payments on down payment on licenses it won in A. Down Payments and Withdrawn Bid bidders that withdraw high bids during Auction No. 49. The remaining Payments the course of an auction. If a bidder $48,240,565.96 of Qualcomm’s ADV withdraws its bid and there is no higher 126. After bidding has ended, the could be used to adjust winning bids in bid in the same or subsequent Commission will issue a public notice another FCC Auction, including auction(s), the bidder that withdrew its declaring the auction closed and Auction No. 53. bid is responsible for the difference identifying winning bidders, down payments and any withdrawn bid D. Long-Form Application (FCC Form between its withdrawn bid and the high 601) bid in the same or subsequent payments due. auction(s). In the case of multiple bid 127. Within ten business days after 130. Within ten business days after withdrawals on a single license, within release of the auction closing notice, release of the auction closing notice, the same or subsequent auctions(s), the each winning bidder must submit winning bidders must electronically payment for each bid withdrawal will sufficient funds (in addition to its submit a properly completed long-form be calculated based on the sequence of upfront payment) to bring its total application (FCC Form 601) and bid withdrawals and the amounts amount of money on deposit with the required exhibits for each license won withdrawn. No withdrawal payment Commission for Auction No. 53 to 20 through Auction No. 53. Winning will be assessed for a withdrawn bid if percent of the net amount of its winning bidders that are entrepreneurs, small either the subsequent winning bid or bids (gross bids less any applicable businesses, or very small businesses any of the intervening subsequent entrepreneur, small business, or very must include an exhibit demonstrating withdrawn bids, in either the same or small business bidding credits). In their eligibility for entrepreneur, small subsequent auctions(s), equals or addition, by the same deadline, all business, or very small business bidding exceeds that withdrawn bid. Thus, a bidders must pay any bid withdrawal credits. See 47 CFR 1.2112(b). Further bidder that withdraws a bid will not be payments due under 47 CFR 1.2104(g), filing instructions will be provided to responsible for any withdrawal as discussed in ‘‘Bid Removal and Bid auction winners at the close of the payments if there is a subsequent higher Withdrawal,’’ section IV.B.vi. (Upfront auction. payments are applied first to satisfy any bid in the same or subsequent E. Ownership Disclosure Information auction(s). withdrawn bid liability, before being applied toward down payments.) Report (FCC Form 602) 123. In instances in which bids have 131. At the time it submits its long- been withdrawn on a license that is not B. Final Payments form application (FCC Form 601), each won in the same auction, the 128. Each winning bidder will be winning bidder also must comply with Commission will assess an interim required to submit the balance of the net the ownership reporting requirements as withdrawal payment equal to 3 percent amount of its winning bids within 10 set forth in 47 CFR 1.913, 1.919, and of the amount of the withdrawn bids. business days after the deadline for 1.2112. We remind applicants that The 3 percent interim payment will be submitting down payments. effective December 10, 2002, electronic applied toward any final bid withdrawal C. Auction Discount Voucher filing of the Ownership Disclosure payment that will be assessed after Information Report (FCC Form 602) subsequent auction of the license. The 129. On June 8, 2000, the Commission became mandatory. Accordingly, forms Part 1 Fifth Report and Order provides awarded Qualcomm, Inc., a transferable filed manually will not be accepted. specific examples showing application Auction Discount Voucher (‘‘ADV’’) in Winning bidders without a current of the bid withdrawal payment rule. the amount of $125,273,878.00. Subject Form 602 already on file with the vii. Round Results to the terms and conditions set forth in Commission must submit a properly the Commission’s Order, Qualcomm or completed Form 602 at the time they 124. Bids placed during a round will its transferee could use this ADV, in submit their long-form applications. not be made public until the conclusion whole or in part, to adjust a winning bid Further filing instructions will be of that bidding period. After a round in any spectrum auction prior to June 8, provided to auction winners at the close closes, the Bureau will compile reports 2003. On April 28, 2003, the Bureau of the auction. of all bids placed, bids withdrawn, granted Qualcomm an additional year, current high bids, new minimum until June 8, 2004, to use the remaining F. Tribal Land Bidding Credit acceptable bids, and bidder eligibility amount of its ADV. Qualcomm 132. A winning bidder that intends to status (bidding eligibility and activity transferred $10,848,000.00 of the ADV use its license(s) to deploy facilities and rule waivers), and post the reports for to a winning bidder in FCC Auction No. provide services to federally recognized public access. Reports reflecting 35. The transferee used this amount to tribal lands that are unserved by any bidders’ identities for Auction No. 53 pay a portion of one of its winning bids telecommunications carrier or that have will be available before and during the in Auction No. 35. Qualcomm also a telephone service penetration rate auction. Thus, bidders will know in transferred $50,536,998.75 of the ADV equal to or below 70 percent is eligible advance of this auction the identities of to an assignee of broadband PCS to receive a tribal land bidding credit as the bidders against which they are licenses that used this amount to pay set forth in 47 CFR 1.2107 and 1.2110(f). bidding. the unpaid principal and interest A tribal land bidding credit is in accrued on the licenses. Qualcomm also viii. Auction Announcements addition to, and separate from, any transferred $4,020,165.65 of the ADV to other bidding credit for which a 125. The FCC will use auction an entity that made installment winning bidder may qualify. announcements to announce items such payments on behalf of several of the 133. Unlike other bidding credits that as schedule changes and stage entity’s affiliates, that are broadband are requested prior to the auction, a transitions. All FCC auction PCS C Block licensees. On July 30, 2003, winning bidder applies for the tribal announcements will be available by Qualcomm transferred an additional land bidding credit after winning the clicking a link on the FCC Automated $4,020,165.65 of the ADV to the same auction when it files its long-form Auction System. entity. Qualcomm also used application (FCC Form 601).
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134. For additional information on the Communications Commission, (202) 898–3838; Internet address: tribal land bidding credit, including Financial Operations Center, Auctions [email protected]]. how the amount of the credit is Accounting Group, Gail Glasser, 445 A copy of the comments may also be calculated, applicants should review the 12th Street, SW., Room 1–C863, submitted to the OMB desk officer for Commission’s rule making proceeding Washington, DC 20554. the FDIC: Joseph F. Lackey, Jr., Office of regarding tribal land bidding credits and 138. Bidders are encouraged to file Information and Regulatory Affairs, related public notices. Relevant their refund information electronically Office of Management and Budget, New documents can be viewed on the using the refund information portion of Executive Office Building, Room 10236, Commission’s Web site by going to the FCC Form 175, but bidders can also Washington, DC 20503. http://wireless.fcc.gov/auctions and fax their information to the Auctions FOR FURTHER INFORMATION CONTACT: clicking on the Tribal Land Credits link. Accounting Group at (202) 418–2843. Leneta G. Gregorie, Counsel (Consumer Once the information has been G. Default and Disqualification and Compliance Unit) (202) 898–3719. approved, a refund will be sent to the SUPPLEMENTARY INFORMATION: Proposal 135. Any high bidder that defaults or party identified in the refund to renew the following currently is disqualified after the close of the information. auction (i.e., fails to remit the required approved collections of information: Note: Refund processing generally takes up 1. Title: Application for Consent to down payment within the prescribed to two weeks to complete. Bidders with period of time, fails to submit a timely Exercise Trust Powers. questions about refunds should contact Gail OMB Number: 3064–0025. long-form application, fails to make full Glasser at (202) 418–0578. payment, or is otherwise disqualified) Form Number: 6200/09. will be subject to the payments Federal Communications Commission. Frequency of Response: On occasion. described in 47 CFR 1.2104(g)(2). In Margaret Wiener, Affected Public: All financial such event the Commission may re- Chief, Auctions and Industry Analysis institutions. auction the license or offer it to the next Division, WTB. Estimated Number of Respondents: highest bidder (in descending order) at [FR Doc. 03–25199 Filed 10–6–03; 8:45 am] 18. Estimated Time per Response: 14 its final bid. In addition, if a default or BILLING CODE 6712–01–P disqualification involves gross applications—8 hours; 4 applications— misconduct, misrepresentation, or bad 24 hours. Estimated Total Annual Burden: faith by an applicant, the Commission FEDERAL DEPOSIT INSURANCE 82,150 hours. may declare the applicant and its CORPORATION principals ineligible to bid in future General Description of Collection: auctions, and may take any other action Agency Information Collection Insured state nonmember banks submit that it deems necessary, including Activities: Proposed Collection; applications to the FDIC for consent to institution of proceedings to revoke any Comment Request exercise trust powers. Applications are existing licenses held by the applicant. evaluated by the FDIC to verify AGENCY: Federal Deposit Insurance qualifications of bank management to H. Refund of Remaining Upfront Corporation (FDIC). administer a trust department and to Payment Balance ACTION: Notice and request for comment. ensure that the bank’s financial 136. All applicants that submit condition will not be jeopardized as a upfront payments but are not winning SUMMARY: The FDIC, as part of its result of trust operations. bidders for a license in Auction No. 53 continuing effort to reduce paperwork 2. Title: Appraisal Standards. may be entitled to a refund of their and respondent burden, invites the OMB Number: 3064–0103. remaining upfront payment balance general public and other Federal Frequency of Response: On occasion. after the conclusion of the auction. No agencies to take this opportunity to Affected Public: All financial refund will be made unless there are comment on proposed and/or institutions. excess funds on deposit from the continuing information collections, as Estimated Number of Respondents: applicant after any applicable bid required by the Paperwork Reduction 5,346. withdrawal payments have been paid. Act of 1995 (44 U.S.C. chapter 35). Estimated Number of Responses: All refunds will be returned to the payer Currently, the FDIC is soliciting 328,600. of record, as identified on the FCC Form comments concerning an information Estimated Time per Response: 15 159, unless the payer submits written collection titled: (1) Application for minutes. authorization instructing otherwise. Consent to Exercise Trust Powers and Estimated Annual Burden: 82,150 137. Bidders that drop out of the (2) Appraisal Standards. hours. auction completely may be eligible for DATES: Comments must be submitted on General Description of Collection: a refund of their upfront payments or before December 8, 2003. FIRREA directs the FDIC to prescribe before the close of the auction. Qualified ADDRESSES: Interested parties are appropriate standards for the bidders that have exhausted all of their invited to submit written comments to performance of real estate appraisals in activity rule waivers, have no remaining Leneta Gregorie, Counsel (Consumer connection with federally related bidding eligibility, and have not and Compliance Unit), (202) 898–3719, transactions under its jurisdiction. The withdrawn a high bid during the Legal Division, Room 3062, Attention: information collection activities auction must submit a written refund Comments/Legal, Federal Deposit attributable to 12 CFR part 323 are a request. If you have completed the Insurance Corporation, 550 17th Street direct consequence of the statutory refund instructions electronically, then NW., Washington, DC 20429. All requirements and the legislative intent. only a written request for the refund is comments should refer to the OMB necessary. If not, the request must also control number. Comments may be Request for Comment include wire transfer instructions, hand-delivered to the guard station at Comments are invited on: (a) Whether Taxpayer Identification Number (TIN) the rear of the 17th Street Building the collection of information is and FCC Registration Number (FRN). (located on F Street), on business days necessary for the proper performance of Send refund request to: Federal between 7 a.m. and 5 p.m. [FAX number the FDIC’s functions, including whether
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the information has practical utility; (b) noted, nonbanking activities will be comments be faxed to the Office of the accuracy of the estimates of the conducted throughout the United States. Information and Regulatory Affairs, burden of the information collection, Additional information on all bank OMB, Attn: Fumie Yokota, Desk Officer including the validity of the holding companies may be obtained for FDA, FAX: 202–395–6974. methodology and assumptions used; (c) from the National Information Center FOR FURTHER INFORMATION CONTACT: ways to enhance the quality, utility, and website at www.ffiec.gov/nic/. Peggy Robbins, Office of Management clarity of the information to be Unless otherwise noted, comments Programs (HFA–250), Food and Drug collected; and (d) ways to minimize the regarding each of these applications Administration, 5600 Fishers Lane, burden of the information collection on must be received at the Reserve Bank Rockville, MD 20857, 301–827–1223. indicated or the offices of the Board of respondents, including through the use SUPPLEMENTARY INFORMATION: In of automated collection techniques or Governors not later than October 31, compliance with 44 U.S.C. 3507, FDA other forms of information technology. 2003. has submitted the following proposed A. Federal Reserve Bank of Dallas At the end of the comment period, the collection of information to OMB for (W. Arthur Tribble, Vice President) 2200 comments and recommendations review and clearance. received will be analyzed to determine North Pearl Street, Dallas, Texas 75201- the extent to which the collection 2272: Reporting and Recordkeeping should be modified prior to submission 1. SNB Financial, Inc., O’Donnell, Requirements and Availability of to OMB for review and approval. Texas; to acquire 100 percent of the Sample Electronic Products for Comments submitted in response to this voting shares of The State National Bank Manufacturers and Distributors of notice also will be summarized or of Big Spring, Big Spring, Texas. SNB Electronic Products (OMB Control included in the FDIC’s requests to OMB Financial, Inc., currently operates as Number 0910–0025)—Extension for renewal of this collection. All O’Donnell Bancshares, Inc., O’Donnell, Under sections 532 through 542 of the comments will become a matter of Texas. Federal Food, Drug, and Cosmetic Act public record. Board of Governors of the Federal Reserve (the act) (21 U.S.C. 360ii through 360ss), Dated in Washington, DC, this 1st day of System, October 1, 2003. FDA has the responsibility to protect the October, 2003. Robert deV. Frierson, public from unnecessary exposure from Federal Deposit Insurance Corporation. Deputy Secretary of the Board. radiation from electronic products. The Robert E. Feldman, [FR Doc. 03–25319 Filed 10–6–03; 8:45 am] regulations issued under these Executive Secretary. BILLING CODE 6210–01–S authorities are listed in 21 CFR chapter I, subchapter J. Specifically, subchapter [FR Doc. 03–25375 Filed 10–6–03; 8:45 am] A regulations, 21 CFR 5.10(a)(3), 5.25(b), BILLING CODE 6714–01–P DEPARTMENT OF HEALTH AND 5.35(a)(4), and 5.600 through 5.606, HUMAN SERVICES delegate administrative authorities to FDA. FEDERAL RESERVE SYSTEM Food and Drug Administration Section 532 of the act directs the Secretary of the Department of Health Formations of, Acquisitions by, and [Docket No. 2003N–0213] Mergers of Bank Holding Companies and Human Services (the Secretary) to Agency Information Collection establish and carry out an electronic The companies listed in this notice Activities; Submission for Office of product radiation control program, have applied to the Board for approval, Management and Budget Review; including the development, issuance, pursuant to the Bank Holding Company Comment Request; Reporting and and administration of performance Act of 1956 (12 U.S.C. 1841 et seq.) Recordkeeping Requirements and standards to control the emission of (BHC Act), Regulation Y (12 CFR Part Availability of Sample Electronic electronic product radiation from 225), and all other applicable statutes Products for Manufacturers and electronic products. The program is and regulations to become a bank Distributors of Electronic Products designed to protect the public health holding company and/or to acquire the and safety from electronic radiation, and assets or the ownership of, control of, or AGENCY: Food and Drug Administration, the act authorizes the Secretary to the power to vote shares of a bank or HHS. procure (by negotiation or otherwise) bank holding company and all of the ACTION: Notice. electronic products for research and banks and nonbanking companies testing purposes and to sell or otherwise owned by the bank holding company, SUMMARY: The Food and Drug dispose of such products. including the companies listed below. Administration (FDA) is announcing Section 534(g) of the act directs the The applications listed below, as well that the proposed collection of Secretary to review and evaluate as other related filings required by the information listed below has been industry testing programs on a Board, are available for immediate submitted to the Office of Management continuing basis; and sections 535(e) inspection at the Federal Reserve Bank and Budget (OMB) for review and and (f) of the act direct the Secretary to indicated. The application also will be clearance under the Paperwork immediately notify manufacturers of, available for inspection at the offices of Reduction Act of 1995 (the PRA). and ensure correction of, radiation the Board of Governors. Interested DATES: Fax written comments on the defects or noncompliances with persons may express their views in collection of information by November performance standards. writing on the standards enumerated in 6, 2003. Section 537(b) of the act contains the the BHC Act (12 U.S.C. 1842(c)). If the ADDRESSES: OMB is still experiencing authority to establish and maintain proposal also involves the acquisition of significant delays in the regular mail, records (including testing records), a nonbanking company, the review also including first class and express mail, make reports, and provide information includes whether the acquisition of the and messenger deliveries are not being to determine whether the manufacturer nonbanking company complies with the accepted. To ensure that comments on has acted in compliance. standards in section 4 of the BHC Act the information collection are received, Parts 1002 through 1010 (21 CFR parts (12 U.S.C. 1843). Unless otherwise OMB recommends that written 1002 through 1010) specify reports to be
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provided by manufacturers and electronic products. The data provided pertained to the information collection. distributors to FDA and records to be to users and others are intended to It stated that the Occupational Safety maintained in the event of an encourage actions to reduce or eliminate and Health Administration and the investigation of a safety concern or a radiation exposures. Department of Health and Human product recall. FDA uses the following forms to aid Services (DHHS) already have radiation FDA conducts laboratory compliance respondents in the submission of standards and that government testing of products covered by information for this information paperwork on radiation emissions is of regulations for product standards in collection: (1) Form FDA 2767, ‘‘Notice dubious value until more research is parts 1020, 1030, 1040, and 1050 (21 of Availability of Sample Electronic conducted, particularly on nonthermal CFR parts 1020, 1030, 1040, and 1050). Product;’’ (2) Form FDA 2877, effects of microwave/radiofrequency FDA details product-specific ‘‘Declaration for Imported Electronic radiation. FDA is the agency of DHHS performance standards that specify Products Subject to Radiation Control that is responsible for radiation safety information to be supplied with the Standards,’’ and (3) Form FDA 3147, standards for electronic products. product or require specific reports. The ‘‘Application for a Variance From 21 Industry paperwork on radiation safety information collections are either CFR 1040.11(c) for a Laser Light Show, provides the agency with critical specifically called for in the act or were Display, or Device.’’ information on radiation controls, such developed to aid the agency in The most likely respondents to this as safety interlocks, timers, warning performing its obligations under the act. information collection will be electronic labels, etc., and on radiation emissions The data reported to FDA and the product and x ray manufacturers, that are compared to known bioeffects records maintained are used by FDA importers, and assemblers. hazards, whether specified in and the industry to make decisions and In the Federal Register of June 12, mandatory FDA standards or more take actions that protect the public from 2003 (68 FR 35231), FDA published a recent consensus standards. radiation hazards presented by 60-day notice requesting public Specifically, information provided to electronic products. This information comment on the information collection FDA on microwave radiation is refers to the identification of, location provisions. FDA received two comments compared to levels known to cause of, operational characteristics of, quality on the FDA radiation program thermal injuries. assurance programs for, and problem paperwork burden (under OMB control FDA estimates the burden of this identification and correction of number 0910–0025). One comment collection of information as follows:
TABLE 1.—ESTIMATED ANNUAL REPORTING BURDEN1
Annual Frequency Total Annual Hours per 21 CFR Section Form No. No. of Respondents per Response Responses Response Total Hours
1002.3 10 1 10 12 120
1002.10 and 1010.3 540 1.6 850 24 20,400
1002.11 1,000 1.5 1,500 0.5 750
1002.12 150 1 150 5 750
1002.13 annual 900 1 900 26 23,400
1002.13 quarterly 250 2.4 600 0.5 300
1002.20 40 1 40 2 80
1002.50(a) and 1002.51 10 1.5 15 1 15
FDA 2877 600 32 19,200 0.2 3,840
1010.2 1 1 1 5 5
1010.4(b) 1 1 1 120 120
1010.5 and 1010.13 3 1 3 22 66
FDA 2767 145 11.03 1,600 0.09 144
1020.20(c)(4) 1 1 1 1 1
1020.30(d), (d)(1), and (d)(2) FDA 2579 2,345 8.96 21,000 0.30 6,300
1020.30(g) 200 1.33 265 35 9,275
1020.30(h)(1) through (h)(4),1020.32(a)(1) and (g) 200 1.33 265 35 9,275
1020.32(g) and 1020.33(c), (d), (g)(4), (j)(1), and (j)(2) 9 1 9 40 360
1020.40(c)(9)(i) and (c)(9)(ii) 8 1 8 40 320
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TABLE 1.—ESTIMATED ANNUAL REPORTING BURDEN1—Continued
Annual Frequency Total Annual Hours per 21 CFR Section Form No. No. of Respondents per Response Responses Response Total Hours
1030.10(c)(4) 41 1.61 66 20 1,320
1030.10(c)(5)(i) through (c)(5)(iv) 41 1.61 66 20 1,320
1030.10(c)(6)(iii) and (c)(6)(iv) 1 1 1 1 1
1040.10(a)(3)(i) 83 1 83 3 249
1040.10(h)(1)(i) through (h)(1)(vi) 805 1 805 8 6,440
1040.10(h)(2)(i) and (h)(2)(ii) 100 1 100 8 800
1040.11(a)(2) 190 1 190 10 1,900
1040.11(c) FDA 3147 53 2.2 115 0.5 58
1040.20 (d), (e)(1), and (e)(2) 110 1 110 10 1,100
1040.30(c)(1) 1 1 1 1 1
1040.30(c)(2) 7 1 7 1 7
1050.10(f)(1) through (f)(2)(iii) 10 1 10 56 560
Total Annual Reporting Burden 89,278 1 There are no capital costs or operating and maintenance costs associated with this collection of information.
TABLE 2.—ESTIMATED ANNUAL RECORDKEEPING BURDEN1
Annual Frequency of Total Annual 21 CFR Section No. of Recordkeepers Recordkeeping Records Hours per Recordkeeper Total Hours
1002.30 and 1002.31(a) 1,150 1,655.5 1,903,825 198.7 228,505
1002.40 and 1002.41 2,950 49.2 145,140 2.4 7,080
1020.30(g)(2) 22 1 22 0.5 11
1040.10(a)(3)(ii) 83 1 83 1.0 83
Totals 235,679 1 There are no capital costs or operating and maintenance costs associated with this collection of information.
The burden estimates were derived by 1003.20(a) through (h); 1003.21(a) Dated: September 30, 2003. consultation with FDA and industry through (d); 1003.22(a) and (b); Jeffrey Shuren, personnel and actual data collected 1003.30(a) and (b); 1003.31(a) and (b); Assistant Commissioner for Policy. from industry over the past 3 years. An 1004.2(a) through (i); 1004.3(a) through [FR Doc. 03–25304 Filed 10–6–03; 8:45 am] evaluation of the type and scope of (i); 1004.4(a) through (h); and 1005.21(a) BILLING CODE 4160–01–S information requested was also used to through (c). These requirements ‘‘apply derive some time estimates. For to the collection of information during example, disclosure information the conduct of general investigations or DEPARTMENT OF HEALTH AND primarily requires time only to update audits’’ (5 CFR 1320.4(b)). According to HUMAN SERVICES and maintain existing manuals. Initial 5 CFR 1320.3(c)(2), the following Food and Drug Administration development of manuals has been labeling requirements are also not performed except for new firms entering subject to review under the PRA [Docket No. 2003N–0324] the industry. When information is because they are a public disclosure of generally provided to users, assemblers, information originally supplied by the Certain Antibiotic New Animal Drug or dealers in the same manual, they Federal Government to the recipient for Products and Use Combinations have been grouped together in table 1 of the purpose of disclosure to the public: Subject to Listings in the New Animal this document. Sections 1020.10(c)(4), 1030.10(c)(6), Drug Regulations; Drug Efficacy Study The following information collection 1040.10(g), 1040.30(c)(1), and Implementation; Notice of Opportunity requirements are not subject to review 1050.10(d)(1). for Hearing; Correction by OMB because they do not constitute AGENCY: Food and Drug Administration, a ‘‘collection of information’’ under the HHS. PRA: Sections 1002.31(c); 1003.10(a), ACTION: Notice; correction. (b), and (c); 1003.11(a)(3) and (b);
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SUMMARY: The Food and Drug 1. On page 47333, in the third ton’’ is corrected to read ‘‘Drug in g/ Administration (FDA) is correcting a column, under ‘‘A. Bacitracin ton’’. notice of opportunity for hearing that Methylene Disalicylate Single-Ingredient Dated: October 1, 2003. published in the Federal Register on Type A Medicated Articles,’’ the trade Stephen F. Sundlof, August 8, 2003 (68 FR 47332). FDA is name following NADA 141–137, Director, Center for Veterinary Medicine. correcting a product name used by the ‘‘FORTRACIN’’, is corrected to read current sponsor of NADA 141–137, the ‘‘PENNITRACIN’’. [FR Doc. 03–25343 Filed 10–6–03; 8:45 am] FR citation for a Drug Efficacy Study 2. On pages 47335 in tables 2, 3, and BILLING CODE 4160–01–S Implementation Program finding of 4, and on page 47336 in table 5, in the table heading ‘‘Oxytetracycline’’ is effectiveness, and the column headings DEPARTMENT OF HEALTH AND corrected to read of six tables. These corrections are being HUMAN SERVICES made to improve the accuracy of the ‘‘Oxytetracycline1’’with a footnote 1 Federal Register. This notice also added to read ‘‘ Expressed in terms of Substance Abuse and Mental Health extends the deadline for parties who an equivalent amount of oxytetracycline Services Administration have requested a hearing to submit data hydrochloride’’ and ‘‘Neomycin’’ is and analysis upon which their request corrected to read ‘‘Neomycin Sulfate’’. Current List of Laboratories Which for a hearing relies. Other interested 3. On pages 47335 in tables 2, 3, and Meet Minimum Standards To Engage in persons may submit comments on the 4, and on page 47336 in table 5 in the Urine Drug Testing for Federal notice of opportunity for hearing first column heading ‘‘Oxytetracycline’’ Agencies 1 (NOOH) before the deadline. is corrected to read ‘‘Oxytetracycline ’’ and ‘‘neomycin’’ is corrected to read AGENCY: Substance Abuse and Mental DATES: Submit all written data and ‘‘neomycin sulfate’’. Health Services Administration, HHS analysis upon which a request for a 4. On page 47336, in the first column, ACTION: Notice. hearing relies and other written under ‘‘C. Combination Drug Type B SUMMARY: comments by November 6, 2003. and Type C Medicated Feeds for Poultry The Department of Health and Human Services (HHS) notifies Federal FOR FURTHER INFORMATION CONTACT: Containing Nicarbazin,’’the agencies of the laboratories currently Andrew J. Beaulieu, Center for combination use following NADA 98– certified to meet the standards of Veterinary Medicine (HFV–1), 7519 371 ‘‘NICARBAZIN (nicarbazin), Subpart C of the Mandatory Guidelines Standish Pl., Rockville, MD 20855, 301– PENICILLIN G PROCAINE (procaine for Federal Workplace Drug Testing 827–2954, e–mail: penicillin), and 3-NITRO (roxarsone)’’ is Programs (Mandatory Guidelines) [email protected]. corrected to read ‘‘nicarbazin, procaine published in the Federal Register on penicillin, and roxarsone’’. SUPPLEMENTARY INFORMATION: 5. On page 47336, in the first column, April 11, 1988 (53 FR 11970), and revised in the Federal Register on June I. Background under ‘‘C. Combination Drug Type B and Type C Medicated Feeds for Poultry 9, 1994 (59 FR 29908) and on September In the Federal Register of August 8, Containing Nicarbazin,’’ the 30, 1997 (62 FR 51118). A notice listing 2003 (68 FR 47332), FDA announced the combination use following NADA 98– all currently certified laboratories is effective conditions of use for some of 374 ‘‘NICARBAZIN (nicarbazin) and published in the Federal Register the drug products and use combinations PENICILLIN G PROCAINE (procaine during the first week of each month. If subject to the listings in §§ 510.515 and/ penicillin)’’ is corrected to read any laboratory’s certification is or 558.15 (21 CFR 510.515 and/or ‘‘nicarbazin and procaine penicillin’’. suspended or revoked, the laboratory 558.15), and proposed to withdraw the 6. On page 47336, in the second will be omitted from subsequent lists new animal drug applications (NADAs) column, under ‘‘C. Combination Drug until such time as it is restored to full for those products or use combinations Type B and Type C Medicated Feeds for certification under the Mandatory lacking substantial evidence of Poultry Containing Nicarbazin,’’ the Guidelines. effectiveness following a 90-day combination use following NADA 100– If any laboratory has withdrawn from opportunity to supplement the NADAs 853 ‘‘NICARBAZIN (nicarbazin), HHS’ National Laboratory Certification with labeling conforming to the relevant BACIFERM (BMD), and 3-NITRO Program (NLCP) during the past month, findings of effectiveness. The Center for (roxarsone)’’ is corrected to read it will be listed at the end, and will be Veterinary Medicine (CVM) also ‘‘nicarbazin, bacitracin methylene omitted from the monthly listing provided an opportunity for hearing for disalicylate, and roxarsone’’. thereafter. applications proposed to be withdrawn. 7. On page 47336, in the third This notice is also available on the Interested persons were given until column, under ‘‘C. Combination Drug Internet at http://workplace.samhsa.gov September 8, 2003, to submit written Type B and Type C Medicated Feeds for and http://www.drugfreeworkplace.gov appearances and requests for a hearing; Poultry Containing Nicarbazin,’’ in the FOR FURTHER INFORMATION CONTACT: Mrs. until October 7, 2003, to submit data fourth line, ‘‘bacitracin zinc’’ is Giselle Hersh or Dr. Walter Vogl, and analysis upon which a request for corrected to read ‘‘bacitracin methylene Division of Workplace Programs, 5600 a hearing relies; and until November 6, disalicylate’’. Fishers Lane, Rockwall 2, Room 815, 2003, to submit supplemental NADAs. 8. On page 47336, in the third Rockville, Maryland 20857; 301–443– After publication of the NOOH, several column, in the eighth and ninth lines, 6014 (voice), 301–443–3031 (fax). errors were found by CVM and others. ‘‘35 FR 12490, August 5, 1970 SUPPLEMENTARY INFORMATION: The CVM is correcting these errors, but does (bacitracin zinc)’’ is corrected to read Mandatory Guidelines were developed not believe that these corrections alter ‘‘35 FR 11531, July 17, 1970, as in accordance with Executive Order the underlying basis of the NOOH. corrected by 35 FR 15408, October 2, 12564 and section 503 of Public Law 100–71. Subpart C of the Guidelines, II. Corrections 1970 (bacitracin methylene disalicylate)’’. ‘‘Certification of Laboratories Engaged In FR Doc. 03–20241, published 9. On page 47337 in table 6, and on in Urine Drug Testing for Federal August 8, 2003 (68 FR 47332), the page 47338 in table 7, in the first three Agencies,’’ sets strict standards that following corrections are made: column headings ‘‘Type A article in g/ laboratories must meet in order to
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conduct urine drug testing for Federal Laboratory Partnership, 245 Pall Mall St., MetroLab-Legacy Laboratory Services, 1225 agencies. To become certified, an London, ONT, Canada N6A 1P4. NE 2nd Ave., Portland, OR 97232, 503– applicant laboratory must undergo three General Medical Laboratories, 36 South 413–5295 / 800–950–5295. rounds of performance testing plus an Brooks St., Madison, WI 53715, 608–267– Minneapolis Veterans Affairs Medical Center, on-site inspection. 6225. Forensic Toxicology Laboratory, 1 Veterans Kroll Laboratory Specialists, Inc., 1111 Dr., Minneapolis, MN 55417, 612–725– To maintain that certification, a Newton St., Gretna, LA 70053, 504–361– 2088. laboratory must participate in a 8989 / 800–433–3823, (Formerly: National Toxicology Laboratories, Inc., 1100 quarterly performance testing program Laboratory Specialists, Inc.). California Ave., Bakersfield, CA 93304, plus periodic, on-site inspections. LabOne, Inc., 10101 Renner Blvd., Lenexa, 661–322–4250 / 800–350–3515. Laboratories which claim to be in the KS 66219, 913–888–3927 / 800–873–8845, Northwest Drug Testing, a division of NWT applicant stage of certification are not to (Formerly: Center for Laboratory Services, Inc., 1141 E. 3900 S., Salt Lake City, UT be considered as meeting the minimum a Division of LabOne, Inc.). 84124, 801–293–2300 / 800–322–3361, requirements expressed in the HHS Laboratory Corporation of America Holdings, (Formerly: NWT Drug Testing, NorthWest Mandatory Guidelines. A laboratory 7207 N. Gessner Rd., Houston, TX 77040, Toxicology, Inc.). must have its letter of certification from 713–856–8288 / 800–800–2387. One Source Toxicology Laboratory, Inc., 1705 HHS/SAMHSA (formerly: HHS/NIDA) Laboratory Corporation of America Holdings, Center St., Deer Park, TX 77536, 713–920– 69 First Ave., Raritan, NJ 08869, 908–526– 2559, (Formerly: University of Texas which attests that it has met minimum 2400 / 800–437–4986, (Formerly: Roche Medical Branch, Clinical Chemistry standards. Biomedical Laboratories, Inc.). Division; UTMB Pathology-Toxicology In accordance with Subpart C of the Laboratory Corporation of America Holdings, Laboratory). Mandatory Guidelines, the following 1904 Alexander Dr., Research Triangle Oregon Medical Laboratories, P.O. Box 972, laboratories meet the minimum Park, NC 27709, 919–572–6900 / 800–833– 722 East 11th Ave., Eugene, OR 97440– standards set forth in the Mandatory 3984, (Formerly: LabCorp Occupational 0972, 541–687–2134. Guidelines: Testing Services, Inc., CompuChem Pacific Toxicology Laboratories, 9348 DeSoto Laboratories, Inc.; CompuChem Ave., Chatsworth, CA 91311, 800–328– ACL Laboratories, 8901 W. Lincoln Ave., Laboratories, Inc., A Subsidiary of Roche 6942, (Formerly: Centinela Hospital West Allis, WI 53227, 414–328–7840 / Biomedical Laboratory; Roche Airport Toxicology Laboratory). 800–877–7016, (Formerly: Bayshore CompuChem Laboratories, Inc., A Member Pathology Associates Medical Laboratories, Clinical Laboratory). of the Roche Group). 110 West Cliff Dr., Spokane, WA 99204, ACM Medical Laboratory, Inc., 160 Elmgrove Laboratory Corporation of America Holdings, 509–755–8991 / 800–541–7891x8991. Park, Rochester, NY 14624, 585–429–2264. 10788 Roselle St., San Diego, CA 92121, Advanced Toxicology Network, 3560 Air PharmChem Laboratories, Inc., 4600 N. 800–882–7272, (Formerly: Poisonlab, Inc.). Beach, Haltom City, TX 76137, 817–605– Center Cove, Suite 101, Memphis, TN Laboratory Corporation of America Holdings, 38118, 901–794–5770 / 888–290–1150. 5300, (Formerly: PharmChem Laboratories, 1120 Stateline Rd. West, Southaven, MS Inc., Texas Division; Harris Medical Aegis Analytical Laboratories, Inc., 345 Hill 38671, 866–827–8042 / 800–233–6339, Ave., Nashville, TN 37210, 615–255–2400. Laboratory). (Formerly: LabCorp Occupational Testing Physicians Reference Laboratory, 7800 West Alliance Laboratory Services, 3200 Burnet Services, Inc.; MedExpress/National Ave., Cincinnati, OH 45229, 513–585– 110th St., Overland Park, KS 66210, 913– Laboratory Center). 339–0372 / 800–821–3627. 6870, (Formerly: Jewish Hospital of Marshfield Laboratories, Forensic Toxicology Cincinnati, Inc.). Quest Diagnostics Incorporated, 3175 Laboratory, 1000 North Oak Ave., Presidential Dr., Atlanta, GA 30340, 770– Baptist Medical Center—Toxicology Marshfield, WI 54449, 715–389–3734 / Laboratory, 9601 I–630, Exit 7, Little Rock, 452–1590 / 800–729–6432, (Formerly: 800–331–3734. SmithKline Beecham Clinical Laboratories; AR 72205–7299, 501–202–2783, (Formerly: MAXXAM Analytics Inc.*, 5540 McAdam Forensic Toxicology Laboratory Baptist SmithKline Bio-Science Laboratories). Rd., Mississauga, ON, Canada L4Z 1P1, Quest Diagnostics Incorporated, 4770 Regent Medical Center). 905–890–2555, (Formerly: NOVAMANN Clinical Reference Lab, 8433 Quivira Rd., Blvd., Irving, TX 75063, 800–824–6152, (Ontario) Inc.). (Moved from the Dallas location on 03/31/ Lenexa, KS 66215–2802, 800–445–6917. MedTox Laboratories, Inc., 402 W. County Diagnostic Services Inc., dba DSI, 12700 01; Formerly: SmithKline Beecham Rd. D, St. Paul, MN 55112, 651–636–7466 Clinical Laboratories; SmithKline Bio- Westlinks Dr., Fort Myers, FL 33913, 239– / 800–832–3244. 561–8200 / 800–735–5416. Science Laboratories). Doctors Laboratory, Inc., P.O. Box 2658, 2906 Quest Diagnostics Incorporated, 4230 South Julia Dr., Valdosta, GA 31602, 912–244– Substance Abuse (LAPSA) effective May 12, 1998. Burnham Ave., Suite 250, Las Vegas, NV 4468. Laboratories certified through that program were 89119–5412, 702–733–7866 / 800–433– DrugProof, Division of Dynacare/Laboratory accredited to conduct forensic urine drug testing as 2750, (Formerly: Associated Pathologists required by U.S. Department of Transportation Laboratories, Inc.). of Pathology, LLC, 1229 Madison St., Suite (DOT) regulations. As of that date, the certification 500, Nordstrom Medical Tower, Seattle, of those accredited Canadian laboratories will Quest Diagnostics Incorporated, 400 Egypt WA 98104, 206–386–2661 / 800–898–0180, continue under DOT authority. The responsibility Rd., Norristown, PA 19403, 610–631–4600 (Formerly: Laboratory of Pathology of for conducting quarterly performance testing plus / 877–642–2216, (Formerly: SmithKline Seattle, Inc., DrugProof, Division of periodic on-site inspections of those LAPSA- Beecham Clinical Laboratories; SmithKline Laboratory of Pathology of Seattle, Inc.). accredited laboratories was transferred to the U.S. Bio-Science Laboratories). DrugScan, Inc., P.O. Box 2969, 1119 Mearns HHS, with the HHS’ NLCP contractor continuing to Quest Diagnostics Incorporated, 506 E. State Rd., Warminster, PA 18974, 215–674–9310. have an active role in the performance testing and Pkwy., Schaumburg, IL 60173, 800–669– laboratory inspection processes. Other Canadian Dynacare Kasper Medical Laboratories*, laboratories wishing to be considered for the NLCP 6995 / 847–885–2010, (Formerly: 10150–102 St., Suite 200, Edmonton, may apply directly to the NLCP contractor just as SmithKline Beecham Clinical Laboratories; Alberta, Canada TJ5 5E2, 780–451–3702 / U.S. laboratories do. International Toxicology Laboratories). 800–661–9876. Upon finding a Canadian laboratory to be Quest Diagnostics Incorporated, 7600 Tyrone ElSohly Laboratories, Inc., 5 Industrial Park qualified, HHS will recommend that DOT certify Ave., Van Nuys, CA 91405, 818–989–2520 Dr., Oxford, MS 38655, 662–236–2609. the laboratory (Federal Register, July 16, 1996) as / 800–877–2520, (Formerly: SmithKline Express Analytical Labs, 3405 7th Ave., Suite meeting the minimum standards of the Mandatory Beecham Clinical Laboratories). 106, Marion, IA 52302, 319–377–0500. Guidelines published in the Federal Register on Scientific Testing Laboratories, Inc., 450 Gamma-Dynacare Medical Laboratories*, A June 9, 1994 (59 FR 22908) and on September 30, Southlake Blvd., Richmond, VA 23236, 1997 (62 FR 51118). After receiving DOT Division of the Gamma-Dynacare certification, the laboratory will be included in the 804–378–9130. monthly list of HHS certified laboratories and Sciteck Clinical Laboratories, Inc., 317 * The Standards Council of Canada (SCC) voted participate in the NLCP certification maintenance Rutledge Rd., Fletcher, NC 28732, 828– to end its Laboratory Accreditation Program for program. 650–0409.
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S.E.D. Medical Laboratories, 5601 Office Interdependencies and Risk Assessment SUPPLEMENTARY INFORMATION: Notice is Blvd., Albuquerque, NM 87109, 505–727– Guidance and Regulatory Guidance, hereby given that, in a letter dated 6300 / 800–999–5227. respectively. In addition, the Council September 23, 2003, the President South Bend Medical Foundation, Inc., 530 N. will receive status briefings on the declared a major disaster under the Lafayette Blvd., South Bend, IN 46601, 574–234–4176 x276. continuing activities of its working authority of the Robert T. Stafford Southwest Laboratories, 2727 W. Baseline groups on Vulnerability Disclosure Disaster Relief and Emergency Rd., Tempe, AZ 85283, 602–438–8507 / Guidelines and the Evaluation and Assistance Act, 42 U.S.C. 5121–5206 800–279–0027. Enhancement of Information Sharing (the Stafford Act), as follows: Sparrow Health System, Toxicology Testing and Analysis. Copies of briefing I have determined that the damage in Center, St. Lawrence Campus, 1210 W. materials to be used during the meeting certain areas of the State of Delaware Saginaw, Lansing, MI 48915, 517–377– will be posted on the Meeting resulting from Tropical Storm Henri on 0520, (Formerly: St. Lawrence Hospital & information section of the Council’s September 15, 2003, is of sufficient severity Healthcare System). and magnitude to warrant a major disaster St. Anthony Hospital Toxicology Laboratory, Web site at http://www.dhs.gov/ declaration under the Robert T. Stafford 1000 N. Lee St., Oklahoma City, OK 73101, dhspublic/ Disaster Relief and Emergency Assistance 405–272–7052. display?theme=9&content=1795 in Act, 42 U.S.C. 5121–5206 (the Stafford Act). Sure-Test Laboratories, Inc., 2900 Broad advance of the meeting. I, therefore, declare that such a major disaster Ave., Memphis, TN 38112, 901–474–6026. Written comments may be submitted exists in the State of Delaware. Toxicology & Drug Monitoring Laboratory, at any time before or after the meeting. In order to provide Federal assistance, you University of Missouri Hospital & Clinics, However, to facilitate distribution of are hereby authorized to allocate from funds 2703 Clark Lane, Suite B, Lower Level, public presentation materials to Council Columbia, MO 65202, 573–882–1273. available for these purposes, such amounts as Toxicology Testing Service, Inc., 5426 N.W. members, the Council suggests that you find necessary for Federal disaster 79th Ave., Miami, FL 33166, 305–593– presenters forward the public assistance and administrative expenses. 2260. presentation materials, ten days priors You are authorized to provide Individual US Army Forensic Toxicology Drug Testing to the meeting date, to the following Assistance and Public Assistance in the Laboratory, 2490 Wilson St., Fort George G. address: Mr. Eric T. Werner, Directorate designated areas, and Hazard Mitigation Meade, MD 20755–5235, 301–677–7085. throughout the State. Consistent with the of Information Analysis and requirement that Federal assistance be Anna Marsh, Infrastructure Protection, U.S. supplemental, any Federal funds provided Department of Homeland Security, 14th Acting Executive Officer, SAMHSA. under the Stafford Act for Public Assistance, Street & Constitution Avenue, NW., Hazard Mitigation, and the Other Needs [FR Doc. 03–25328 Filed 10–6–03; 8:45 am] Room 6703, Washington, DC 20230. Assistance under Section 408 of the Stafford BILLING CODE 4160–20–P For more information about the NIAC Act will be limited to 75 percent of the total or this meeting, please refer to the eligible costs. Council’s web site or contact Eric Further, you are authorized to make DEPARTMENT OF HOMELAND Werner at (202) 482–7470. changes to this declaration to the extent SECURITY allowable under the Stafford Act. Dated: September 29, 2003 The time period prescribed for the Directorate of Information Analysis Eric T. Werner, implementation of section 310(a), and Infrastructure Protection; National Council Liaison Officer. Priority to Certain Applications for Infrastructure Advisory Council [FR Doc. 03–25516 Filed 10–3–03; 1:50 pm] Public Facility and Public Housing Notice of Open Meeting BILLING CODE 4410–10–M Assistance, 42 U.S.C. 5153, shall be for a period not to exceed six months after The National Infrastructure Advisory the date of this declaration. Council (NIAC) will meet on Tuesday, DEPARTMENT OF HOMELAND The Federal Emergency Management October 14, 2003, from 2 p.m. until 4 SECURITY Agency (FEMA) hereby gives notice that p.m. EDT. The meeting, which will be pursuant to the authority vested in the held telephonically, will be open to the Federal Emergency Management Agency Under Secretary for Emergency public via a ‘‘listen only’’ telephone Preparedness and Response, Department bridge. The number of lines is limited of Homeland Security, under Executive and will be available on a ‘‘first-come, [FEMA–1495–DR] Order 12148, as amended, Michael J. first-served’’ basis. Members of the Hall, of FEMA is appointed to act as the public interested in attending by Delaware; Major Disaster and Related Determinations Federal Coordinating Officer for this telephone should call (roll free) 1–877– declared disaster. 888–4034 and notify the operator that AGENCY: Federal Emergency I do hereby determine the following they are calling for the NIAC Management Agency, Emergency area of the State of Delaware to have conference. Preparedness and Response Directorate, been affected adversely by this declared The Council advises the President of Department of Homeland Security. major disaster: the United States on the security of information systems for critical ACTION: Notice. New Castle County for Individual infrastructure supporting other sectors Assistance and Public Assistance. SUMMARY: This is a notice of the of the economy, including banking and Presidential declaration of a major All counties within the State of finance, transportation, energy, disaster for the State of Delaware Delaware are eligible to apply for manufacturing, and emergency (FEMA–1495–DR), dated September 23, assistance under the Hazard Mitigation government services. 2003, and related determinations. Grant Program. Summary of Agenda EFFECTIVE DATE: September 23, 2003. (The following Catalog of Federal Domestic Assistance Numbers (CFDA) are to be used At this meeting, the Council will FOR FURTHER INFORMATION CONTACT: for reporting and drawing funds: 83.537, receive the findings and propose Magda Ruiz, Recovery Division, Federal Community Disaster Loans; 83.538, Cora recommendations developed by its Emergency Management Agency, Brown Fund Program; 83.539, Crisis working groups on Cross Sector Washington, DC 20472, (202) 646–2705. Counseling; 83.540, Disaster Legal Services
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Program; 83.541, Disaster Unemployment Grants; 83.548, Hazard Mitigation Grant Grants; 83.548, Hazard Mitigation Grant Assistance (DUA); 83.556, Fire Management Program.) Program.) Assistance; 83.558, Individual and Household Housing; 83.559, Individual and Michael D. Brown, Michael D. Brown, Household Disaster Housing Operations; Under Secretary, Emergency Preparedness Under Secretary, Emergency Preparedness 83.560 Individual and Household Program— and Response, Department of Homeland and Response, Department of Homeland Other Needs, 83.544, Public Assistance Security. Security. Grants; 83.548, Hazard Mitigation Grant [FR Doc. 03–25363 Filed 10–6–03; 8:45 am] [FR Doc. 03–25347 Filed 10–6–03; 8:45 am] Program.) BILLING CODE 6718–02–P BILLING CODE 6718–02–P Michael D. Brown, Under Secretary, Emergency Preparedness DEPARTMENT OF HOMELAND and Response, Department of Homeland DEPARTMENT OF HOMELAND SECURITY Security. SECURITY [FR Doc. 03–25348 Filed 10–6–03; 8:45 am] Federal Emergency Management BILLING CODE 6718–02–P Federal Emergency Management Agency Agency [FEMA–1476–DR] DEPARTMENT OF HOMELAND [FEMA–1493–DR] SECURITY Indiana; Amendment No. 9 to Notice of District of Columbia; Amendment No. 1 a Major Disaster Declaration Federal Emergency Management to Notice of a Major Disaster Agency AGENCY: Federal Emergency Declaration Management Agency, Emergency [FEMA–1494–DR] Preparedness and Response Directorate, AGENCY: Federal Emergency Department of Homeland Security. Management Agency, Emergency Delaware; Amendment No. 1 to Notice ACTION: Notice. of a Major Disaster Declaration Preparedness and Response Directorate, Department of Homeland Security. SUMMARY: This notice amends the notice AGENCY: Federal Emergency of a major disaster declaration for the ACTION: Notice. Management Agency, Emergency State of Indiana (FEMA–1476–DR), Preparedness and Response Directorate, dated July 11, 2003, and related SUMMARY: Department of Homeland Security. This notice amends the notice determinations. ACTION: Notice. of a major disaster declaration for the District of Columbia (FEMA–1493–DR), EFFECTIVE DATE: September 24, 2003. SUMMARY: This notice amends the notice datedSeptember 20, 2003, and related FOR FURTHER INFORMATION CONTACT: of a major disaster declaration for the determinations. Magda Ruiz, Recovery Division, Federal State of Delaware (FEMA–1494–DR), Emergency Management Agency, dated September 20, 2003, and related EFFECTIVE DATE: September 26, 2003. Washington, DC 20472, (202) 646–2705. determinations. FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: The notice EFFECTIVE DATE: September 26, 2003. Magda Ruiz, Recovery Division, Federal of a major disaster declaration for the FOR FURTHER INFORMATION CONTACT: Emergency Management Agency, State of Indiana is hereby amended to Magda Ruiz, Recovery Division, Federal Washington, DC 20472, (202) 646–2705. include the following area among those Emergency Management Agency, areas determined to have been adversely Washington, DC 20472, (202) 646–2705. SUPPLEMENTARY INFORMATION: The notice affected by the catastrophe declared a of a major disaster declaration for the SUPPLEMENTARY INFORMATION: The notice major disaster by the President in his District of Columbia is hereby amended of a major disaster declaration for the declaration of July 11, 2003: to include the Hazard Mitigation Grant State of Delaware is hereby amended to Madison County for Public Assistance include the Hazard Mitigation Grant Program for the District of Columbia (already designated for Individual Program for the following areas among determined to have been adversely Assistance.) those areas determined to have been affected by the catastrophe declared a (The following Catalog of Federal Domestic adversely affected by the catastrophe major disaster by the President in his Assistance Numbers (CFDA) are to be used declared a major disaster by the declaration of September 20, 2003: for reporting and drawing funds: 83.537, Community Disaster Loans; 83.538, Cora President in his declaration of The District of Columbia is eligible to Brown Fund Program; 83.539, Crisis September 20, 2003: apply for assistance under the Hazard Counseling; 83.540, Disaster Legal Services All counties in the State of Delaware are Mitigation Grant Program. Program; 83.541, Disaster Unemployment eligible to apply for assistance under the (The following Catalog of Federal Domestic Assistance (DUA); 83.556, Fire Management Hazard Mitigation Grant Program. Assistance Numbers (CFDA) are to be used Assistance; 83.558, Individual and (The following Catalog of Federal Domestic for reporting and drawing funds: 83.537, Household Housing; 83.559, Individual and Assistance Numbers (CFDA) are to be used Community Disaster Loans; 83.538, Cora Household Disaster Housing Operations; 83.560 Individual and Household Program— for reporting and drawing funds: 83.537, Brown Fund Program; 83.539, Crisis Other Needs, 83.544, Public Assistance Community Disaster Loans; 83.538, Cora Counseling; 83.540, Disaster Legal Services Brown Fund Program; 83.539, Crisis Grants; 83.548, Hazard Mitigation Grant Program; 83.541, Disaster Unemployment Program.) Counseling; 83.540, Disaster Legal Services Assistance (DUA); 83.556, Fire Management Program; 83.541, Disaster Unemployment Assistance; 83.558, Individual and Michael D. Brown, Assistance (DUA); 83.556, Fire Management Under Secretary, Emergency Preparedness Assistance; 83.558, Individual and Household Housing; 83.559, Individual and and Response, Department of Homeland Household Housing; 83.559, Individual and Household Disaster Housing Operations; Security. Household Disaster Housing Operations; 83.560 Individual and Household Program— 83.560 Individual and Household Program- Other Needs, 83.544, Public Assistance [FR Doc. 03–25353 Filed 10–6–03; 8:45 am] Other Needs, 83.544, Public Assistance BILLING CODE 6718–02–P
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DEPARTMENT OF HOMELAND pursuant to the authority vested in the September 23, 2003, the President SECURITY Under Secretary for Emergency declared an emergency declaration Preparedness and Response, Department under the authority of the Robert T. Federal Emergency Management of Homeland Security, under Executive Stafford Disaster Relief and Emergency Agency Order 12148, as amended, Ron Assistance Act, 42 U.S.C. 5121–5206 [FEMA–3189–EM] Sherman, of FEMA is appointed to act (Stafford Act), as follows: as the Federal Coordinating Officer for I have determined that the emergency Michigan; Emergency and Related this declared emergency. conditions in certain areas of the State of Determinations I do hereby determine the following New Jersey, resulting from a power outage on areas of the State of Michigan to have August 14–16, 2003, are of sufficient severity AGENCY: Federal Emergency been affected adversely by this declared and magnitude to warrant an emergency Management Agency, Emergency emergency: declaration under the Robert T. Stafford Preparedness and Response Directorate, Disaster Relief and Emergency Assistance Department of Homeland Security. Calhoun, Eaton, Genesee, Hillsdale, Act, 42 U.S.C. 5121–5206 (Stafford Act). I, Ingham, Kalamazoo, Lapeer, Livingston, ACTION: Notice. therefore, declare that such an emergency Macomb, Monroe, Oakland, St. Clair, exists in the State of New Jersey. SUMMARY: This is a notice of the Washtenaw, and Wayne Counties for You are authorized to provide appropriate Presidential declaration of an emergency protective measures (Category B) assistance for required emergency measures, under the Public Assistance program. emergency for the State of Michigan authorized under Title V of the Stafford Act (FEMA–3189–EM), dated September 23, (The following Catalog of Federal Domestic to save lives, protect property and public Assistance Numbers (CFDA) are to be used health and safety, or to lessen or avert the 2003, and related determinations. for reporting and drawing funds: 83.537, threat of a catastrophe in the designated EFFECTIVE DATE: September 23, 2003. Community Disaster Loans; 83.538, Cora areas. Specifically, you are authorized to FOR FURTHER INFORMATION CONTACT: Brown Fund Program; 83.539, Crisis provide emergency protective measures Magda Ruiz, Recovery Division, Federal Counseling; 83.540, Disaster Legal Services (Category B) under the Public Assistance Emergency Management Agency, Program; 83.541, Disaster Unemployment program at 75 percent Federal funding. This Washington, DC 20472, (202) 646–2705. Assistance (DUA); 83.556, Fire Management assistance excludes regular time costs for Assistance; 83.558, Individual and subgrantees’ regular employees. In addition, SUPPLEMENTARY INFORMATION: Notice is Household Housing; 83.559, Individual and you are authorized to provide such other hereby given that, in a letter dated Household Disaster Housing Operations; forms of assistance under Title V of the September 23, 2003, the President 83.560 Individual and Household Program— Stafford Act as you may deem appropriate. declared an emergency declaration Other Needs, 83.544, Public Assistance In order to provide Federal assistance, you under the authority of the Robert T. Grants; 83.548, Hazard Mitigation Grant are hereby authorized to allocate from funds Stafford Disaster Relief and Emergency Program.) available for these purposes, such amounts as you find necessary for Federal disaster Assistance Act, 42 U.S.C. 5121–5206 Michael D. Brown, (Stafford Act), as follows: assistance and administrative expenses. Under Secretary, Emergency Preparedness However, pursuant to 42 U.S.C. 5193 (b) (1), I have determined that the emergency and Response, Department of Homeland Federal assistance under this declaration will conditions in certain areas of the State of Security. not exceed $5 million. Michigan, resulting from a severe power [FR Doc. 03–25352 Filed 10–6–03; 8:45 am] Further, you are authorized to make outage on August 14–17, 2003, are of BILLING CODE 6718–02–P changes to this declaration to the extent sufficient severity and magnitude to warrant allowable under the Stafford Act. an emergency declaration under the Robert T. Stafford Disaster Relief and Emergency The Federal Emergency Management Assistance Act, 42 U.S.C. 5121–5206 DEPARTMENT OF HOMELAND Agency (FEMA) hereby gives notice that (Stafford Act). I, therefore, declare that such SECURITY pursuant to the authority vested in the an emergency exists in the State of Michigan. Under Secretary for Emergency You are authorized to provide appropriate Federal Emergency Management Preparedness and Response, Department assistance for required emergency measures, Agency of Homeland Security, under Executive authorized under Title V of the Stafford Act to save lives, protect property and public [FEMA–3188–EM] Order 12148, as amended, Justo health and safety, or to lessen or avert the Hernandez, of FEMA is appointed to act threat of a catastrophe in the designated New Jersey; Emergency and Related as the Federal Coordinating Officer for areas. Specifically, you are authorized to Determinations this declared emergency. provide emergency protective measures I do hereby determine the following (Category B) under the Public Assistance AGENCY: Federal Emergency areas of the State of New Jersey to have program at 75 percent Federal funding. This Management Agency, Emergency been affected adversely by this declared assistance excludes regular time costs for Preparedness and Response Directorate, emergency: subgrantees’ regular employees. In addition, Department of Homeland Security. you are authorized to provide such other Bergen, Essex, Hudson, Passaic, and Union forms of assistance under Title V of the ACTION: Notice. Counties for emergency protective measures Stafford Act as you may deem appropriate. (Category B) under the Public Assistance SUMMARY: In order to provide Federal assistance, you This is a notice of the program. are hereby authorized to allocate from funds Presidential declaration of an (The following Catalog of Federal Domestic available for these purposes, such amounts as emergency for the State of New Jersey Assistance Numbers (CFDA) are to be used you find necessary for Federal disaster (FEMA–3188-EM), dated September 23, for reporting and drawing funds: 83.537, assistance and administrative expenses. 2003, and related determinations. Community Disaster Loans; 83.538, Cora However, pursuant to 42 U.S.C. 5193(b)(1), EFFECTIVE DATE: September 23, 2003. Brown Fund Program; 83.539, Crisis Federal assistance under this declaration will Counseling; 83.540, Disaster Legal Services not exceed $5 million. FOR FURTHER INFORMATION CONTACT: Further, you are authorized to make Magda Ruiz, Recovery Division, Federal Program; 83.541, Disaster Unemployment changes to this declaration to the extent Emergency Management Agency, Assistance (DUA); 83.556, Fire Management allowable under the Stafford Act. Assistance; 83.558, Individual and Washington, DC 20472, (202) 646–2705. Household Housing; 83.559, Individual and The Federal Emergency Management SUPPLEMENTARY INFORMATION: Notice is Household Disaster Housing Operations; Agency (FEMA) hereby gives notice that hereby given that, in a letter dated 83.560 Individual and Household Program-
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Other Needs, 83.544, Public Assistance that Federal assistance be supplemental, any DEPARTMENT OF HOMELAND Grants; 83.548, Hazard Mitigation Grant Federal funds provided under the Stafford SECURITY Program.) Act for Public Assistance and the Other Michael D. Brown, Needs Assistance under section 408 of the Federal Emergency Management Stafford Act will be limited to 75 percent of Under Secretary, Emergency Preparedness Agency and Response, Department of Homeland the total eligible costs. Security. Further, you are authorized to make changes to this declaration to the extent [FEMA–1490–DR] [FR Doc. 03–25351 Filed 10–6–03; 8:45 am] allowable under the Stafford Act. BILLING CODE 6718–02–P The time period prescribed for the North Carolina; Amendment No. 1 to implementation of section 310(a), Notice of a Major Disaster Declaration DEPARTMENT OF HOMELAND Priority to Certain Applications for AGENCY: Federal Emergency SECURITY Public Facility and Public Housing Assistance, 42 U.S.C. 5153, shall be for Management Agency, Emergency Federal Emergency Management a period not to exceed six months after Preparedness and Response Directorate, Agency the date of this declaration. Department of Homeland Security. [FEMA–1490–DR] The Federal Emergency Management ACTION: Notice. Agency (FEMA) hereby gives notice that pursuant to the authority vested in the North Carolina; Major Disaster and SUMMARY: This notice amends the notice Under Secretary for Emergency Related Determinations of a major disaster declaration for the Preparedness and Response, Department State of North Carolina (FEMA–1490– AGENCY: Federal Emergency of Homeland Security, under Executive DR), dated September 18, 2003, and Management Agency, Emergency Order 12148, as amended, Gracia Preparedness and Response Directorate, Szczech of FEMA is appointed to act as related determinations. Department of Homeland Security. the Federal Coordinating Officer for this EFFECTIVE DATE: September 20, 2003. ACTION: Notice. declared disaster. I do hereby determine the following FOR FURTHER INFORMATION CONTACT: SUMMARY: This is a notice of the areas of the State of North Carolina to Magda Ruiz, Recovery Division, Federal Presidential declaration of a major have been affected adversely by this Emergency Management Agency, disaster for the State of North Carolina declared major disaster: Washington, DC 20472, (202) 646–2705. (FEMA–1490–DR), dated September 18, 2003, and related determinations. Individual Assistance, including direct SUPPLEMENTARY INFORMATION: The notice Federal assistance is authorized for Beaufort, EFFECTIVE DATE: September 18, 2003. of a major disaster declaration for the Bertie, Brunswick, Camden, Carteret, State of North Carolina is hereby FOR FURTHER INFORMATION CONTACT: Chowan, Craven, Currituck, Dare, amended to include the Hazard Magda Ruiz, Recovery Division, Federal Edgecombe, Gates, Halifax, Hertford, Hyde, Emergency Management Agency, Jones, Martin, New Hanover, Northampton, Mitigation Grant Program for the Washington, DC 20472, (202) 646–2705. Onslow, Pamlico, Pasquotank, Pender, following areas among those areas determined to have been adversely SUPPLEMENTARY INFORMATION: Notice is Perquimans, Pitt, Tyrrell and Washington hereby given that, in a letter dated Counties. affected by the catastrophe declared a Debris removal (Category A) and September 18, 2003, the President major disaster by the President in his emergency protective measures (Category B), declaration of September 18, 2003: declared a major disaster under the including direct Federal assistance under the authority of the Robert T. Stafford Public Assistance program for Beaufort, All counties in the State of North Carolina Disaster Relief and Emergency Bertie, Brunswick, Camden, Carteret, and the Eastern Band of Cherokee Indians are Assistance Act, 42 U.S.C. §§ 5121–5206 Chowan, Craven, Currituck, Dare, eligible to apply for assistance under the (the Stafford Act), as follows: Edgecombe, Gates, Halifax, Hertford, Hyde, Hazard Mitigation Grant Program. Jones, Martin, New Hanover, Northampton, I have determined that the damage in (The following Catalog of Federal Domestic Onslow, Pamlico, Pasquotank, Pender, certain areas of the State of North Carolina Assistance Numbers (CFDA) are to be used Perquimans, Pitt, Tyrrell and Washington resulting from Hurricane Isabel on September Counties. for reporting and drawing funds: 83.537, 18, 2003, and continuing, is of sufficient Community Disaster Loans; 83.538, Cora (The following Catalog of Federal Domestic severity and magnitude to warrant a major Brown Fund Program; 83.539, Crisis disaster declaration under the Robert T. Assistance Numbers (CFDA) are to be used for reporting and drawing funds: 83.537, Counseling; 83.540, Disaster Legal Services Stafford Disaster Relief and Emergency Program; 83.541, Disaster Unemployment Assistance Act, 42 U.S.C. 5121–5206 (the Community Disaster Loans; 83.538, Cora Assistance (DUA); 83.556, Fire Stafford Act). I, therefore, declare that such Brown Fund Program; 83.539, Crisis a major disaster exists in the State of North Counseling; 83.540, Disaster Legal Services Management Assistance; 83.558, Carolina. Program; 83.541, Disaster Unemployment Individual and Household Housing; In order to provide Federal assistance, you Assistance (DUA); 83.556, Fire Management 83.559, Individual and Household Disaster are hereby authorized to allocate from funds Assistance; 83.558, Individual and Housing Operations; 83.560 Individual and available for these purposes, such amounts as Household Housing; 83.559, Individual and Household Program—Other Needs, 83.544, you find necessary for Federal disaster Household Disaster Housing Operations; Public Assistance Grants; 83.548, Hazard 83.560 Individual and Household Program— assistance and administrative expenses. Mitigation Grant Program.) You are authorized to provide Individual Other Needs; 83.544, Public Assistance Grants; 83.548, Hazard Mitigation Grant Assistance and assistance for debris removal Michael D. Brown, (Category A) and emergency protective Program.) Under Secretary, Emergency Preparedness measures (Category B), under the Public Michael D. Brown, Assistance program in the designated areas, and Response, Department of Homeland and any other forms of assistance under the Under Secretary, Emergency Preparedness Security. Stafford Act you may deem appropriate and Response, Department of Homeland [FR Doc. 03–25356 Filed 10–6–03; 8:45 am] Security. subject to completion of Preliminary Damage BILLING CODE 6718–02–P Assessments. Direct Federal assistance is [FR Doc. 03–25355 Filed 10–6–03; 8:45 am] authorized. Consistent with the requirement BILLING CODE 6718–02–P
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DEPARTMENT OF HOMELAND SUMMARY: This is a notice of the The following (The following Catalog of SECURITY Presidential declaration of an Federal Domestic Assistance Numbers emergency for the State of Ohio (FEMA– (CFDA) are to be used for reporting and Federal Emergency Management 3187-EM), dated September 23, 2003, drawing funds: 83.537, Community Disaster Agency Loans; 83.538, Cora Brown Fund Program; and related determinations. 83.539, Crisis Counseling; 83.540, Disaster EFFECTIVE DATE: [FEMA–1490–DR] September 23, 2003. Legal Services Program; 83.541, Disaster FOR FURTHER INFORMATION CONTACT: Unemployment Assistance (DUA); 83.556, North Carolina; Amendment No. 2 to Magda Ruiz, Recovery Division, Federal Fire Management Assistance; 83.558, Notice of a Major Disaster Declaration Emergency Management Agency, Individual and Household Housing; 83.559, Washington, DC 20472, (202) 646–2705. Individual and Household Disaster Housing AGENCY: Operations; 83.560 Individual and Federal Emergency SUPPLEMENTARY INFORMATION: Notice is Management Agency, Emergency Household Program-Other Needs, 83.544, hereby given that, in a letter dated Public Assistance Grants; 83.548, Hazard Preparedness and Response Directorate, September 23, 2003, the President Department of Homeland Security. Mitigation Grant Program.) declared an emergency declaration Michael D. Brown, ACTION: Notice. under the authority of the Robert T. Under Secretary, Emergency Preparedness Stafford Disaster Relief and Emergency SUMMARY: This notice amends the notice and Response, Department of Homeland Assistance Act, 42 U.S.C. 5121–5206 of a major disaster for the State of North Security. (Stafford Act), as follows: Carolina (FEMA–1490–DR), dated [FR Doc. 03–25350 Filed 10–6–03; 8:45 am] September 18, 2003, and related I have determined that the emergency BILLING CODE 6718–02–P determinations. conditions in certain areas of the State of Ohio, resulting from a severe, statewide EFFECTIVE DATE: September 26, 2003. power outage on August 14–17, 2003, are of DEPARTMENT OF HOMELAND FOR FURTHER INFORMATION CONTACT: sufficient severity and magnitude to warrant SECURITY Magda Ruiz, Recovery Division, Federal an emergency declaration under the Robert T. Stafford Disaster Relief and Emergency Emergency Management Agency, Federal Emergency Management Assistance Act, 42 U.S.C. §§ 5121–5206 Agency Washington, DC 20472, (202) 646–2705. (Stafford Act). I, therefore, declare that such SUPPLEMENTARY INFORMATION: Notice is an emergency exists in the State of Ohio. [FEMA–1491–DR] hereby given that the incident period for You are authorized to provide appropriate this disaster is closed effective assistance for required emergency measures, Virginia; Amendment No. 3 to Notice of September 26, 2003. authorized under Title V of the Stafford Act a Major Disaster Declaration to save lives, protect property and public (The following Catalog of Federal Domestic health and safety, or to lessen or avert the AGENCY: Federal Emergency Assistance Numbers (CFDA) are to be used threat of a catastrophe in the designated Management Agency, Emergency for reporting and drawing funds: 83.537, areas. Specifically, you are authorized to Preparedness and Response Directorate, Community Disaster Loans; 83.538, Cora provide emergency protective measures Department of Homeland Security. Brown Fund Program; 83.539, Crisis (Category B) under the Public Assistance Counseling; 83.540, Disaster Legal Services program at 75 percent Federal funding. This ACTION: Notice. Program; 83.541, Disaster Unemployment assistance excludes regular time costs for Assistance (DUA); 83.556, Fire Management subgrantees’ regular employees. In addition, SUMMARY: This notice amends the notice Assistance; 83.558, Individual and you are authorized to provide such other of a major disaster declaration for the Household Housing; 83.559, Individual and forms of assistance under Title V of the Commonwealth of Virginia (FEMA– Household Disaster Housing Operations; Stafford Act as you may deem appropriate. 1491–DR), dated September 18, 2003, 83.560, Individual and Household Program- In order to provide Federal assistance, you and related determinations. Other Needs, 83.544, Public Assistance are hereby authorized to allocate from funds EFFECTIVE DATE: September 22, 2003. Grants; 83.548, Hazard Mitigation Grant available for these purposes, such amounts as Program.) you find necessary for Federal disaster FOR FURTHER INFORMATION CONTACT: Michael D. Brown, assistance and administrative expenses. Magda Ruiz, Recovery Division, Federal However, pursuant to 42 U.S.C. 5193 (b) (1), Under Secretary, Emergency Preparedness Emergency Management Agency, Federal assistance under this declaration will and Response, Department of Homeland Washington, DC 20472, (202) 646–2705. not exceed $5 million. Security. SUPPLEMENTARY INFORMATION: The notice Further, you are authorized to make [FR Doc. 03–25357 Filed 10–6–03; 8:45 am] changes to this declaration to the extent of a major disaster declaration for the BILLING CODE 6718–02–P allowable under the Stafford Act. Commonwealth of Virginia is hereby amended to include the following areas The Federal Emergency Management among those areas determined to have DEPARTMENT OF HOMELAND Agency (FEMA) hereby gives notice that been adversely affected by the SECURITY pursuant to the authority vested in the catastrophe declared a major disaster by Under Secretary for Emergency the President in his declaration of Federal Emergency Management Preparedness and Response, Department September 18, 2003: Agency of Homeland Security, under Executive Order 12148, as amended, Ron The Independent Cities of Bedford, Buena [FEMA–3187–EM] Sherman, of FEMA is appointed to act Vista, Charlottesville, Fredericksburg, as the Federal Coordinating Officer for Harrisonburg, Lynchburg, Manassas, Ohio; Emergency and Related this declared emergency. Manassas Park, and Winchester, and the Determinations I do hereby determine the following counties of Albemarle, Amelia, Amherst, Appomattox, Bedford, Buckingham, AGENCY: Federal Emergency area of the State of Ohio to have been affected adversely by this declared Campbell, Charlotte, Clarke, Culpeper, Management Agency, Emergency Cumberland, Dinwiddie, Fauquier, Frederick, Preparedness and Response Directorate, emergency: Greene, Halifax, Hanover, King George, King Department of Homeland Security. Cuyahoga County for emergency protective William, King and Queen, Louisa, Loudoun, ACTION: Notice. measures (Category B) under the Public Lunenburg, Madison, Nelson, New Kent, Assistance program. Nottoway, Pittsylvania, Powhatan, Prince
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Edward, Rappahannock, Rockingham, of Charles City, Gloucester, Lancaster, resulting from Hurricane Isabel on September Shenandoah, and Warren for Individual Mathews, Middlesex, Northumberland, 18, 2003, and continuing, is of sufficient Assistance, including direct Federal Prince George, Richmond, and Westmoreland severity and magnitude to warrant a major assistance, and debris removal (Category A) for Categories C through G under the Public disaster declaration under the Robert T. and emergency protective measures (Category Assistance program (already designated for Stafford Disaster Relief and Emergency B), under the Public Assistance program, Categories A and B, including direct Federal Assistance Act, 42 U.S.C. 5121–5206 (the including direct Federal assistance. assistance, and Individual Assistance, Stafford Act). I, therefore, declare that such including direct Federal assistance.) a major disaster exists in the State of West (The following Catalog of Federal Domestic All Independent Cities and counties in the Virginia. Assistance Numbers (CFDA) are to be used Commonwealth of Virginia are eligible to for reporting and drawing funds: 83.537, apply for assistance under the Hazard In order to provide Federal assistance, you Community Disaster Loans; 83.538, Cora Mitigation Grant Program. are hereby authorized to allocate from funds available for these purposes, such amounts as Brown Fund Program; 83.539, Crisis (The following Catalog of Federal Domestic you find necessary for Federal disaster Counseling; 83.540, Disaster Legal Services Assistance Numbers (CFDA) are to be used assistance and administrative expenses. Program; 83.541, Disaster Unemployment for reporting and drawing funds: 83.537, Assistance (DUA); 83.556, Fire Management Community Disaster Loans; 83.538, Cora You are authorized to provide assistance Assistance; 83.558, Individual and Brown Fund Program; 83.539, Crisis for debris removal (Category A) and Household Housing; 83.559, Individual and Counseling; 83.540, Disaster Legal Services emergency protective measures (Category B), Household Disaster Housing Operations; Program; 83.541, Disaster Unemployment under the Public Assistance program in the 83.560 Individual and Household Program- Assistance (DUA); 83.556, Fire Management designated areas, and any other forms of Other Needs, 83.544, Public Assistance Assistance; 83.558, Individual and assistance under the Stafford Act you may Grants; 83.548, Hazard Mitigation Grant Household Housing; 83.559, Individual and deem appropriate subject to completion of Program.) Household Disaster Housing Operations; Preliminary Damage Assessments. Consistent Michael D. Brown, 83.560 Individual and Household Program— with the requirement that Federal assistance Under Secretary, Emergency Preparedness Other Needs, 83.544, Public Assistance be supplemental, any Federal funds provided and Response, Department of Homeland Grants; 83.548, Hazard Mitigation Grant under the Stafford Act for Public Assistance Security. Program.) will be limited to 75 percent of the total [FR Doc. 03–25358 Filed 10–6–03; 8:45 am] Michael D. Brown, eligible costs. If Other Needs Assistance BILLING CODE 6718–02–P Under Secretary, Emergency Preparedness under Section 408 of the Stafford Act, and Response, Department of Homeland additional categories of assistance under the Security. Public Assistance program, and Hazard Mitigation are later requested and warranted, DEPARTMENT OF HOMELAND [FR Doc. 03–25359 Filed 10–6–03; 8:45 am] SECURITY Federal funding under these programs will BILLING CODE 6718–02–P also be limited to 75 percent of total eligible Federal Emergency Management costs. Agency Further, you are authorized to make DEPARTMENT OF HOMELAND changes to this declaration to the extent [FEMA–1491–DR] SECURITY allowable under the Stafford Act. Virginia; Amendment No. 4 to Notice of Federal Emergency Management The Federal Emergency Management a Major Disaster Declaration Agency Agency (FEMA) hereby gives notice that pursuant to the authority vested in the AGENCY: [FEMA–1496–DR] Federal Emergency Under Secretary for Emergency Management Agency, Emergency West Virginia; Major Disaster and Preparedness and Response, Department Preparedness and Response Directorate, Related Determinations of Homeland Security, under Executive Department of Homeland Security. Order 12148, as amended, Carlos AGENCY: Federal Emergency ACTION: Notice. Mitchell, of FEMA is appointed to act as Management Agency, Emergency the Federal Coordinating Officer for this SUMMARY: This notice amends the notice Preparedness and Response Directorate, declared disaster. of a major disaster declaration for the Department of Homeland Security. Commonwealth of Virginia (FEMA– ACTION: Notice. I do hereby determine the following 1491–DR), dated September 18, 2003, areas of the State of West Virginia to and related determinations. SUMMARY: This is a notice of the have been affected adversely by this EFFECTIVE DATE: September 24, 2003. Presidential declaration of a major declared major disaster: FOR FURTHER INFORMATION CONTACT: disaster for the State of West Virginia The counties of Berkeley, Grant, Magda Ruiz, Recovery Division, Federal (FEMA–1496–DR), dated September 23, Hampshire, Hardy, Jefferson, Mineral, Emergency Management Agency, 2003, and related determinations. Morgan, Pendleton, Randolph, and Tucker Washington, DC 20472, (202) 646–2705. EFFECTIVE DATE: September 23, 2003. for debris removal (Category A) and SUPPLEMENTARY INFORMATION: The notice FOR FURTHER INFORMATION CONTACT: emergency protective measures (Category B) of a major disaster declaration for the Magda Ruiz, Recovery Division, Federal under the Public Assistance program. Commonwealth of Virginia is hereby Emergency Management Agency, (The following Catalog of Federal Domestic amended to include Categories C Washington, DC 20472, (202) 646–2705. Assistance Numbers (CFDA) are to be used through G under the Public Assistance SUPPLEMENTARY INFORMATION: Notice is for reporting and drawing funds: 83.537, program and the Hazard Mitigation hereby given that, in a letter dated Community Disaster Loans; 83.538, Cora Grant Program for the following areas September 23, 2003, the President Brown Fund Program; 83.539, Crisis among those areas determined to have declared a major disaster under the Counseling; 83.540, Disaster Legal Services Program; 83.541, Disaster Unemployment been adversely affected by the authority of the Robert T. Stafford Assistance (DUA); 83.556, Fire Management Disaster Relief and Emergency catastrophe declared a major disaster by Assistance; 83.558, Individual and the President in his declaration of Assistance Act, 42 U.S.C. 5121–5206 Household Housing; 83.559, Individual and September 18, 2003: (the Stafford Act), as follows: Household Disaster Housing Operations; The Independent Cities of Hopewell, I have determined that the damage in 83.560 Individual and Household Program- Norfolk, and Virginia Beach, and the counties certain areas of the State of West Virginia, Other Needs, 83.544, Public Assistance
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Grants; 83.548, Hazard Mitigation Grant accuracy of the agency’s estimate of the hours needed to prepare the information Program.) burden of the proposed collection of collection is 71,790. The Lenders are Michael D. Brown, information; (3) Enhance the quality, able to key the information online or Under Secretary, Emergency Preparedness utility, and clarity of the information to have their computer transmit the and Response, Department of Homeland be collected; and (4) Minimize the information. Since remittances are made Security. burden of the collection of information through the ACH and/or EDI [FR Doc. 03–25349 Filed 10–6–03; 8:45 am] on those who are to respond; including applications the upfront remittance is BILLING CODE 6718–02–P the use of appropriate automated submitted electronically and their is no collection techniques or other forms of paperwork to complete and mail in. information technology, e.g., permitting Status of the proposed information DEPARTMENT OF HOUSING AND electronic submission of responses. collection: Extension of a currently URBAN DEVELOPMENT This Notice also list the following approved collection. information: [Docket No. FR–4820–N–39] Title of Proposal: Single Family Authority: The Paperwork Reduction Act of 1995, 44 U.S.C., Chapter 35, as amended. Premium Collection Subsystem-Upfront Notice of Proposed Information (SFPCS–U). Dated: September 9, 2003. Collection: Comment Request;Single OMB Control Number, if applicable: Sean G. Cassidy, Family Premium Collection 2502–0423. General Deputy Assistant Secretary for Subsystem-Upfront (SFPCS–U) Description of the need for the Housing—Deputy Federal Housing AGENCY: Office of the Assistant information and proposed use: The Commissioner. Secretary for Housing-Federal Housing Single Family Premium Collection [FR Doc. 03–25321 Filed 10–6–03; 8:45 am] Commissioner, HUD. Subsystem-Upfront (SFPCS–U) allows BILLING CODE 4210–27–M the lenders to remit the Upfront ACTION: Notice. Mortgage Insurance Premiums using SUMMARY: The proposed information funds obtained from the mortgagor DEPARTMENT OF HOUSING AND collection requirement described below during the closing of the mortgage URBAN DEVELOPMENT transaction at settlement. The SFPCS–U will be submitted to the Office of [Docket No.FR–4815–N–79] Managment and Budget (OMB) for strengthens HUD’s ability to manage review, as required by the Paperwork and process upfront single-family Notice of Submission of Proposed Reduction Act. The Department is mortgage insurance premium Information Collection to OMB: soliciting public comments on the collections and corrections to submitted Multifamily Tenant Characteristics subject proposal. data. It also improves data integrity for Family Report the Single Family Mortgage Insurance DATES: Comments Due Date: December 8, 2003. Program. Therefore, the FHA approved AGENCY: Office of the Chief Information lenders use Automated Clearing House Officer, HUD. ADDRESSES: Interested persons are (ACH) and/or Electronic Data ACTION: Notice. invited to submit comments regarding Interchange (EDI) applications for all this proposal. Comments should refer to transmissions with SFPCS–U. The SUMMARY: The proposed information the proposal by name and/or OMB authority for this collection of collection requirement described below Control Number and should be sent to: information is specified in 24 CFR has been submitted to the Office of Wayne Eddins, Reports Management 203.280 and 24 CFR 203.281. The Management and Budget (OMB) for Officer, Department of Housing and collection of information is also used in review, as required by the Paperwork Urban Development, 451 7th Street, calculating refunds due to former FHA Reduction Act. The Department is SW., L’Enfant Plaza Building, Room mortgagors when they apply for soliciting public comments on the 8003, Washington, DC 20410 or homeowner refunds of the unearned subject proposal. Wayne—[email protected]. portion of the mortgage insurance The subject information is collected to FOR FURTHER INFORMATION CONTACT: premium, 24 CFR 203.283, as ascertain public housing tenant Doretha S. Dabney, Branch Chief, Single appropriate. Without this information eligibility. HUD is seeking renewal of Family Insurance Operations Branch, the premium collection/monitoring the approval for this information Department of Housing and Urban process would be severely impeded, and collection requirement. Development, 451 7th Street SW., program data would be unreliable. In DATES: Comments Due Date: November Washington, DC 20410, telephone (202) general, the lenders use the ACH and/ 6, 2003. 708–1994 X3471 (this is not a toll free or EDI applications to remit the upfront number). ADDRESSES: Interested persons are premium through SFPCS–U to obtain invited to submit comments regarding SUPPLEMENTARY INFORMATION: The mortgage insurance for the homeowner. this proposal. Comments should refer to Department is submitting the proposal Agency form numbers, if applicable: the proposal by name and/or OMB information collection to OMB for None. approval number (2577–0083) and review, as required by the Paperwork Estimation of the total numbers of should be sent to: Lauren Wittenberg, Reduction Act of 1995 (44 U.S.C. hours needed to prepare the information OMB Desk Officer, Office of Chapter 35, as amended). collection including number of This Notice is soliciting comments respondents, frequency of response, and Management and Budget, Room 10235, from members of the public and affected hours of response: The public reporting New Executive Office Building, agencies concerning the proposed burden for this collection of information Washington, DC 20503; Fax number (202) 395–6974; E-mail collection of information to: (1) Evaluate is estimated to average 5 minutes per _ whether the proposed collection is response; the number of respondents is Lauren [email protected]. necessary for the proper performance of 9,939 generating approximately FOR FURTHER INFORMATION CONTACT: the functions of the agency, including 1,349,281 annual responses; the Wayne Eddins, Reports Management whether the information will have frequency of response is on occasion; Officer, AYO, Department of Housing practical utility; (2) Evaluate the the estimated total number of burden and Urban Development, 451 Seventh
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Street, Southwest, Washington, DC Voucher, Section 8 Project Based Frequency of Submission: Quarterly, 20410; e-mail [email protected]; Certificates, and Section 8 Moderate monthly, annually. telephone (202) 708–2374. This is not a Rehabilitation programs. Public housing Reporting Burden: Number of toll-free number. Copies of the proposed agencies will transmit the form Respondents 4,526; Average responses forms and other available documents electronically to HUD at least annually per respondent 1,077; Total annual submitted to OMB may be obtained for each household. responses 4,874,180. from Mr. Eddins or on HUD’s Web site The Department updated the Total Estimated Burden Hours: at http://mf.hud.gov:63001/po/i/icbts/ currently approved Form HUD–50058 1,624,727. collectionsearch.cfm. by removing obsolete and unnecessary Status: Extension of a currently approved collection; HUD is seeking SUPPLEMENTARY INFORMATION: The data fields. These deletions will not require vendors to modify their software renewal of the approval for this Department has submitted the proposal information collection requirement. for the collection of information, as for reporting family data to the Public described below, to OMB for review, as and Indian Housing Information Center Authority: Section 3507 of the Paperwork required by the Paperwork Reduction (PIC)—the information system that Reduction Act of 1995, 44 U.S.C. 35, as Act (44 U.S.C. Chapter 35). The Notice collects electronic Form HUD–50058 amended. lists the following information: (1) The data. Public housing agencies should Dated: September 30, 2003. title of the information collection not modify their software to reflect the Wayne Eddins, proposal; (2) the office of the agency to deletions, but they are no longer Departmental Reports Management Officer, collect the information; (3) the OMB required to send data in the fields that Office of the Chief Information Officer. approval number, if applicable; (4) the HUD has deleted. If public housing [FR Doc. 03–25322 Filed 10–6–03; 8:45 am] agencies submit data for the deleted description of the need for the BILLING CODE 4210–72–P information and its proposed use; (5) fields using the file structure of the the agency form number, if applicable; current form (Form HUD–50058 (6/ (6) what members of the public will be 2001)), the PIC system will ignore the DEPARTMENT OF HOUSING AND affected by the proposal; (7) how data. URBAN DEVELOPMENT HUD seeks comments on the proposal frequently information submissions will [Docket No. FR–4815–N–80] be required; (8) an estimate of the total to extend the existing Form HUD-50058 MTW (6/2001). The Form HUD–50058 number of hours needed to prepare the Notice of Submission of Proposed MTW collects demographic and income information submission including Information Collection to OMB: data on residents participating in PIH’s number of respondents, frequency of Mortgagees Annual Notification to Public Housing, Section 8 Housing response, and hours of response; (9) Mortgagors whether the proposal is new, an Choice Voucher, Section 8 Project Based extension, reinstatement, or revision of Certificates, and Section 8 Moderate AGENCY: Office of the Chief Information an information collection requirement; Rehabilitation programs and whose Officer, HUD. and (10) the name and telephone public housing agencies participate in ACTION: Notice. number of an agency official familiar the Moving-to-Work (MTW) program. SUMMARY: with the proposal and of the OMB Desk MTW–PHA (i.e., public housing The proposed information Officer for the Department. agencies participating in the Moving-to- collection requirement described below This Notice also lists the following Work demonstration program) will has been submitted to the Office of information: transmit the form electronically to HUD Management and Budget (OMB) for Title of Proposal: Multifamily Tenant at least annually for each household. review, as required by the Paperwork Characteristics Family Report. Form HUD–50058 MTW addresses the Reduction Act. The Department is OMB Approval Number: 2577–0083. particular reporting requirements and soliciting public comments on the Form Numbers: 50058, 50058–MTW. constraints for public housing agencies subject proposal. Description of the Need for the that participate in the Moving-to-Work Mortgagees are required to inform Information and its Proposed Use: The (MTW) demonstration program mortgagors of interest paid and taxes Department of Housing and Urban mandated by Section 206 of the 1996 disbursed from escrow accounts for Development (HUD) intends to revise HUD Appropriations Act. This income tax purposes. Servicing lenders Form HUD–50058 in a manner that will information collection effort supports must maintain a toll free number, and require changes to the Form HUD– MTW program monitoring and servicing personnel for mortgagors’ 50058 Module in the Public and Indian evaluation, as required by Congress. enquiries. Mortgagees must provide Housing Information Center (PIC), but MTW–PHA will use the Form HUD– interest accounting in such a way as to will not require changes in software 50058 MTW to collect data on MTW- allow the homeowner to easily identify systems of public housing agencies or families only. MTW-families include the amount of any subsidy HUD paid on vendors supporting public housing families who participate in any behalf of the homeowner. HUD is agencies. HUD will maintain the current component of the MTW program. This seeking renewal of the approval for this information collection burden until the includes families who receive self- information collection requirement. changes in HUD’s PIC system have been sufficiency support services but pay rent DATES: Comments Due Date: November completed. Therefore, HUD seeks under conventional program rules. Non- 6, 2003. comments on the proposed revisions to MTW-families include families who ADDRESSES: Interested persons are the Form HUD–50058 and on the reside in a MTW–PHA but do not invited to submit comments regarding proposal to extend the existing Form participate in any component of the this proposal. Comments should refer to HUD–50058 (6/2001) until the revisions MTW program. MTW–PHA will the proposal by name and/or OMB are fully implemented. continue to use the regular Form HUD– approval number (2502–0235) and The Form HUD–50058 collects 50058 for Non-MTW families. should be sent to: Lauren Wittenberg, demographic and income data on Respondents: Public housing OMB Desk Officer, Office of residents participating in PIH’s Public agencies, State and local governments, Management and Budget, Room 10235, Housing, Section 8 Housing Choice individuals and households. New Executive Office Building,
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Washington, DC 20503; Fax number per respondent 3,391; Total annual rule stated that HUD would provide a (202) 395–6974; E-mail responses 5,499,507. 30-day period for public comment on [email protected]. Total Estimated Burden Hours: 1,689. future notices changing mortgage Status: Extension of a currently FOR FURTHER INFORMATION CONTACT: insurance premiums in multifamily Wayne Eddins, Reports Management approved collection; HUD is seeking insured housing programs. Officer, AYO, Department of Housing renewal of the approval for this Pursuant to that procedure, this notice and Urban Development, 451 Seventh information collection requirement. lowers mortgage insurance premiums in Street, Southwest, Washington, DC Authority: Section 3507 of the Paperwork FY 2004 to 50 basis points for 20410; e-mail [email protected]; Reduction Act of 1995, 44 U.S.C. 35, as multifamily programs authorized under telephone (202) 708–2374. This is not a amended. Sections 207, 220, and 221(d)(4) of the toll-free number. Copies of the proposed Dated: September 30, 2003. Act without low-income housing tax forms and other available documents Wayne Eddins, credits, Section 231 of the Act, and submitted to OMB may be obtained Departmental Reports Management Officer, insured programs with HOPE VI with or from Mr. Eddins or on HUD’s Web site Office of the Chief Information Officer. without low-income housing tax credits. at http://mf.hud.gov:63001/po/i/icbts/ [FR Doc. 03–25323 Filed 10–6–03; 8:45 am] The effective date of these changes is collectionsearch.cfm. BILLING CODE 4210–72–P October 1, 2003. Multifamily programs SUPPLEMENTARY INFORMATION: The under the following sections of the Act Department has submitted the proposal will remain at 80 basis points and will for the collection of information, as DEPARTMENT OF HOUSING AND continue to require a credit subsidy described below, to OMB for review, as URBAN DEVELOPMENT obligation: Section 221(d)(3) for nonprofit and cooperatives for new required by the Paperwork Reduction [Docket No. FR–4679–N–07] Act (44 U.S.C. Chapter 35). The Notice construction or rehabilitation, Section lists the following information: (1) The Changes in Certain Multifamily 223(d) for operating loss loans for both title of the information collection Mortgage Insurance Premiums apartments and health care facilities, proposal; (2) the office of the agency to and Section 241(a) for supplemental AGENCY: collect the information; (3) the OMB Office of the Assistant loans for additions or improvements to approval number, if applicable; (4) the Secretary for Housing—Federal Housing existing apartments. The MIP for description of the need for the Commissioner, HUD. sections 223(a)(7), and 207 pursuant to information and its proposed use; (5) ACTION: Notice. 223(f), 232, 232 pursuant to 223(f), 242, the agency form number, if applicable; and 241(a) of the Act for health care SUMMARY: This notice reissues as final facilities, Title XI, and low-income (6) what members of the public will be the notice published on July 1, 2003, for affected by the proposal; (7) how housing tax credit projects remain public comment. That notice lowered unchanged at 50 basis points. frequently information submissions will the mortgage insurance premiums (MIP) be required; (8) an estimate of the total for certain Federal Housing The mortgage insurance premiums in number of hours needed to prepare the Administration (FHA) insurance effect for FHA firm commitments information submission including programs whose commitments will be issued, amended, or reissued in FY number of respondents, frequency of issued in Fiscal Year (FY) 2004. HUD 2004, are shown in the table below: response, and hours of response; (9) received no comments from the public Fiscal Year 2004 whether the proposal is new, an on that notice. extension, reinstatement, or revision of FOR FURTHER INFORMATION CONTACT: Basis an information collection requirement; Multifamily loan program Michael McCullough, Director, Office of points and (10) the name and telephone Multifamily Development, Department number of an agency official familiar of Housing and Urban Development, Section 207—Multifamily Hous- with the proposal and of the OMB Desk ing—New Constr/Sub. Rehab ..... 50 451 Seventh Street, SW., Washington, Officer for the Department. Section 207—Manufactured Home This Notice also lists the following DC 20410–8000, (202) 708–1142 (this is Parks ...... 50 information: Title of Proposal: not a toll-free number). Hearing- or Section 220—Housing In Urban Mortgagees Annual Notification to speech-impaired individuals may access Renewal Areas ...... 50 Mortgagors. these numbers through TTY by calling Section 221(d)(3)—Moderate In- OMB Approval Number: 2502–0235. the toll-free Federal Information Relay come Housing ...... 80 Form Numbers: None. Service at (800) 877–8339. Section 221(d)(4)—Moderate In- Description of the Need for the SUPPLEMENTARY INFORMATION: come Housing ...... 50 Information and its Proposed Use: Section 223(a)(7)—Refinancing of Background Mortgagees are required to inform Insured Multifamily Project ...... 50 mortgagors of interest paid and taxes On March 17, 2003 (68 FR 12792), Section 223(d)—Operating Loss disbursed from escrow accounts for HUD published a final rule on Loans ...... 80 Section 207 pursuant to 223(f)— income tax purposes. Servicing lenders ‘‘Mortgage Insurance Premiums in Multifamily Housing Programs,’’ which Purchase or Refinance Housing *50 must maintain a toll free number, and Section 213—Cooperatives ...... 50 servicing personnel for mortgagors’ revised the regulatory system for establishing the MIP. Instead of setting Section 231—Housing for the El- enquiries. Mortgagees must provide derly ...... 50 interest accounting in such a way as to the MIP at a specific rate, the Secretary Section 232—Health Care Facilities 50 allow the homeowner to easily identify is permitted to charge an MIP within the Section 232 pursuant to Section the amount of any subsidy HUD paid on full range of HUD’s statutory authority 223(f)—Purchase or Refinance behalf of the homeowner. of one fourth of one percent to one Health Care ...... *50 Respondents: For-profit institutions. percent through a notice, as provided in Section 234(d)—Condominium Frequency of Submission: Annually. section 203(c)(1) of the National Housing ...... 50 Reporting Burden: Number of Housing Act (the Act) (12 U.S.C. Section 241(a)—Additions & Im- Respondents 1,622; Average responses 1709(c)(1)). The March 17, 2003, final provements for Apartments ...... 80
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Fiscal Year 2004 rents, expenses, construction costs, DEPARTMENT OF THE INTERIOR particularly considering any changes in Basis Davis-Bacon wage rates, and cash Office of Federal Acknowledgment; Multifamily loan program points required to close. (An updated appraisal Documented Petitions for Federal Acknowledgment as an Indian Tribe, Section 241(a)—Additions & Im- may be required from the mortgagee provements for Health Care Fa- depending on the age of the appraisal.) Submission to OMB for Renewal cilities ...... 50 If reprocessing results in favorable AGENCY: Office of Federal Section 242—Hospitals ...... 50 underwriting conclusions, Hub/Program Acknowledgment, Interior. Title XI—Group Practice ...... 50 Center staff will reissue commitments ACTION: Notice. *First Year MIP for these programs remain with a new date at the new MIP. at 100 basis points. SUMMARY: In compliance with the D. Reopening of Expired 57 or 61 Basis Paperwork Reduction Act of 1995, this Applicable Mortgage Insurance Points Firm Commitments notice announces that the Information Premium Procedures Collection Request for Documented The MIP regulations are found in 24 FHA will consider requests from Petitions for Federal Acknowledgment CFR part 207. This notice is published mortgagees, which may be either as an Indian Tribe is submitted to the in accordance with the procedures updated Traditional Application Office of Information and Regulatory stated in 24 CFR 207.252, 207.252(a), Processing (TAP) firm commitment Affairs, Office of Management and and 207.254. applications or updated Multifamily Budget for extension. Accelerated Processing (MAP) Transition Guidelines DATES: Submit comments on or before applications with updated exhibits, to November 6, 2003. A. General reopen expired 57 or 61 basis points ADDRESSES: Send your written If a firm commitment has been issued commitments on or after the effective comments to Attention: Desk Officer for at a higher MIP, and FHA has not date of the MIP notice, provided that the the Department of the Interior. You may initially endorsed the note, the lender reopening requests are received within fax comments to (202) 395–6566 or send may request the field office to reprocess 90 days of the expiration of the an e-mail to the commitment at the lower MIP and commitments and include the $.50 per [email protected]. Please reissue the commitment on or after thousand of requested mortgage send a duplicate copy to R. Lee Fleming, October 1, 2003. If the initial reopening fee. Reopening requests will Director, Office of Federal endorsement has occurred the MIP be reprocessed by FHA field staff under Acknowledgment, Office of the cannot be changed. the instructions in paragraph C.2 above. Assistant Secretary—Indian Affairs, After expiration of the 90-day Department of the Interior, 1849 C B. Extension of Outstanding 57 and 61 Street, NW., MS–4660 MIB, Basis Points Firm Commitments reopening period, mortgagees are required to submit new applications Washington, DC 20240. FHA may extend outstanding firm with the $3 per thousand application fee FOR FURTHER INFORMATION CONTACT: commitments when the Hub/Program (MAP applications must start at the pre- Requests for additional information or Center determines that the underwriting application stage). copies of the information collection conclusions (rents, expenses, submission should be directed to R. Lee construction costs, mortgage amount Credit Subsidy Fleming, Director, Office of Federal and case required to close) are still Acknowledgment, Office of the valid. Mortgagee Letters will be issued from Assistant Secretary—Indian Affairs, time to time to advise mortgagees of any Department of the Interior, 1849 C C. Reprocessing of Outstanding 57 and requirements for credit subsidy and the 61 Basis Points Firm Commitments Street, NW, MS–4660 MIB, Washington, availability of credit subsidy. In FY DC 20240. You may also call (202) 208– FHA will consider requests from 2004, the same three programs will 3592. mortgagees to reprocess outstanding require credit subsidy as in FY 2003: SUPPLEMENTARY INFORMATION: A request firm commitments at the lower mortgage Section 221(d)(3) for nonprofit and for comments was published in the insurance premium once the new cooperatives for new construction or Federal Register on June 2, 2003 (68 FR premiums become effective in FY 2004: substantial rehabilitation, Section 32765). No comments were received. 1. Outstanding commitments with 223(d) for operating loss loans for both I. Abstract initial 60-day expiration dates on or apartments and health care facilities, after the effective date of this MIP and Section 241(a) for supplemental The information collection is needed notice. loans for additions or improvements to to establish whether a petitioning group • FHA Multifamily Hub/Program existing apartments only. FHA will not has the characteristics necessary to be Center staff will simply reprocess these issue amended commitments for acknowledged as having a sovereign-to- cases to reflect the impact of the lower increased mortgage amounts nor sovereign relationship with the United MIP and reissue commitments with a States. Federal acknowledgment makes new date. obligate additional credit subsidy for projects requiring credit subsidy in FY the group eligible for benefits from the 2. Outstanding commitments with Federal Government. initial expiration dates prior to the 2004. effective date of this MIP notice which Dated: September 25, 2003. II. Method of Collection have pending extension requests or have John C. Weicher, The Federal acknowledgment had extensions granted by FHA beyond Assistant Secretary for Housing—Federal regulations at 25 CFR Part 83 contain the initial 60-day period. Housing Commissioner. seven criteria (§ 83.7) which groups • These cases will require more seeking Federal acknowledgment as [FR Doc. 03–25324 Filed 10–6–03; 8:45 am] extensive reprocessing by FHA staff. Indian tribes must demonstrate that they Reprocessing will include an updated BILLING CODE 4210–27–P meet. Information collected from FHA field staff analysis and review of petitioning groups under these
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regulations provide anthropological, information, processing and Recreation and 14 cities (Applicants) in genealogical and historical data used by maintaining information, and disclosing western Riverside County to the Assistant Secretary—Indian Affairs and providing information; to train incidentally take 83 animal species, to establish whether a petitioning group personnel and to be able to respond to including 69 unlisted species should has the characteristics necessary to be a collection of information, to search any of them become listed, under the acknowledged as having a sovereign-to- data sources, to complete and review Endangered Species Act of 1973, as sovereign relationship with the United the collection of information; and to amended (Act), during the term of the States. Respondents are not required to transmit or otherwise disclose the proposed 75-year permit. The permit is retain copies of information submitted information. needed to authorize take of listed to the Bureau of Indian Affairs, but will Individual respondents may request animal species (including harm, injury probably maintain copies for their own confidentiality. If you wish to request and harassment) during urban and rural use. No periodic reports are required. that we consider withholding your development in the approximately 1.2 III. Data name, street address, and other contact million-acre (1,967 square-mile) Plan Title: Collection of Information for information (such as Internet address, Area in western Riverside County, Federal Acknowledgment Under 25 CFR fax, or phone number) from public California. The U.S. Fish and Wildlife Part 83. review or from disclosure under the Service (Service) is publishing this OMB Control Number: 1076–0104. Freedom of Information Act, you must notice to inform the public of the Expiration Date: September 30, 2003. state this prominently at the beginning proposed action and to make available Type of Review: Extension of a of your comment. We will make for review the Final EIS/EIR, which currently-approved collection. available for public inspection in their includes responses to public comments Affected Entities: Groups petitioning entirety all submissions from received on the Draft EIS/EIR. The for Federal acknowledgment as Indian organizations or businesses, and from Environmental Protection Agency (EPA) tribes. individuals identifying themselves as also is publishing a similar notice for Response: Respondents are seeking to representatives or officials of this Final EIS/EIR. obtain the status of a tribal entity in organizations or businesses. DATES: A Record of Decision will occur order to be eligible for funding and An agency may not conduct or no sooner than 30 days after the services from the Bureau of Indian sponsor, and a person is not required to publication date of the EPA notice. Affairs by virtue of their status as Indian respond to, a collection of information Comments on the Final EIS/EIR must be tribes. unless it displays a currently valid OMB received by the close of the comment Estimated Number of Petitioners: 10. control number. period as indicated in the EPA notice. Estimated Time per Petition: 2,237.7 OMB has up to 60 days to make a hours. decision on the submission for renewal, ADDRESSES: Comments should be sent to Estimated Total Annual Burden but may make the decision after 30 Mr. James Bartel, Field Supervisor, U.S. Hours: 22,377. days. Therefore, to receive the best Fish and Wildlife Service, Carlsbad Fish Estimated Annual Salary Costs: consideration of your comments, you and Wildlife Office, 6010 Hidden Valley × $895,080 (2,237.7 hours $40.00 per should submit them closer to 30 days Road, Carlsbad, California 92009; × hour 10). than 60 days. facsimile (760) 431–9624. Copies of the Western Riverside IV. Request for Comments Dated: September 26, 2003. County Multiple Species Habitat You are invited to comment on: Aurene M. Martin, Conservation Plan (MSHCP), (a) Whether the collection of Principal Deputy Assistant Secretary—Indian Implementation Agreement, and Final information is necessary for the proper Affairs. EIS/EIR are available for review at the performance of the functions of the [FR Doc. 03–25406 Filed 10–6–03; 8:45 am] Riverside County Integrated Plan agency, including whether the BILLING CODE 4310–4J–P website (http://www.rcip.org) or at the information will have practical utility; following locations in California: (b) The accuracy of the agency’s 1. Carlsbad—U.S. Fish and Wildlife DEPARTMENT OF THE INTERIOR estimate of the burden (including hours Service, Carlsbad Fish and Wildlife and cost) of the proposed collection of Fish and Wildlife Service Office, 6010 Hidden Valley Road information, including the validity of 2. Riverside—Riverside County the methodology and assumptions used; Availability of Final Environmental Administrative Center, 4080 Lemon (c) Ways to enhance the quality, Impact Statement for an Incidental Street, 7th Floor; University of utility, and clarity of the information to Take Permit for the Western Riverside California, Riverside, Tomas Rivera be collected; and Library, 900 University Avenue; (d) Ways to minimize the burden of County Multiple Species Habitat and Riverside Public Library, 3581 the collection of information on those Conservation Plan, California Mission Inn Avenue who are to respond, including through AGENCY: Fish and Wildlife Service, 3. Murrieta—Murrieta Public Library, the use of appropriate automated, Interior. 39589 Los Alamos Road electronic, mechanical, or other ACTION: Notice of availability and 4. Hemet—Riverside County Library, collection techniques or the forms of receipt of application. Hemet Branch, 25757 Fairview information technology. Avenue Burden means the total time, effort, or SUMMARY: Pursuant to the National financial resources expended by persons Environmental Policy Act, this notice 5. Perris—Riverside County Library, to generate, maintain, retain, or disclose advises the public of the availability of Perris Branch, 163 E. San Jacinto. or provide information to or for a the Final Environmental Impact FOR FURTHER INFORMATION CONTACT: Ms. Federal agency. This includes the time Statement/Environmental Impact Report Karen Goebel, Assistant Field needed to review instructions; to (EIS/EIR) on the application by the Supervisor, Carlsbad Fish and Wildlife develop, acquire, install and utilize County of Riverside, California Office (SEE ADDRESSES), telephone technology and systems for the purpose Department of Transportation, number (760) 431–9440. of collecting, validating, and verifying California Department of Parks and SUPPLEMENTARY INFORMATION:
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Background Southern California Association of As described in Volumes I and II of The Applicants seek an incidental Governments estimates that Riverside the Public Review Draft MSHCP take permit and assurances for 83 County will be home to approximately (November 2002) and the Draft EIS/EIR, animal species (9 endangered, 5 2.8 million people, who will occupy the applicants propose to create a threatened, and 69 unlisted), and approximately 918,000 dwelling units. preserve system that protects and assurances for 63 plant species (8 This represents a doubling of the manages 153,000 acres of habitat for the endangered, 3 threatened, and 52 County’s present population and Covered Species in addition to the unlisted). The animal species include 3 housing stock. Another study by the identified existing 347,000 acres of crustacean species (1 endangered, 1 California Department of Finance Covered Species habitat in the Plan threatened and 1 unlisted); 2 insect estimates that the County will continue Area with conservation value in public species (both endangered); 2 fish species to grow to 3.5 million people by 2030 or quasi-public ownership. The existing (1 threatened and 1 unlisted); 5 and 4.5 million people by 2040. These 347,000 acres would be monitored and managed in coordination with the amphibian species (2 endangered, 1 residents will be located within 24 153,000 acres to achieve a conservation threatened, 2 unlisted); 12 reptile incorporated cities, as well as within area of 500,000 acres. The County and species (all unlisted); 45 bird species (2 unincorporated areas. cities are in the process of adopting a endangered, 2 threatened, and 41 The MSHCP is one part of Riverside mitigation fee to acquire 97,000 acres as unlisted); and 14 mammal species (2 County’s Integrated Project, the purpose mitigation for private development in endangered and 12 unlisted). of which is to integrate and provide for the Plan Area. The funding plan Collectively the 146 listed and unlisted future land use, transportation, and assumes that of the 97,000 acres, 41,000 species are referred to as Covered conservation needs in Riverside County. acres would be conserved through the Species by the MSHCP. Twenty-eight of The MSHCP Plan Area encompasses 1.2 million acres in western Riverside land use approval process. An the Covered Species are identified as additional 6,000 acres would be Covered Species for which adequate County and includes the following 14 incorporated cities: Banning, Beaumont, conserved as mitigation for State conservation has not been assured. (California Department of These species would not be provided Calimesa, Canyon Lake, Corona, Hemet, Lake Elsinore, Moreno Valley, Murrieta, Transportation and California with incidental take under the permit Department of Recreation) projects. It is until adequate conservation has been Norco, Perris, Riverside, San Jacinto, and Temecula. The MSHCP is one of anticipated that the Service and the assured. California Department of Fish and Game A permit is needed because section 9 two large, multiple-jurisdictional habitat planning efforts in Riverside County, would provide an additional 50,000 of the Act and Federal regulations acres to complement the 103,000 acres prohibit the ‘‘take’’ of animal species both of which are ‘‘subregional’’ plans under the State of California’s Natural of mitigation identified in the MSHCP. listed as endangered or threatened. Take The 153,000 acres of conservation area of listed animal species is defined under Community Conservation Planning Act of 1991. lie within a larger Criteria Area. The the Act to include kill, harm, or harass. Criteria Area is divided into a grid In the MSHCP, the Applicants have Harm includes significant habitat consisting of 160-acre cells. Each cell or proposed the conversion of modification or degradation that cell group has associated criteria that approximately 800,000 acres from open actually kills or injures listed animals describe the conservation expected in space to non-open space uses during the by significantly impairing essential that cell. behavioral patterns, including breeding, 75-year permit, primarily by activities The MSHCP includes measures to feeding, and sheltering [50 CFR 17.3(c)]. already planned for by the cities and avoid and minimize incidental take of Under limited circumstances, the County. These activities include the Covered Species, emphasizing Service may issue permits to authorize residential, commercial, and industrial project design modifications to protect incidental take; i.e. take that is development; construction and both habitats and species’ individuals. incidental to, and not the purpose of, maintenance of transportation facilities; A monitoring and reporting plan would otherwise lawful activity. Although take construction and maintenance of flood gauge the Plan’s success based on of plant species is not prohibited under control facilities, public utilities, and achievement of biological species the Act, and therefore cannot be parks and trails; agricultural conversion objectives and reserve design criteria, authorized under an incidental take of vegetation communities; management and would ensure that conservation permit, plant species are proposed to be of reserves; and other anticipated keeps pace with open space conversion. included on the permit in recognition of projects. The MSHCP also includes adaptive the conservation benefits provided to Proposed covered activities which management which allows for changes them under the MSHCP. Assurances of require discretionary action by a in the conservation program if the no additional mitigation requirements permittee, subject to consistency with biological species objectives are not met, provided under the No Surprises Rule at MSHCP policies, include: two internal or new information becomes available to 50 CFR 17.3, 17.22(b)(5), and 17.32(b)(5) regional transportation facilities, improve the efficacy of the MSHCP’s would extend to all species named on maintenance of and safety conservation strategy. the permit. Regulations governing improvements on existing roads, The MSHCP would be implemented incidental take permits for threatened circulation element roads, single family by the permittees and the Regional and endangered species are found in 50 homes on existing legal parcels, Conservation Authority (RCA), a Joint CFR 17.32 and 17.22. compatible uses in the reserve, and up Powers Authority. The RCA would be The MSHCP is intended to protect to 10,000 new acres of agricultural formed prior to our Record of Decision viable populations of native plant and activity within the Criteria Area (an area and permit decision. After the RCA is animal species and their habitats in to be evaluated for inclusion in the formed, it would apply to the Service perpetuity through the creation of a reserve in accordance with the criteria for an incidental take permit to preserve system, while accommodating guidelines). The MSHCP makes a implement the MSHCP. We do not continued economic development and provision for the inclusion of special intend to notice the RCA’s incidental quality of life for residents of western districts and other non-permittee take permit application in the Federal Riverside County. In the year 2020, the entities in the permit. Register because the role of the RCA
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was identified in the Draft MSHCP that Act and National Environmental Policy SUPPLEMENTARY INFORMATION: The EIS was made available for public review Act regulations (40 CFR 1506.6). will assess the environmental with the Federal Register Notice of the consequences of BIA approval of a incidental take permit applications from Robert D. Williams, proposed lease between the CR Group, the other Applicants (67 FR 69236) and Deputy Manager, Region 1, California/Nevada the lessee, and the Skull Valley Band of the RCA permit application would Operations Office, Sacramento, California. Goshute Indians (Band), the lessor, of contain no new substantive information [FR Doc. 03–25313 Filed 10–6–03; 8:45 am] approximately 500 acres in the for the public to comment upon. BILLING CODE 4310–55–P southwest Section 18, Range 8W, On November 15, 2002, the Service Township 5S, NAD 27, Tooele County, published a notice in the Federal Utah. This section is approximately 2 Register (67 69236) announcing receipt DEPARTMENT OF THE INTERIOR miles west of Skull Valley Road on the of an application for an incidental take Bureau of Indian Affairs reservation. The leased property will permit from Riverside County, the 14 occupy the southwest 75 percent of the cities and the other Applicants, and the Notice of Intent To Prepare an section. The property is located availability of a Draft EIS/EIR for the Environmental Impact Statement for approximately 50 miles southwest of application. The Draft EIS/EIR analyzed the Proposed Skull Valley Goshute Salt Lake City, Utah. The CR Group the potential environmental impacts Tekoi Balefield Landfill Project, Tooele intends to construct and operate a solid that may result from the Federal action County, UT waste landfill on this property for a of authorizing incidental take period of 25 years, with an option to anticipated to occur with AGENCY: Bureau of Indian Affairs, renew the lease for another 25 years. implementation of the MSHCP, and Interior. The proposed landfill will meet or identified various alternatives. We exceed all applicable criteria of the ACTION: Notice. received a total of 110 comment letters Environmental Protection Agency (EPA) on the Draft EIS/EIR. A response to each SUMMARY: This notice advises the public for such landfills, including, without comment received in these letters has that the Bureau of Indian Affairs, in limitation, the design criteria set forth in been included in Final EIS/EIR. cooperation with the Skull Valley Band 40 CFR part 258. The landfill will be The Draft EIS/EIR considered four of Goshute Indians, will be gathering constructed with the appropriate alternatives in addition to the preferred information needed for an impermeable lining material, and will alternative/proposed project described Environmental Impact Statement (EIS). only accept non-hazardous municipal above: (1) A listed, proposed and strong The information on the EIS will be used and/or industrial solid waste. Limited candidate species alternative; (2) a listed to support a lease to a private company ancillary facilities consisting of a truck and proposed species alternative; (3) an scale, scale house and small to construct and operate a landfill and existing reserves alternative; and (4) a administrative office will be constructed to develop the necessary infrastructure. no project alternative. at the site, and an approximately 3-mile The purpose of this project is to help The listed, proposed and strong long road on the reservation constructed provide an economic base for the tribe candidate species alternative focuses on to provide access to and from the while helping the Salt Lake City area to the conservation of 29 state and/or landfill. federally listed species and seven dispose of non-hazardous wastes. We The solid waste will be compressed, unlisted species. This alternative would also are announcing public scoping de-watered and baled before conserve approximately 119,300 acres of meetings at this time. transportation to the landfill. The baled ‘‘new’’ lands (i.e., acreage above and DATES: Written comments on the scope solid waste will be transported to the beyond what is already conserved and implementation of this proposal landfill in containers, using primarily through public or quasi-public land must arrive by November 5, 2003. The flatbed trucks. It is anticipated that the ownership and management). public scoping meetings will be held on majority of the waste will come from the The listed and proposed species October 21 and 22, 2003, from 6:30 p.m. Salt Lake City, Utah area. The alternative focuses on the conservation to 8:30 p.m. transportation route is expected to be of 29 state and/or federally listed or ADDRESSES: You may mail, hand carry via Interstate 80 westward from the Salt proposed species. The proposed new or telefax written comments to either (1) Lake City area, then southward conservation under this alternative is Amy L. Heuslein, Regional approximately 27 miles on Skull Valley approximately 93,800 acres. Environmental Protection Officer, Road to the proposed landfill site on the The existing reserves alternative Bureau of Indian Affairs, Western reservation. would provide coverage for six State The proposed landfill will consist of Regional Office, P.O. Box 10, Phoenix, and/or federally listed or candidate separate cells. The baled solid waste Arizona 85001, telefax (602) 379–3833; species and some unlisted species will be stacked in the cells. Separate or (2) Chester Mills, Superintendent, depending on management regimes in cells will be used for municipal and Bureau of Indian Affairs, Uintah and the existing reserves. It would not industrial waste. As individual cells are Ouray Agency, P.O. Box 130, Fort provide any new conservation of land. filled and closed, they will be covered Duchesne, Utah 84026, telefax (435) The analysis provided in the Final with lining and soil and re-vegetated 722–2323. EIS/EIR is intended to accomplish the consistent with EPA regulations and following: inform the public of the The October 21, 2003, public scoping with BIA and tribal requirements. The proposed action; address public meeting will be held at the Utah State CR Group will provide construction and comments received on the Draft EIS/ Extension Auditorium, 151 North Main reclamation bonds suitable to both the EIR; disclose the direct, indirect, and Street, Tooele, Utah. The October 22, BIA and the Band. cumulative environmental effects of the 2003, meeting will be held at the Little Water for construction and operation proposed action; and indicate any America Hotel, 500 South Main Street, of the landfill will be obtained from irreversible commitment of resources Salt Lake City, Utah. wells drilled on the reservation. These that would result from implementation FOR FURTHER INFORMATION CONTACT: wells will be within 1 mile of the of the proposed action. This notice is Amy Heuslein, (602) 379–6750, or proposed site. Electricity will be provided pursuant to section 10 of the Chester Mills, (435) 722–4300. generated using the collected landfill
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gas in an internal combustion engine- SUMMARY: The Southeast Oregon FOR FURTHER INFORMATION CONTACT: To generator set. Resource Advisory Council (SEORAC) request a copy of the information Significant issues to be covered will hold a conference call for all collection request, explanatory during the scoping process may include, members on Wednesday, October 15, information and related form, contact but not be limited to, air quality, 2003 at 2 p.m. pacific standard time. John A. Trelease, at (202) 208–2783. geology and soils, surface and The conference call is open to the SUPPLEMENTARY INFORMATION: The Office groundwater resources, biological public. Members of the public in the of Management and Budget (OMB) resources, cultural resources, Lakeview area may attend the meeting regulations at 5 CFR part 1320, which socioeconomic conditions, land use, in person in the Abert Rim Conference implementing provisions of the aesthetics, environmental justice and Room, Lakeview Interagency Office, Paperwork Reduction Act of 1995 (Pub. Indian trust resources. 1301 South G Street, Lakeview, Oregon L. 104–13), require that interested Public Comment Availability 97630. The meeting topics that may be members of the public and affected discussed by the Council include a Comments, including names and agencies have an opportunity to discussion of issues within Southeast comment on information collection and addresses of respondents, will be Oregon related to: Birch Creek available for public review at the recordkeeping activities (see 5 CFR Recommendation, Sustainable Working 1320.8(d)). This notice identifies mailing address shown in the Landscapes and Sage Grouse. ADDRESSES section, during regular information collections that OSM will business hours, 8 a.m. to 4:30 p.m., FOR FURTHER INFORMATION CONTACT: be submitting to OMB for extension. Monday through Friday, except Additional information concerning the These collections are contained in 30 holidays. Individual respondents who SEORAC conference call may be CFR 816 and 817. prefer confidentiality and wish to have obtained from Pam Talbott, Contact OSM has consolidated two their name and/or address withheld Representative, Lakeview Interagency information collections relating to coal from public review or from disclosure Office, 1301 South G Street, Lakeview, mining performance standards, revised under the Freedom of Information Act, OR 97630 (541) 947–6107, or burden estimates, where appropriate, to must state this prominently at the [email protected] and/or from the reflect current reporting levels or beginning of their written comment. following Web site http:// adjustments based on reestimates of Such requests will be honored to the www.or.blm.gov/SEOR–RAC. burden or respondents. OSM will extent allowed by law. We will not, Dated: September 30, 2003. request a 3-year term of approval for this however, consider anonymous M. Joe Tague, information collection activity. comments. All submissions from Associate District Manager. Comments are invited on: (1) The organizations or businesses, and from [FR Doc. 03–25329 Filed 10–06–03; 8:45 am] need for the collection of information individuals identifying themselves as BILLING CODE 4310–33–M for the performance of the functions of representatives or officials of the agency; (2) the accuracy of the organizations or businesses will be agency’s burden estimates; (3) ways to made available for public inspection in DEPARTMENT OF THE INTERIOR enhance the quality, utility and clarity their entirety. of the information collection; and (4) Office of Surface Mining Reclamation ways to minimize the information Authority and Enforcement collection burden on respondents, such This notice is published in as use of automated means of collection accordance with § 1503.1 of the Council Notice of Proposed Information of the information. A summary of the on Environmental Quality regulations Collection for 1029–0047 public comments will accompany (40 CFR Parts 1500 through 1508) AGENCY: OSM’s submission of the information implementing the procedural Office of Surface Mining Reclamation and Enforcement. collection request to OMB. requirements of the National This notice provides the public with ACTION: Notice and request for Environmental Policy Act of 1969, as 60 days in which to comment on the comments. amended (42 U.S.C. 4321 et seq.), and following information collection the Department of the Interior Manual SUMMARY: In compliance with the activity: (516 DM 1–6), and is in the exercise of Paperwork Reduction Act of 1995, the Title: Permanent Program authority delegated to the Assistant Office of Surface Mining Reclamation Performance Standards—Surface and Secretary—Indian Affairs by 209 DM 8. and Enforcement (OSM) is announcing Underground Mining Activities, 30 CFR Dated: September 26, 2003. its intention to request approval for the parts 816 and 817. Aurene M. Martin, collection of information for the OMB Control Number: 1029–0047. Principal Deputy Assistant Secretary—Indian permanent program performance Summary: Sections 515 and 516 of the Affairs. standards—surface mining activities Surface Mining Control and [FR Doc. 03–25320 Filed 10–6–03; 8:45 am] and underground mining activities at 30 Reclamation Act of 1977 provides that BILLING CODE 4310–W7–P CFR parts 816 and 817. permittees conducting coal mining DATES: Comments on the proposed operations shall meet all applicable information collection must be received performance standards of the Act. The DEPARTMENT OF THE INTERIOR by December 8, 2003, to be assured of information collected is used by the Bureau of Land Management consideration. regulatory authority in monitoring and ADDRESSES: Comments may be mailed to inspecting surface coal mining activities [OR–010–1020–PK; HAG 04–0001] John A. Trelease, Office of Surface to ensure that they are conducted in Mining Reclamation and Enforcement, compliance with the requirements of the Meeting Notice for the Southeast Act. Oregon Resource Advisory Council 1951 Constitution Ave., NW., Room 210—SIB, Washington, DC 20240. Bureau Form Number: None. AGENCY: Bureau of Land Management Comments may also be submitted Frequency of Collection: Once, on (BLM), Lakeview District. electronically to [email protected]. occasion, quarterly and annually.
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Description of Respondents: Coal June 19, 2003, (68 FR 26841), Drug Schedule mining operators and State regulatory AccusStandard Inc., 125 Market Street, authorities. New Haven, Connecticut 06513, made Trimeperidine (9646) ...... I Total Annual Responses: 186,341. application by renewal and on May 7, Phenomorphan (9647) ...... I Total Annual Burden Hours: 870,333. 2003, by letter to the Drug Enforcement Propiram (9649) ...... I Administration to be registered as a bulk 1-Methyl-4-phenyl-4- I Dated: October 1, 2003. propionoxypiperidine (9661). Richard G. Bryson, manufacturer of the basic classes of 1- (2-Phenylethyl) -4-phenyl-4- I Chief, Division of Regulatory Support. Schedule I and II controlled substances acetoxypiperidine (9663). [FR Doc. 03–25299 Filed 10–6–03; 8:45 am] listed below: Tilidine (9750) ...... I Para-Fluorofentanyl (9812) ...... I BILLING CODE 4310–05–M Drug Schedule 3-Methylfentanyl (9813) ...... I Alpha-Methylfentanyl (9814) ...... I Cathinone (1235) ...... I Acetyl-alpha-methylfentanyl I DEPARTMENT OF JUSTICE Methcathinone (1237) ...... I (9815). N-Ethylamphetamine (1475) ...... I Benzylfentanyl (9818) ...... I Drug Enforcement Administration N,N-Dimethylamphetamine (1480) I Beta-Hydroxyfentanyl (9830) ...... I Fenethylline (1503) ...... I Beta-Hydroxy-3-methylfentanyl I Manufacturer of Controlled Aminorex (1585) ...... I (9831). Substances; Notice of Application 4-Methylaminorex (cis isomer) I Alpha-Methylthiofentanyl (9832) ... I (1590). 3-Methylthiofentanyl (9833) ...... I Pursuant to § 1301.33(a) of Title 21 of Gamma hydroxybutyric acid I Thenylfentanyl (9834) ...... I the Code of Federal Regulations (CFR), (2010). Thiofentanyl (9835) ...... I this is notice that on July 1, 2003, Methaqualone (2565) ...... I Amphetamine (1100) ...... II Cayman Chemical Company, 1180 East Mecloqualone (2372) ...... I Methamphetamine (1105) ...... II Ellsworth Road, Ann Arbor, Michigan Alpha-Ethyltryptamine (7249) ...... I Phenmetrazine (1631) ...... II 48108, made application by renewal to Ibogaine (7260) ...... I Methylphenidate (1724) ...... II Lysergic acid diethylamide (7315) I Amobarbital (2125) ...... II the Drug Enforcement Administration Tetrahydrocannabinols (7370) ..... I (DEA) for registration as a bulk Pentobarbital (2270) ...... II Mescaline (7381) ...... I Secobarbital (2315) ...... II manufacturer of the basic classes of 3,4,5-Trimethoxyamphetamine I Glutethimide (2250) ...... II controlled substances listed below: (7390). Nabilone (7379) ...... II 4-Bromo-2,5- I 1-Phenylcylohexylamine (7460) ... II Drug Schedule dimethoxyamphetamine (7391). Phencyclidine (7471) ...... II 4-Bromo-2,5- I Phenylacetone (8501) ...... II Marihauna (7360) ...... I dimethoxyphenethylamine 1-Piperidinocyclohexane-. Tetrahydrocannabinols (7370) ..... I (7392). carbonitrile (8603) ...... II 4-methyl-2,5- I Alphaprodine (9010) ...... II The firm plans to manufacture small dimethoxyamphetamine (7395). Anileridine (9020) ...... II quantities of marijuana derivatives for 2,5-Dimethoxymphetamine (7396) I Cocaine (9041) ...... II research purpose. 2,5-Dimethoxy-4- I Codeine (9050) ...... II Any other such applicant and any ethylamphetamine (7399). Diprenorphine (9058) ...... II person who is presently registered with 3,5-Methylenedioxyamphetamine I Etorphine HCL (9059) ...... II DEA to manufacture such substances (7400). Dihydrocodeine (9120) ...... II 5-Methoxy-3,4- I may file comments or objections to the Oxycodone (9143) ...... II methylenedioxyamphetamine Hydromorphone (9150) ...... II issuance of the proposed registration. (7401). Diphenoxylate (9170) ...... II Any such comments or objections may N-Hydroxy-3,4- I Benzoylecgonine (9180) ...... II be addressed, in quintuplicate, to the methylenedioxyamphetamine Ecgonine (9180) ...... II Deputy Assistant Administrator, Office (7402). Ethylmorphine (9190) ...... II of Diversion Control, Drug Enforcement 3,4-Methylenediocy-N- I Hydrocodone (9193) ...... II Administration, United States ethylamphetamine (7404). Levomethorphan (9210) ...... II Department of Justice, Washington, DC 3,4- I Levorphanol (9220) ...... II 20537, Attention: Federal Register Methylenedioxymethamphetam- Isomethadone (9226) ...... II ine (7405). Meperidine (9230) ...... II Representative, Office of Chief Counsel 4-Methoxyamphetamine (7411) ... I Meperidine intermediate-A (9232) II (CCD) and must be filed no later than Befotenine (7433) ...... I Meperidine intermediate-B (9233) II December 8, 2003. Diethyltryptamine (7434) ...... I Meperidine intermediate-C (9234) II Dated: September 17, 2003. Dimethyltryptamine (7435) ...... I Metazocine (9240) ...... II Laura M. Nagel, Psilocybin (7437) ...... I Methadone (9250) ...... II Psilocyn (7438) ...... I Methadone intermediate (9254) ... II Deputy Assistant Administrator, Office of N-Ethyl-1-phenylcyclohexylamine I Metopon (9260) ...... II Diversion Control. (7455). Morphine (9300) ...... II [FR Doc. 03–25310 Filed 10–6–03; 8:45 am] 1-(1-Phenylcyclohexyl) pyrrolidine I Thebaine (9333) ...... II BILLING CODE 4410–09–M (PCPY) (7458). Dihydroetorphine (9334) ...... II Noracymethadol (9633) ...... I Opium, raw (9600) ...... II Norlevorphanol (9634) ...... I Opium tincture (9630) ...... II DEPARTMENT OF JUSTICE Normethadone (9635) ...... I Opium powered (9639) ...... II Norpipanone (9636) ...... I Levo-alphacetylmethadol (9648) .. II Drug Enforcement Administration Phenadoxone (9637) ...... I Oxymorphone (9652) ...... II Phenampromide (9638) ...... I Phenazocine (9715) ...... II Manufacturer of Controlled Phenoperidine (9641) ...... I Piminodine (9730) ...... II Substances; Notice of Registration Piritramide (9642) ...... I Racemethorphan (9732) ...... II Proheptazine (9643) ...... I Racemorphan (9733) ...... II By Notice dated June 6, 2003, and Properidine (9644) ...... I Alfentanil (9737) ...... II published in the Federal Register on Racemoramide (9645) ...... I Remifentanil (9739) ...... II
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Drug Schedule section 823(a) and determined that the Office of Diversion Control, Drug registration of CellTech Manufacturing Enforcement Administration, United Sufentanil (9740) ...... II CA. Inc. to manufacture the listed States Department of Justice, Carfentanil (9743) ...... II controlled substance is consistent with Washington, DC 20537, Attention: Bezitramide (9800) ...... II the public interest at this time. DEA has Federal Register Representative, Office Fentanyl (9801) ...... II investigated CellTech Manufacturing Moramide-intermediate (9802) ..... II of Chief Counsel (CCD) and must be CA., Inc. to ensure that the company’s filed no later than December 8, 2003. The firm plans to manufacture small registration is consistent with the public Dated: September 17, 2003. quantities of bulk material for use in interest. This investigation has included Laura M. Nagel, reference standards. inspection and testing of the company’s Deputy Assistant Administrator, Office of No comments or objections have been Diversion Control. received. DEA has considered the physical security systems, verification of the company’s compliance with state [FR Doc. 03–25309 Filed 10–6–03; 8:45 am] factors in Title 21, United States Code, BILLING CODE 4410–09–M Section 823(a) and determined that the and local laws, and a review of the registration of AccuStandard Inc. to company’s background and history. Therefore, pursuant to 21 U.S.C. 823 manufacture the listed controlled DEPARTMENT OF JUSTICE substances is consistent with the public and 28 CFR 0.100 and 0.104, the Deputy interest at this time. DEA has Assistant Administrator, Office of Drug Enforcement Administration investigated AccuStandard Inc. to Diversion Control, hereby orders that ensure that the company’s registration is the application submitted by the above Manufacturer of Controlled consistent with the public interest. This firm for registration as a bulk Substances; Notice of Registration investigation has included inspection manufacturer of the basic class of By Notice dated May 16, 2003, and and testing of the company’s physical controlled substance listed is granted. published in the Federal Register on security systems, verification of the Dated: September 17, 2003 June 11, 2003, (68 FR 35006), Noramco, company’s compliance with state and Laura M. Nagel, Inc. (formerly Noramco of Delaware, local laws, and a review of the Deputy Assistant Administrator, Office of Inc.), 500 Swedes Landing Road, company’s background and history. Diversion Control, Drug Enforcement Wilmington, Delaware 19801, made Therefore, pursuant to 21 U.S.C. 823 Administration. application by renewal and on and 28 CFR 0.100 and 0.104, the Deputy [FR Doc. 03–25408 Filed 10–6–03; 8:45 am] December 4 and 26, 2002, by letters to Assistant Administrator, Office of BILLING CODE 4410–09–M Diversion Control, hereby orders that the Drug Enforcement Administration to the application submitted by the above be registered as a bulk manufacturer of firm for registration as a bulk DEPARTMENT OF JUSTICE the basic classes of controlled manufacturer of the basic classes of substances listed below: controlled substances listed is granted. Drug Enforcement Administration Drug Sched- Dated: September 17, 2003. Manufacturer of Controlled ule Laura M. Nagel, Substances; Notice of Application Codeine-N-Oxide (9053) ...... I Deputy Assistant Administrator, Office of Morphine-N-Oxide (9307) ...... I Diversion Control, Drug Enforcement Pursuant to § 1301.33(a) of Title 21 of Codeine (9050) ...... II Administration. the Code of Federal Regulations (CFR), Oxycodone (9143) ...... II [FR Doc. 03–25308 Filed 10–6–03; 8:45 am] this is notice that on June 19, 2003, National Center for Natural Products Hydrocodone (9193) ...... II BILLING CODE 4410–09–M Morphine (9300) ...... II Research—NIDA MProject, University of Thebaine (9333) ...... II Mississippi, 135 Coy Waller Complex, Oxymorphone (9652) ...... II DEPARTMENT OF JUSTICE University, Mississippi 38677, made application by renewal to the Drug The firm plans to manufacture the Drug Enforcement Administration Enforcement Administration (DEA) for listed controlled substances for registration as a bulk manufacturer of distribution to its customers as bulk Manufacturer of Controlled the basic classes of controlled products. substances; Notice of Registration substances listed below: No comments or objections have been By Notice dated June 6, 2003, and received. DEA has considered the Drug Schedule published in the Federal Register on factors in Title 21, United States Code, June 19, 2003, (68 FR 36843), CellTech Marihuana (7360) ...... I section 823(a) and determined that the Manufacturing CA., Inc., 3501 West Tetrahydrocannabinols (7370) ..... I registration of Noramco, Inc. to Garry Avenue, Santa Ana, California manufacture the listed controlled 92704, made application by renewal to The firm plans to cultivate marijuana substances is consistent with the public the Drug Enforcement Administration to for the National Institute of Drug Abuse interest at this time. DEA has be registered as a bulk manufacturer of for research approved by the investigated Noramco, Inc. to ensure Methylphenidate (1724), a basic class of Department of Health and Human that the company’s registration is controlled substance listed in Schedule Services. consistent with the public interest. This II. Any other such applicant and any investigation has included inspection The firm plans to manufacture the person who is presently registered with and testing of the company’s physical controlled substance to make finished DEA to manufacture such substances security systems, verification of the dosage forms for distribution to its may file comments or objections to the company’s compliance with state and customers. issuance of the proposed registration. local laws, and a review of the No comments or objections have been Any such comments or objections company’s background and history. received. DEA has considered the may be addressed, in quintuplicate, to Therefore, pursuant to 21 U.S.C. 823 factors in Title 21, United States Code, the Deputy Assistant Administrator, and 28 CFR 0.100 and 0.104, the Deputy
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Assistant Administrator, Office of the company’s registration is consistent Attn: OMB Desk Officer for the Diversion control, hereby orders that the with the public interest. This Employment and Training application submitted by the above firm investigation has included inspection Administration (ETA), Office of for registration as a bulk manufacturer and testing of the company’s physical Management and Budget, Room 10235, of the basic classes of controlled security systems, verification of the Washington, DC 20503 (202–395–7316/ substances listed is granted. company’s compliance with state and this is not a toll-free number), within 30 Dated: September 17, 2003. local laws, and a review of the days from the date of this publication in Laura M. Nagel, company’s background and history. the Federal Register. Deputy Assistant Administrator, Office of Therefore, pursuant to 21 U.S.C. 823 The OMB is particularly interested in Diversion Control, Drug Enforcement and 28 CFR 0.100 and 0.104, the Deputy comments which: Administration. Assistant Administrator, Office of • Evaluate whether the proposed [FR Doc. 03–25409 Filed 10–6–03; 8:45 am] Diversion Control, hereby orders that collection of information is necessary BILLING CODE 4410–09–M the application submitted by the above for the proper performance of the firm for registration as a bulk functions of the agency; including manufacturer of the basic classes of whether the information will have DEPARTMENT OF JUSTICE controlled substances listed is granted. practical utility; • Dated: September 17, 2003. Evaluate the accuracy of the Drug Enforcement Administration Laura M. Nagel, agency’s estimate of the burden of the proposed collection of information, Deputy Assistant Administrator, Office of Manufacturer of Controlled including the validity of the Substances; Notice of Registration Diversion Control, Drug Enforcement Administration. methodology and assumptions used; • By Notice dated May 16, 2003, and [FR Doc. 03–25407 Filed 10–6–03; 8:45 am] Enhance the quality, utility, and clarity of the information to be published in the Federal Register on BILLING CODE 4410–09–M June 11, 2003, (68 FR 35006), Varian, collected; and Inc., Lake Forest, 25200 Commercentre • Minimize the burden of the Drive, Lake Forest, California 92630– collection of information on those who 8810, made application by renewal to DEPARTMENT OF LABOR are to respond, including through the the Drug Enforcement Administration to use of appropriate automated, Office of the Secretary be registered as a bulk manufacturer of electronic, mechanical, or other the basic classes of controlled Submission for OMB Review; technological collection techniques or substances listed below: Comment Request other forms of information technology, e.g., permitting electronic submission of Drug Schedule September 12, 2003. responses. The Department of Labor (DOL) has Agency: Employment and Training Phencyclidine (7471) ...... II Administration. 1-Piperidinocyclohexane- submitted the following public carbonitrile (8603) ...... II information collection request (ICR) to Type of Review: Reinstatement, with Benzoylecgonine (9180) ...... II the Office of Management and Budget change, of a previously approved (OMB) for review and approval in collection for which approval has The firm plans to manufacture small accordance with the Paperwork expired. quantities of controlled substances for Reduction Act of 1995 (Pub. L. 104–13, Title: Indian and Native American use in diagnostic products. 44 U.S.C. chapter 35). A copy of this Welfare-to-Work Program—Report forms No comments or objections have been ICR, with applicable supporting and instructions. received. DEA has considered the documentation, may be obtained by OMB Number: 1205–0386. factors in Title 21, United States Code, calling the Department of Labor. To Affected Public: State, local, or tribal Section 823(a) and determined that the obtain documentation, contact Darrin govt. registration of Varian, Inc. to King on 202–693–4129 (this is not a toll- Frequency: On occasion and manufacture the listed controlled free number) or E-Mail: quarterly. substances is consistent with the public [email protected]. Type of Response: Recordkeeping and interest at this time. DEA has Comments should be sent to Office of reporting. investigated Varian, Inc. to ensure that Information and Regulatory Affairs, Number of Respondents: 40.
Average re- Information collection requirements Annual re- Frequency sponse time Annual burden sponses (hours) hours
ETA 9069 (Participation and Characteristics 160 Quarterly ...... 9 1,440 Report). ETA 9069–1 (Financial Status Report) ...... 160 Quarterly ...... 9 1,440 Recordkeeping ...... 6,600 Occasion ...... 3 19,800
Total ...... 6,920 ...... 22,680
Total Annualized capital/startup Description: This request is for two years, so that the last possible costs: $0. reinstatement of a previously-approved report(s) submitted would be for the Total annual costs (operating/ reporting package that expired on 09/ period (quarter) ending 09/30/2004. The maintenance systems or purchasing 30/2001. The period available for proposed changes to section II of ETA services): $396,000. expenditure of INA WtW funds has been 9069 are indicated in statute by the 1999 extended by statute for an additional Amendments.
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Other than the accompanying changes vocational, educational and social skills II. Review Focus to the instructions, there are otherwise training, and other support services in The Department of Labor is no changes to the previously-approved order to gain meaningful employment, particularly interested in comments package. return to school or enter the Armed which: Forces. Job Corps is operated by the Ira L, Mills, • Evaluate whether the proposed Department of Labor through a collection of information is necessary Departmental Clearance Officer. nationwide network of 118 Job Corps [FR Doc. 03–25377 Filed 10–6–03; 8:45 am] for the proper performance of the centers. The program is primarily a functions of the agency, including BILLING CODE 4510–23–M residential program operating 24 hours whether the information will have per day, 7 days per week, with non- practical utility; resident enrollees limited by legislation DEPARTMENT OF LABOR • Evaluate the accuracy of the to 20 percent of national enrollment. agency’s estimate of the burden of the Employment and Training These centers presently accommodate proposed collection of information, Administration more than 40,000 students. To ensure including the validity of the that the centers are filled with youth methodology and assumptions used; Proposed Collection; Comment who are low-income, as well as capable • Enhance the quality, utility, and Request of and committed to doing the work clarity of the information to be necessary to achieve the benefits of Job collected; and ACTION: Notice. Corps, certain eligibility requirements • Minimize the burden of the have been established by the legislation. SUMMARY: The Department of Labor, as collection of information on those who part of its continuing effort to reduce The purpose of this collection is to are to respond, including through the paperwork and respondent burden, gather information from applicants to use of appropriate automated, conducts a preclearance consultation determine their eligibility for Job Corps. electronic, mechanical, or other program to provide the general public These forms are critical to the screening technological collection techniques or and Federal agencies with an process. They are the initial forms other forms of information technology, opportunity to comment on proposed completed by the Job Corps admissions e.g., permitting electronic submissions and/or continuing collections of counselors for each applicant. of responses. information in accordance with the The ETA 652, Job Corps Data Sheet, III. Current Actions Paperwork Reduction Act of 1995 is used to obtain information for Data previously collected on the (PRA95) [44 U.S.C. 3506(c)(2)(A)]. This screening and enrollment purposes to following Job Corps application forms program helps to ensure that requested determine eligibility for the Job Corps are now being collected from data input data can be provided in the desired program in accordance with the screens that electronically transmit data format, reporting burden (time and requirements of the Workforce to a Center Information System (CIS). financial resources) is minimized, Investment Act (§ 145 Recruitment, Job Corps has continued to collect collection instruments are clearly Screening, Selection and Assignment of application data because it was understood, and the impact of collection Enrollees). It is prepared electronically necessary to the application process that requirements on respondents can be by an admissions counselor for each youth receiving training on Job Corps properly assessed. Currently, the applicant. It also provides demographic centers be eligible for the benefits Employment and Training characteristics for program reporting provided. Administration is soliciting comments purposes. Data for the forms are Job Corps has now implemented concerning the proposed consolidation collected by interview. The information electronic collection of data during the and renewal of Job Corps applicant collected determines eligibility in regard Job Corps application process and the forms. A copy of the proposed to age, legal U.S. residency, family changes required by the WIA have been information collection request (ICR) can income/welfare status, school status, incorporated in the collection. We be obtained by contacting the office behavioral problems (if any), parental request that the following data used in listed below in the ADDRESSES section of consent, and child care needs of each the application process be extended this notice. applicant. under OMB 1205–0025: DATES: Written comments must be The ETA 655, Statement from Court ETA 652, Job Corps Data Sheet, submitted to the office listed in the or Other Agency, and ETA 655A, ETA 655, Statement from Court or ADDRESSES section below on or before Statement from Institution, collect Other Agency, and ETA 682, Child Care December 8, 2003. essential information for determining an Certification. ADDRESSES: Gayle Cody, Office of Job applicant’s eligibility. They are used to The deletion of these forms and Corps, 200 Constitution Avenue NW., document past behavior problems for all electronic collection of the information Room N–4507, Washington, DC 20210. applicants, as well as provide a basis for will result in a reduction in paperwork E-Mail Internet address: projecting future behavior. If this burden hours and a streamlined [email protected]; Telephone number: information were not obtained, serious electronic application. (202) 693–3105. (This is not a toll-free problems could result from enrolling Type of Review: Extension. number); Fax number: (202) 693–3113 potentially harmful or disruptive Agency: Employment and Training (This is not a toll-free number). individuals in Job Corps, which is a Administration. SUPPLEMENTARY INFORMATION: residential program. This could have Title: Application Data Collection. legal implications for the Federal OMB Number: 1205–0025. I. Background government. Agency Numbers: ETA 652, ETA 655, The Job Corps program authorized by The ETA 682, Child Care and ETA 682. the Workforce Investment Act (WIA) of Certification, is used to certify an Recordkeeping: The applicant is not 1998, is designed to serve low-income applicant’s arrangements for care of a required to retain records; admissions young women and men, 16 through 24, dependent child(ren) while the counselors or contractor main offices are who are in need of additional applicant is in Job Corps. required to retain records of applicants
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who enroll in the program for 3 years Affected Public: Individuals; business institutions; State, Local or Tribal from the date of application. or other for-profit/not-for-profit Government.
Total re- Average time per Burden Title spondents Frequency respondent hours
Job Corps Application: ETA 652 ...... 102,833 1/person ...... 10 minutes ...... 17,139 Statement from Court or Other Agency: ETA 655 ...... 102,833 1/person ...... 1 minute ...... 1,714 Child Care Certification: ETA 682 ...... 4,886 On occasion ...... 30 seconds ...... 41
Total Burden Hours ...... 18,894
Total Burden Cost (capital/startup): DEPARTMENT OF LABOR degrees Fahrenheit’’, and to replace When the electronic system was Paragraph V.(C) as follows: ‘‘In addition initially piloted and implemented in Mine Safety and Health Administration to the requirements of V.(B), diesel- 1996, the start-up costs totaled powered equipment classified as heavy- Petitions for Modification $2,680,000, including $2,000,000 for duty under 30 CFR 75–1908(a), must 925 computer workstations, $480,000 The following parties have filed include a means, maintained in for training Job Corps admissions petitions to modify the application of operating condition, to prevent the counselors and center staff and, in 1997, existing safety standards under section spray from ruptured diesel fuel, $200,000 for replacements and memory 101(c) of the Federal Mine Safety and hydraulic oil, and lubricating oil lines upgrades. These were one-time-only Health Act of 1977. from being ignited by contact with costs. engine exhaust system component 1. Tito Coal surfaces such as shielding, conduit, Total Burden Cost (operating/ [Docket No. M–2003–062–C] non-absorbent insulating materials, or maintaining): Operating and Tito Coal, 118 Fairview Lane, other similar means.’’ The petitioner maintenance services associated with Williamstown, Pennsylvania 17098 has asserts that covering the exhaust this data collection are contracted yearly filed a petition to modify the systems would present a diminution of by the Federal government with application of 30 CFR 75.1002–1 (now safety to the miners due to the outreach and admissions contractors, 75.1002) (Installation of electric possibility that combustible material according to designated recruiting areas. equipment and conductors; can accumulate under the insulating This is one of the many functions the permissibility) to its White Vein Slope material often creating a potential fire contractors perform for which precise (MSHA I.D. No. 36–06815) located in hazard. costs cannot be identified. Based on past Schuylkill County, Pennsylvania. The 3. Eastern Associated Coal Corp. experience of recruitment contractors, petitioner requests a modification in the however, the annual cost for contractor application of the existing standard to [Docket No. M–2003–064–C] staff and related costs is estimated to be permit the use of non-permissible Eastern Associated Coal Corp., 1970 about $821,399. An additional cost of electric equipment within 150 feet of Barrett Court, P.O. Box 1990, $29,191 is added for the value of the pillar line. The petitioner states that Henderson, Kentucky 42419–1990 has applicant time, making a total cost of the non-permissible equipment would filed a petition to modify the $850,590. For the approximately 70 include drags and battery locomotives application of 30 CFR 75.1108(Flame- percent of Job Corps applicants who due in part to the method of mining resistant conveyor belts) to its Matewan used in pitching anthracite mines and Tunnel Mine (MSHA I.D. No. 46–08610) have never worked, no value is the alternative evaluation of the mine located in Boone County, West Virginia. determined. For the remaining 30 air quality for methane on an hourly The petitioner proposes to use percent of applicants who have been in basis during operation. The petitioner approximately 10,000 feet of the total the work force previously for any length asserts that the proposed alternative 26,000 feet of belt in a specific location of time, whether full-time or less, the method would provide at least the same and application with safeguards in place current minimum wage of $5.15 is used measure of protection as the existing that would guarantee and provide no to determine the value of applicant time standard. less than the same degree of safety as (ETA 652: $26,480, ETA 655: $2,648, the existing standard, in lieu of using 2. Canyon Fuel Company, LLC and ETA 682: $63). underground belting that meets the Comments submitted in response to [Docket No. M–2003–063–C] requirements for flame-resistant this comment request will be Canyon Fuel Company, LLC, P.O. Box conveyor belts. The petitioner asserts summarized and/or included in the 1029, Wellington, Utah 84542 has filed that the proposed alternative method request for Office of Management and a petition to modify the application of would provide at least the same Budget approval of the information 30 CFR 75.350 (Air courses and belt measure of protection as the existing collection request; they will also haulage entries) to its Dugout Canyon standard. Mine (MSHA I.D. No. 42–01890) located become a matter of public record. 4. D & D Coal Co. in Carbon County, Utah. The petitioner David Dye, requests that its previous petition for [Docket No. M–2003–065–C) Deputy Assistant Secretary, Employment and modification, docket number M–2000– D & D Coal Co., 320 East Main Street, Training Administration. 171–C, be amended to remove the Hegins, Pennsylvania 17938 has filed a [FR Doc. 03–25376 Filed 10–6–03; 8:45 am] following language in Paragraph V.(C): petition to modify the application of 30 BILLING CODE 4510–23–M ‘‘must include a means, maintained in CFR 75.333(e)(1)(ii) (Ventilation operating condition, to maintain the controls) to its Primrose Slope Mine surface temperature of the exhaust (MSHA I.D. No. 36–08341) located in system of diesel equipment below 302 Schuylkill County, Pennsylvania. The
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petitioner requests a modification of the units (III mines)) to its FMC No. 9 Disability, 1331 F Street, NW, Suite 850, existing standard to permit the use of a Ventilation Shaft Project (MSHA I.D. No Washington, D.C. 20004; 202–272–2004 2 x 3 foot diameter fiberglass overcast in 48–00152) located in Sweetwater (Voice), 202–272–2074 (TTY), 202–272– the intake slope that is 20 feet in length. County, Wyoming. The petitioner 2022 (Fax), [email protected] (E-mail) The petitioner asserts that the proposed proposes to use electric detonators to AGENCY MISSION: The National Council alternative method would provide at initiate blasts but requests a on Disability (NCD) is an independent least the same measure of protection as modification of the existing standard to federal agency composed of 15 members the existing standard. allow the use of nonel detonators to appointed by the President and detonate the explosives in the blast 5. Little Eagle Coal Company confirmed by the U.S. Senate. Its overall holes. The petitioner asserts that the purpose is to promote policies, [Docket No. M–2003–066–C] proposed alternative method would programs, practices, and procedures that Little Eagle Coal Company, Route 16 provide at least the same measure of guarantee equal opportunity for all Fola Road, Bickmore, West Virginia protection as the existing standard. people with disabilities, including 25019 has filed a petition to modify the Request for Comments people from culturally diverse application of 30 CFR 75.900 (Low- and backgrounds, regardless of the nature or medium-voltage circuits serving three- Persons interested in these petitions significance of the disability; and to phase alternating current equipment; are encouraged to submit comments via empower people with disabilities to circuit breakers) to its Little Eagle Mine e-mail to [email protected], or on a achieve economic self-sufficiency, (MSHA I.D. No. 46–08560) located in computer disk along with an original independent living, and inclusion and Clay County, West Virginia. The hard copy to the Office of Standards, integration into all aspects of society. Regulations, and Variances, Mine Safety petitioner proposes to use a vacuum ACCOMMODATIONS: Those needing sign and Health Administration, 1100 contactor in series with the circuit language interpreters or other disability Wilson Boulevard, Room 2350, breaker to perform tripping tasks accommodations should notify NCD at Arlington, Virginia 22209. All normally associated with the circuit least one week before this meeting. breaker. The petitioner has listed in this comments must be postmarked or LANGUAGE TRANSLATION: In accordance petition for modification specific received in that office on or before with Executive Order 13166, Improving procedures that would be followed November 6, 2003. Copies of these Access to Services for Persons with when using vacuum contactors. The petitions are available for inspection at Limited English Proficiency, those petitioner asserts that the proposed that address. people with disabilities who are limited alternative method would provide at Dated at Arlington, Virginia, this 29th day English proficient and seek translation least the same measure of protection as of September, 2003. services for this meeting should notify the existing standard. Marvin W. Nichols, Jr., NCD at least one week before this 6. Canyon Fuel Company, LLC Director, Office of Standards, Regulations, meeting. and Variances. MULTIPLE CHEMICAL SENSITIVITY/ [Docket No. M–2003–067–C] [FR Doc. 03–25410 Filed 10–6–03; 8:45 am] ENVIRONMENTAL ILLNESS: People with Canyon Fuel Company, LLC, P.O. Box BILLING CODE 4510–43–P 1029, Wellington, Utah 84542 has filed multiple chemical sensitivity/ a petition to modify the application of environmental illness must reduce their exposure to volatile chemical 30 CFR 75.350 (Air courses and belt NATIONAL COUNCIL ON DISABILITY haulage entries) to its Dugout Canyon substances to attend this meeting. To Mine (MSHA I.D. No. 42–01890) located Sunshine Act Meetings reduce such exposure, NCD requests in Carbon County, Utah. The petitioner that attendees not wear perfumes or requests that its previous petition for TIME AND DATES: 8:30 a.m.–5 p.m., scented products at this meeting. modification, docket number M–2000– November 22, 2003; 8:30 a.m.–12 p.m., Smoking is prohibited in meeting rooms 171–C, be amended, as it relates to two- November 23, 2003 and surrounding areas. entry longwall retreat mining, to add the PLACE: Ritz-Carlton, Pentagon City, 1250 Dated: October 2, 2003. following paragraph: ‘‘In the event South Hayes Street, Arlington Virginia Ethel D. Briggs, hydrogen sulfide is encountered during STATUS: Parts of this meeting will be Executive Director. the development phase of a longwall open to the public. The rest of the [FR Doc. 03–25498 Filed 10–3–03; 11:06 am] panel, the petitioner shall have the meeting will be closed to the public. BILLING CODE 6820–MA–P option of utilizing the conveyor belt MATTERS TO BE CONSIDERED: Reports entry as a neutral split of air during from the Chairperson and the Executive retreat mining operations. The belt air Director, Committee Meetings and shall be coursed away from the longwall NATIONAL FOUNDATION ON THE Committee Reports, Executive Session, section, in lieu of ‘point feeding’ the ARTS AND THE HUMANITIES Unfinished Business, New Business, intake air at the mouth of the section.’’ Announcements, Adjournment National Endowment for the Arts; The petitioner asserts that the proposed Combined Arts Advisory Panel alternative method would provide at PORTIONS OPEN TO THE PUBLIC: Reports least the same measure of protection as from the Chairperson and the Executive Pursuant to Section 10(a)(2) of the the existing standard. Director, Committee Meetings and Federal Advisory Committee Act (Pub. Committee Reports, Unfinished 7. Dynatec Mining Corporation L. 92–463), as amended, notice is hereby Business, New Business, given that a meeting of the Combined [Docket No. M–2003–004–M] Announcements, Adjournment Arts Advisory Panel, Arts Education Dynatec Mining Corporation, 2200 PORTIONS CLOSED TO THE PUBLIC: section (Learning in the Arts for South 4000 West, Salt Lake City, Utah Executive Session Children and Youth category) to the 84120 has filed a petition to modify the CONTACT PERSON FOR MORE INFORMATION: National Council on the Arts will be application of 30 CFR 57.22606(a) and Mark S. Quigley, Director of held on October 27–31, 2003 in Room (c) (Explosive materials and blasting Communications, National Council on 716 at the Nancy Hanks Center, 1100
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Pennsylvania Avenue, NW., If you need special accommodations please take notice that the Nuclear Washington, DC, 20506. due to a disability, please contact the Regulatory Commission has received the A portion of this meeting, from 12:30 Office of AccessAbility, National following request to amend an import p.m. to 1:30 p.m. on October 31st, will Endowment for the Arts, 1100 license. Copies of the request are be open to the public for policy Pennsylvania Avenue, NW., available electronically through ADAMS discussion. The remaining portions of Washington, DC 20506, 202/682–5532, and can be accessed through the Public this meeting, from 9 a.m. to 6 p.m. on TDY–TDD 202/682–5496, at least seven Electronic Reading Room (PERR) link October 27th—30th, and from 9 a.m. to (7) days prior to the meeting. http://www.nrc.gov/NRC/ADAMS/ 12:30 p.m. and 1:30 p.m. to 3:30 p.m. on Further information with reference to index.html at the NRC homepage. October 31st, will be closed. this meeting can be obtained from Ms. The closed portions of these meetings Kathy Plowitz-Worden, Office of A request for a hearing or petition for are for the purpose of Panel review, Guidelines & Panel Operations, National leave to intervene may be filed within discussion, evaluation, and Endowment for the Arts, Washington, 30 days after publication of this notice recommendation on applications for DC, 20506, or call 202/682–5691. in the Federal Register. Any request for financial assistance under the National hearing or petition for leave to intervene Dated: October 2, 2003. Foundation on the Arts and the shall be served by the requestor or Kathy Plowitz-Worden, Panel Coordinator, Humanities Act of 1965, as amended, petitioner upon the applicant, the Office including information given in Panel Operations, National Endowment for of the General Counsel, U.S. Nuclear the Arts. confidence to the agency by grant Regulatory Commission, Washington DC [FR Doc. 03–25332 Filed 10–6–03; 8:45 am] applicants. In accordance with the 20555; the Secretary, U.S. Nuclear determination of the Chairman of April BILLING CODE 7537–01–P Regulatory Commission, Washington, 30, 2003, these sessions will be closed DC 20555; and the Executive Secretary, to the public pursuant to subsection U.S. Department of State, Washington, (c)(6) of section 552b of Title 5, United NUCLEAR REGULATORY DC 20520. States Code. Any person may observe meetings, or COMMISSION The information concerning this portions thereof, of advisory panels that Request To Amend a License To amendment request follows. are open to the public, and, if time Import Radioactive Waste allows, may be permitted to participate in the panel’s discussions at the Pursuant to 10 CFR 110.70(C) ‘‘Public discretion of the panel chairman. notice of receipt of an application,’’
NRC IMPORT LICENSE APPLICATION
Name of applicant, date Description of material of application, date re- Country of or- ceived, application num- End use igin ber, docket number Material type Total qty
Philotechnics, Ltd., June Class A radiocative 50,000.00 kgs DU metal, aircraft counter- Amend to increase quan- United King- 17, 2003, June 24, waste, as DU air- weights. tity, extend expiration dom. 2003, IW010/01, craft counterweights. date, add intermediate 11005216. US consignee and up- date licensee address. Counterweights to be re- cycled; if disposal nec- essary services to be provided by Waste Con- trol Specialists, L.L.C., Andrews County, TX.
For the Nuclear Regulatory Commission. STATUS: Public and closed. Week of October 13, 2003—Tentative Dated this 30 day of September, 2003, at Rockville Maryland. MATTERS TO BE CONSIDERED: Wednesday, October 15, 2003 Edward T. Baker, Week of October 6, 2003 1:30 p.m. Briefing on License Renewal Deputy Director, Office of International Program, Power Uprate Activities, and Programs. Tuesday, October 7, 2003 High Priority Activities (Public Meeting) [FR Doc. 03–25365 Filed 10–6–03; 8:45 am] 9:30 a.m. Briefing on (Contact: Jimi Yerokun, 301–415–2292) BILLING CODE 7590–01–P Decommissioning Activities and Status This meeting will be webcast live at the Web address—http//www.nrc.gov. (Public Meeting) (Contact: Claudia NUCLEAR REGULATORY Craig, 301–415–7276) Week of October 20, 2003—Tentative COMMISSION This meeting will be webcast live at Thursday, October 23, 2003 the Web address—http//www.nrc.gov. Sunshine Act Meeting 10 a.m. Meeting with Advisory 1:30 p.m. Briefing on Strategic Committee on Nuclear Waste (ACNW) DATE: Weeks of October 6, 13, 20, 27, Workforce Planning and Human Capital (Public Meeting) (Contact: John Larkins, November 3, 10, 2003. Initiatives (Closed—Ex. 2) 301–415–7360) PLACE: Commissioners’ Conference This meeting will be webcast live at Room, 11555 Rockville, Maryland. the Web address—http//www.nrc.gov
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Week of October 27, 2003—Tentative October 20, 2003. The notice must certain issuers to register securities include the individual’s name, under the Securities Act of 1933. The Wednesday, October 29, 2003 organization, address, and telephone Form S–2 provides investors with the 9:30 a.m. Discussion of Security number, and a concise summary of the necessary information to make Issues (Closed—Ex. 1) subject matter to be presented. investment decisions regarding Oral presentations may not exceed ten Week of November 3, 2003—Tentative securities offered to the public. The (10) minutes. The time for individual likely respondents will be public There are no meetings scheduled for presentations may be reduced companies. The information collected the Week of November 3, 2003. proportionately, if necessary, to afford must be filed with the Commission and Week of November 10, 2003—Tentative all participants who have submitted a is publicly available. Form S–2 takes timely request to participate an approximately 470 burden hours to There are no meetings scheduled for opportunity to be heard. prepare and is filed by 101 respondents the Week of November 10, 2003. Participants wishing to submit a for a total of 47,470 burden hours. It is *The schedule for Commission written statement for the record must estimated that 25% of the 47,470 total meetings is subject to change on short submit a copy of such statement to burden hours (11,868 hours) is prepared notice. To verify the status of meetings OPIC’s Corporate Secretary no later than by the company. The remaining 75% of call (recording)—(301) 415–1292. 5 p.m., Monday, October 20, 2003. Such burden hours is attributed to outside Contact person for more information: statements must be typewritten, double- cost. David Louis Gamberoni (301) 415–1651. spaced, and may not exceed twenty-five An agency may not conduct or * * * * * (25) pages. sponsor, and a person is not required to The NRC Commission Meeting Upon receipt of the required notice, respond to, a collection of information Schedule can be found on the Internet OPIC will prepare an agenda for the unless it displays a currently valid at: http://www.nrc.gov/what-we-do/ hearing identifying speakers, setting control number. policy-making/schedule.html. forth the subject on which each participant will speak, and the time Written comments regarding the * * * * * above information should be directed to This notice is distributed by mail to allotted for each presentation. The agenda will be available at the hearing. the following persons: (i) Desk Officer several hundred subscribers; if you no for the Securities and Exchange longer wish to receive it, or would like A written summary of the hearing will be compiled, and such summary will be Commission, Office of Information and to be added to the distribution, please Regulatory Affairs, Office of contact the Office of the Secretary, made available, upon written request to OPIC’s Corporate Secretary, at the cost Management and Budget, Room 10102, Washington, DC 20555 (301–415–1969). New Executive Office Building, In addition, distribution of this meeting of reproduction. FOR FURTHER INFORMATION CONTACT: Washington, DC 20503; and (ii) Kenneth notice over the Internet system is A. Fogash, Acting Associate Executive available. If you are interested in Information on the hearing may be obtained from Connie M. Downs at (202) Director/CIO, Office of Information receiving this Commission meeting Technology, Securities and Exchange schedule electronically, please send an 336–8438, via facsimile at (202) 218– 0136, or via email at [email protected]. Commission, 450 Fifth Street, NW., electronic message to [email protected]. Washington, DC 20549. Comments must Dated: October 2, 2003. Dated: October 2, 2003. be submitted to OMB within 30 days of D.L. Gamberoni, Connie M. Downs, this notice. OPIC Corporate Secretary. Technical Coordinator, Office of the Dated: September 29, 2003. [FR Doc. 03–25554 Filed 10–3–03; 2:22 pm] Secretary. Jill M. Peterson, BILLING CODE 3210–01–M [FR Doc. 03–25489 Filed 10–3–03; 10:47 am] Assistant Secretary. BILLING CODE 7590–01–M [FR Doc. 03–25314 Filed 10–6–03; 8:45 am] SECURITIES AND EXCHANGE BILLING CODE 8010–01–P OVERSEAS PRIVATE INVESTMENT COMMISSION CORPORATION Submission for OMB Review; SECURITIES AND EXCHANGE COMMISSION October 23 Public Hearing; Sunshine Comment Request Act Upon Written Request; Copies Available Submission for OMB Review; From: Securities and Exchange Comment Request TIME AND DATE: 2 p.m., Thursday, Commission, Office of Filings and October 23, 2003. Information Services, Washington, DC Upon Written Request, Copies Available PLACE: Offices of the Corporation, 20549. From: Securities and Exchange Twelfth Floor Board Room, 1100 New Commission, Office of Filings and Extension: Form S–2, OMB Control No. Information Services, Washington, York Avenue, NW., Washington, DC. 3235–0072, SEC File No. 270–060. STATUS: Hearing open to the Public at 2 DC 20549. Notice is hereby given that pursuant p.m. Extension: to the Paperwork Reduction Act of 1995 PURPOSE: Hearing in conjunction with Rule 11a-2, SEC File No. 270–267, OMB (44 U.S.C. 3501 et seq.) the Securities Control No. 3235–0272. each meeting of OPIC’s Board of and Exchange Commission Directors, to afford an opportunity for (‘‘Commission’’) has submitted to the Notice is hereby given that pursuant any person to present views regarding Office of Management and Budget a to the Paperwork Reduction Act of 1995 the activities of the Corporation. request for an extension of the (44 U.S.C. 3501 et seq.) the Securities PROCEDURES: Individuals wishing to previously approved collection of and Exchange Commission address the hearing orally must provide information discussed below. (‘‘Commission’’) has submitted to the advance notice to OPIC’s Corporate Form S–2 (OMB Control No. 3235– Office of Management and Budget a Secretary no later than 5 p.m., Monday, 0072; SEC File No. 270–060) is used by request for an extension of the
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previously approved collection of Washington, DC 20503; and (ii) Kenneth monitor utilization of and compliance information discussed below. A. Fogash, Acting Associate Executive with the rule. There are no The title for the collection of Director/CIO, Office of Information recordkeeping requirements with information is ‘‘Rule 11a–2 Under the Technology, Securities and Exchange respect to Rule 6c–7. Investment Company Act of 1940: Offers Commission, 450 Fifth Street, NW., The estimate of average burden hours of Exchange by Certain Registered Washington, DC 20549. Comments must is made solely for the purposes of the Separate Accounts or Others the Terms be submitted to OMB within 30 days of Paperwork Reduction Act, and is not of Which Do Not Require Prior this notice. derived from a comprehensive or even Commission Approval.’’ Dated: September 29, 2003. a representative survey or study of the Rule 11a–2 [17 CFR 270.11a–2] costs of Commission rules or forms. The Jill M. Peterson, permits certain registered insurance Commission does not include in the company separate accounts, subject to Assistant Secretary. estimate of average burden hours the certain conditions, to make exchange [FR Doc. 03–25315 Filed 10–6–03; 8:45 am] time preparing registration statements offers without prior approval by the BILLING CODE 8010–01–P and sales literature disclosure regarding Commission of the terms of those offers. the restrictions on redeemability Rule 11a-2 requires disclosure, in imposed by Texas law. The estimate of SECURITIES AND EXCHANGE certain registration statements filed burden hours for completing the COMMISSION pursuant to the 1933 Act, of any relevant registration statements are administrative fee or sales load imposed Submission for OMB Review; reported on the separate PRA in connection with an exchange offer. Comment Request submissions for those statements. (See There are currently 711 registrants the separate PRA submissions for Form governed by Rule 11a–2. The Upon Written Request, Copies Available N–3 [17 CFR 274.11b] and Form N–4 [17 Commission includes the estimated From: Securities and Exchange CFR 274.11c].) burden of complying with the Commission, Office of Filings and Complying with the collection of information collection required by Rule Information Services, Washington, DC information requirements of the rules is 11a–2 in the total number of burden 20549. necessary to obtain a benefit. An agency hours estimated for completing the Extension: may not conduct or sponsor, and a relevant registration statements and Rule 6c–7, SEC File No. 270–269, OMB person is not required to respond to, a reports the burden of Rule 11a–2 in the Control No. 3235–0276. collection of information unless it separate PRA submissions for those Notice is hereby given that pursuant displays a currently valid control registration statements (see the separate to the Paperwork Reduction Act of 1995 number. PRA submissions for Form N–3 [17 CFR (44 U.S.C. 3501 et seq.,) the Securities Please direct general comments 274.11b], Form N–4 [17 CFR 274.11c] and Exchange Commission regarding the above information to the and Form N–6 [17 CFR 274.11d]). The (‘‘Commission’’) has submitted to the following persons: (i) Desk Officer for Commission is requesting a burden of Office of Management and Budget a the Securities and Exchange one hour for Rule 11a–2 for request for extension of the previously Commission, Office of Information and administrative purposes. approved collection of information Regulatory Affairs, Office of The estimate of average burden hours discussed below. Management and Budget, Room 10102, is made solely for the purposes of the Rule 6c–7 [17 CFR 270.6c–7] under New Executive Office Building, Paperwork Reduction Act, and is not the Investment Company Act of 1940 Washington, DC 20503; and (ii) Kenneth derived from a comprehensive or even (15 U.S.C. 80a–1 et seq.) (‘‘1940 Act’’) A. Fogash, Acting Associate Executive a representative survey or study of the provides exemption from certain Director/CIO, Office of Information costs of Commission rules or forms. provisions of Sections 22(e) and 27 of Technology, Securities and Exchange With regard to Rule 11a–2, the the 1940 Act for registered separate Commission, 450 Fifth Street, NW., Commission includes the estimate of accounts offering variable annuity Washington, DC 20549. Comments must burden hours in the total number of contracts to certain employees of Texas be submitted to OMB within 30 days of burden hours estimated for completing institutions of higher education this notice. the relevant registration statements and participating in the Texas Option Dated: September 26, 2003. reported on the separate PRA Retirement Program. There are submissions for those statements (see approximately 80 registrants governed Jill M. Peterson, the separate PRA submissions for Form by Rule 6c–7. The burden of compliance Assistant Secretary. N–3, Form N–4 and Form N–6). with Rule 6c–7, in connection with the [FR Doc. 03–25316 Filed 10–6–03; 8:45 am] The information collection registrants obtaining from a purchaser, BILLING CODE 8010–01–P requirements imposed by Rule 11a–2 prior to or at the time of purchase, a are mandatory. Responses to the signed document acknowledging the collection of information will not be restrictions on redeemability imposed SECURITIES AND EXCHANGE kept confidential. An agency may not by Texas law, is estimated to be COMMISSION approximately 3 minutes per response conduct or sponsor, and a person is not Submission for OMB Review; for each of 2,600 purchasers annually (at required to respond to, a collection of Comment Request information unless it displays a an estimated $70 per hour), for a total currently valid control number. annual burden of 130 hours (at a total Upon Written Request, Copies Available Please direct general comments annual cost of $9,100). Rule 6c–7 From: Securities and Exchange regarding the above information to the requires that the separate account’s Commission, Office of Filings and following persons: (i) Desk Officer for Registration Statement under the Information Services, 450 Fifth Street, the Securities and Exchange Securities Act of 1933 (15 U.S.C. 77a et NW., Washington, DC 20549–0004. Commission, Office of Information and seq.) include a representation that Rule Extension: Regulatory Affairs, Office of 6c–7 is being relied upon and is being Rule 27f–1 and Form N–27F–1, SEC File Management and Budget, Room 10102, complied with. This requirement No. 270–487, OMB Control No. 3235– New Executive Office Building, enhances the Commission’s ability to 0546.
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Notice is hereby given that, pursuant 27f–1 will be provided to third parties involving portfolio securities in reliance to the Paperwork Reduction Act of 1995 and, therefore, will not be kept on rule 17a–7 under the Act. (44 U.S.C. 3501 et seq.), the Securities confidential. The Commission is seeking APPLICANTS: Putnam American and Exchange Commission (the OMB approval, because an agency may Government Income Fund, Putnam ‘‘Commission’’) has submitted to the not conduct or sponsor, and a person is Arizona Tax Exempt Income Fund, Office of Management and Budget not required to respond to, a collection Putnam Asset Allocation Funds, (‘‘OMB’’) a request for extension of the of information unless it displays a Putnam California Tax Exempt Income previously approved collection of currently valid control number. Fund, Putnam Capital Appreciation information discussed below. Please direct general comments Fund, Putnam Classic Equity Fund, Rule 27f–1 [17 CFR 270.27f–1] is regarding the above information to the Putnam Convertible Income-Growth entitled ‘‘Notice of Right of Withdrawal following persons: (i) Desk Officer for Trust, Putnam Discovery Growth Fund, Required To Be Mailed to Periodic the Securities and Exchange Putnam Diversified Growth Fund, Payment Plan Certificate Holders and Commission, Office of Information and Putnam Diversified Income Trust, Exemption from Section 27(f) for Regulatory Affairs, Office of Putnam Equity Income Fund, Putnam Certain Periodic Payment Plan Management and Budget, Room 3208, Europe Equity Fund, Putnam Florida Certificates.’’ Form N–27F–1 is entitled New Executive Office Building, Tax Exempt Income Fund, Putnam ‘‘Notice to Periodic Payment Plan Washington, DC 20503; and (ii) Kenneth Funds Trust, The George Putnam Fund Certificate Holders of 45 Day A. Fogash, Acting Associate Executive Of Boston, Putnam Global Equity Fund, Withdrawal Right with Respect to Director/CIO, Office of Information Putnam Global Income Trust, Putnam Periodic Payment Plan Certificates.’’ Technology, Securities and Exchange Global Natural Resources Fund, The Form N–27F–1, which is prescribed by Commission, 450 Fifth Street, NW., Putnam Fund For Growth And Income, rule 27f–1, is used to notify recent Washington, DC 20549–0004. Putnam Health Sciences Trust, Putnam purchasers of periodic payment plan Comments must be submitted to OMB High Yield Advantage Fund, Putnam certificates of their right under section within 30 days of this notice. High Yield Trust, Putnam Income Fund, 27(f) of the Act to return the certificates Putnam Intermediate U.S. Government within a specified period for a full Dated: September 29, 2003. Income Fund, Putnam International refund. The Form N–27F–1 notice, Jill M. Peterson, Equity Fund, Putnam Investment Funds, which is sent directly to holders of Assistant Secretary. Putnam Investors Fund, Putnam periodic payment plan certificates, [FR Doc. 03–25317 Filed 10–6–03; 8:45 am] Massachusetts Tax Exempt Income serves to alert purchasers of periodic BILLING CODE 8010–01–M payment plans of their rights in Fund, Putnam Michigan Tax Exempt connection with their plan certificates. Income Fund, Putnam Minnesota Tax Commission staff estimates that three SECURITIES AND EXCHANGE Exempt Income Fund, Putnam Money issuers of periodic payment plan COMMISSION Market Fund, Putnam Municipal certificates are affected by rule 27f–1. Income Fund, Putnam New Jersey Tax Exempt Income Fund, Putnam New The frequency with which each of these [Investment Company Act Release No. issuers or their representatives must file 26200; 812–12863] Opportunities Fund, Putnam New York Form N–27F–1 notices varies with the Tax Exempt Income Fund, Putnam New number of periodic payment plans sold. Putnam American Government Income York Tax Exempt Opportunities Fund, The Commission estimates, however, Fund, et al., Notice of Application Putnam Ohio Tax Exempt Income Fund, that approximately 5,907 Form N–27F– Putnam OTC & Emerging Growth Fund, October 1, 2003. 1 notices are sent out annually. The Putnam Pennsylvania Tax Exempt Commission estimates that all the AGENCY: Securities and Exchange Income Fund, Putnam Tax Exempt issuers that send Form N–27F–1 notices Commission (‘‘Commission’’). Income Fund, Putnam Tax Exempt use outside contractors to print and ACTION: Notice of application for an Money Market Fund, Putnam Tax-Free distribute the notices, and incur no order under section 12(d)(1)(J) of the Income Trust, Putnam Tax Smart Funds hourly burden. The estimate of average Investment Company Act of 1940 Trust, Putnam U.S. Government Income burden hours is made solely for the (‘‘Act’’) for an exemption from sections Trust, Putnam Utilities Growth And purposes of the Paperwork Reduction 12(d)(1)(A) and (B) of the Act, under Income Fund, Putnam Variable Trust, Act, and is not derived from a sections 6(c) and 17(b) of the Act for an Putnam Vista Fund, Putnam Voyager comprehensive or even a representative exemption from section 17(a) of the Act, Fund, Putnam California Investment survey or study of the costs of and under section 17(d) of the Act and Grade Municipal Trust, Putnam High Commission rules and forms.1 rule 17d–1 under the Act to permit Income Opportunities Trust, Putnam Complying with the collection of certain joint transactions. High Income Bond Fund, Putnam High information requirements of rule 27f–1 Yield Municipal Trust, Putnam is mandatory for custodian banks of SUMMARY OF APPLICATION: The applicants Investment Grade Municipal Trust, periodic payment plans for which the request an order that would permit (a) Putnam Managed High Yield Trust, sales load deducted from any payment certain registered management Putnam Managed Municipal Income exceeds 9 percent of the payment.2 The investment companies to invest Trust, Putnam Master Income Trust, information provided pursuant to rule uninvested cash and cash collateral in Putnam Master Intermediate Income (i) affiliated money market funds and/or Trust, Putnam Municipal Bond Fund, 1 This estimate is based on informal conversations short-term bond funds or (ii) one or Putnam Municipal Opportunities Trust, between the Commission staff and representatives more affiliated entities that operate as Putnam New York Investment Grade of periodic payment plan issuers. 2 The rule permits the issuer, the principal cash management investment vehicles Municipal Trust, Putnam Premier underwriter for, or the depositor of, the issuer or a and that rely on section 3(c)(1) or 3(c)(7) Income Trust, and Putnam Tax-Free record-keeping agent for the issuer to mail the of the Act, and (b) the registered Health Care Fund (each a ‘‘Fund,’’ notice if the custodian bank has delegated the investment companies and the affiliated collectively the ‘‘Funds’’), and Putnam mailing of the notice to any of them or if the issuer has been permitted to operate without a custodian entities to continue to engage in Investment Management, LLC (together bank by Commission order. See 17 CFR 270.27f–1. purchase and sale transactions with any entity controlling, controlled
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by or under common control with participate in a securities lending in high quality securities with relatively Putnam Investment Management, LLC, program (‘‘Securities Lending Program’’) short maturities.3 the ‘‘Adviser’’). under which a Fund may lend its Applicants’ Legal Analysis Filing Dates: The application was portfolio securities to registered broker- filed on July 26, 2002, and amended on dealers or other institutional investors. I. Investment of Cash Balances by the September 25, 2003. The loans are secured by collateral, Participating Funds in the Central Hearing or Notification of Hearing: An including cash collateral (‘‘Cash Funds order granting the application will be Collateral’’ and together with A. Section 12(d)(1) issued unless the Commission orders a Uninvested Cash, ‘‘Cash Balances’’), hearing. Interested persons may request equal at all times to at least the market 1. Section 12(d)(1)(A) of the Act provides that no investment company a hearing by writing to the value of the securities loaned. Currently, may acquire securities of a registered Commission’s Secretary and serving the Adviser can invest Cash Balances investment company if such securities applicants with a copy of the request, directly in money market instruments or represent more than 3% of the acquired personally or by mail. Hearing requests other short-term debt obligations. All or should be received by the Commission company’s outstanding voting stock, a portion of certain Funds’ Cash more than 5% of the acquiring by 5:30 p.m. on October 24, 2003, and Balances may be managed by a sub- should be accompanied by proof of company’s total assets, or if such adviser to a Fund (‘‘Sub-Adviser’’). service on the applicants, in the form of securities, together with the securities of an affidavit, or, for lawyers, a certificate 3. Applicants request an order to other acquired investment companies, of service. Hearing requests should state permit: (i) The Participating Funds to represent more than 10% of the the nature of the writer’s interest, the use their Cash Balances to purchase acquiring company’s assets. Section reason for the request, and the issues shares of one or more of the open-end 12(d)(1)(B) of the Act provides that no contested. Persons who wish to be Funds that are money market funds or registered open-end investment notified of a hearing may request short-term bond funds (the ‘‘Registered company may sell its securities to notification by writing to the Central Funds’’) or private investment another investment company if the sale Commission’s Secretary. companies that serve as cash will cause the acquiring company to own more than 3% of the acquired ADDRESSES: Secretary, Commission, 450 management vehicles, are advised by Fifth Street, NW., Washington, DC the Adviser, and rely on section 3(c)(1) company’s voting stock, or if the sale 20549–0609; Applicants, One Post or 3(c)(7) of the Act (the ‘‘Private Central will cause more than 10% of the Office Square, Boston, MA 02109. Funds’’) (the Registered Central Funds acquired company’s voting stock to be owned by investment companies. FOR FURTHER INFORMATION CONTACT: and the Private Central Funds, collectively, the ‘‘Central Funds’’); (ii) 2. Section 12(d)(1)(J) of the Act Bruce R. MacNeil, Senior Counsel, at provides that the Commission may (202) 942–0634 or Todd Kuehl, Branch the Central Funds to sell their shares to and redeem such shares from the exempt any person, security, or Chief, at (202) 942–0564 (Division of transaction from any provision of Participating Funds; (iii) the Investment Management, Office of section 12(d)(1) if and to the extent that Participating Funds and the Private Investment Company Regulation). such exemption is consistent with the Central Funds to engage in interfund SUPPLEMENTARY INFORMATION: The public interest and the protection of purchase and sale transactions in following is a summary of the investors. Applicants request relief application. The complete application securities (‘‘Interfund Transactions’’); under section 12(d)(1)(J) to permit the may be obtained for a fee at the and (iv) the Adviser or a Sub-Adviser to 1 Participating Funds to use their Cash Commission’s Public Reference Branch, effect the above transactions. Balances to acquire shares of the 450 Fifth Street, NW., Washington, DC 4. The investment by each Registered Central Funds in excess of 20549–0102 (telephone (202) 942–8090). Participating Fund in shares of the the percentage limitations in section Central Funds will be in accordance 12(d)(1)(A), provided however, that in Applicants’ Representations with that Participating Fund’s all cases a Participating Fund’s 1. The Funds are Massachusetts investment policies and restrictions as aggregate investment of Uninvested business trusts and are registered under set forth in its registration statement.2 Cash in shares of the Central Funds will the Act as open-end or closed-end The Registered Central Funds are or will not exceed the greater of 25% of the management investment companies. be taxable or tax-exempt money market Participating Fund’s total assets or $10 The Adviser is an investment adviser funds that comply with rule 2a–7 under million. Applicants also request relief to registered under the Investment the Act or short-term bond funds that permit the Registered Central Funds to Advisers Act of 1940 and serves as maintain a dollar-weighted average sell their securities to the Participating investment adviser to each Fund. portfolio maturity of three years or less. Funds in excess of the percentage 2. Certain Funds, including money Certain Private Central Funds will limitations in section 12(d)(1)(B). market Funds that comply with rule 2a– comply with rule 2a–7 under the Act. 3. Applicants state that the proposed 7 under the Act, (each, a ‘‘Participating Other Private Central Funds will invest arrangement will not result in the Fund’’) have or may be expected to have abuses that sections 12(d)(1)(A) and (B) cash that has not been invested in 1 Applicants request that any relief granted also were intended to prevent. Applicants portfolio securities (‘‘Uninvested apply to any other registered management state that the proposed arrangement will Cash’’). Uninvested Cash may result investment company or series thereof now existing not result in inappropriate layering of from a variety of sources, including or established in the future, for which the Adviser fees and that a Participating Fund’s serves as investment adviser (included in the term dividends or interest received on ‘‘Funds’’). All Funds that currently intend to rely shareholders will not be subject to the portfolio securities, unsettled securities on the requested order are named as applicants. transactions, strategic reserves, matured Any future Fund will rely on the order only in 3 A Private Central Fund that does not comply investments, proceeds from liquidation accordance with the terms and conditions of the with rule 2a–7 may accept investments of Cash application. Collateral from Participating Funds (other than of investment securities, dividend 2 A Participating Fund that is a money market money market Funds), but will not accept payments or money from investors. Fund will not invest in a Central Fund that does investments from Participating Funds investing Certain Participating Funds also may not comply with rule 2a–7 under the Act. Uninvested Cash.
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imposition of double investment purchases more than 5% of the voting shares of the Central Funds, the advisory fees. If a Central Fund offers securities of a Central Fund, the Central Adviser, and any Sub-Adviser, by more than one class of shares in which Fund and the Participating Fund may be managing the assets of the Participating a Participating Fund may invest, the affiliated persons of each other. As a Funds invested in the Central Funds, Participating Fund will invest its Cash result, section 17(a) would prohibit the and each of the Central Funds, by Balances only in the class with the sale of the shares of Central Funds to the selling Shares to and redeeming them lowest expense ratio at the time of Participating Funds, and the redemption from the Participating Funds could be investment. Applicants also state that of the shares by the Participating Funds. deemed to be participating in a joint no front-end sales charge, contingent 2. Section 17(b) of the Act authorizes arrangement within the meaning of deferred sales charge, distribution fee the Commission to exempt a transaction section 17(d) and rule 17d–1. under a plan adopted in accordance from section 17(a) of the Act if the terms 2. In considering whether to approve with rule 12b–1 under the Act (‘‘Rule of the proposed transaction, including a joint transaction under rule 17d–1, the 12b–1 Fee’’) or service fee will be the consideration to be paid or received, Commission considers whether the charged in connection with the are reasonable and fair and do not registered investment company’s purchase and sale of shares of the involve overreaching on the part of any participation in the joint transaction is Central Funds. In addition, if the person concerned, and the proposed consistent with the provisions, policies Adviser collects a fee from a Central transaction is consistent with the policy and purposes of the Act, and the extent Fund for acting as its investment adviser of each registered investment company to which the participation is on a basis with respect to assets invested by a concerned and with the general different from or less advantageous than Participating Fund, when approving an purposes of the Act. Section 6(c) of the that of other participants. Applicants investment advisory or sub-advisory Act permits the Commission to exempt state that the investment by the contract under section 15 of the Act for persons or transactions from any Participating Funds in shares of the the Participating Fund, the board of provision of the Act, if the exemption is Central Funds would be on the same trustees of each Participating Fund necessary or appropriate in the public basis and no different from or less (‘‘Board’’), including a majority of interest and consistent with the advantageous than that of other trustees who are not ‘‘interested protection of investors and the purposes participants. Applicants submit that the persons,’’ as defined in section 2(a)(19) fairly intended by the policy and proposed transactions meet the of the Act (‘‘Independent Trustees’’), provisions of the Act. standards for an order under rule 17d– will consider to what extent, if any, the 3. Applicants submit that their 1. request for relief to permit the purchase advisory fees charged to the II. Interfund Transactions Participating Fund by the Adviser or and redemption of shares of the Central Sub-Adviser should be reduced to Funds by the Participating Funds 1. Applicants state that certain Funds account for reduced services provided satisfies the standards in sections 6(c) and Private Central Funds currently rely to the Participating Fund as a result of and 17(b) of the Act. Applicants note on rule 17a–7 under the Act to conduct the investment of Uninvested Cash in that shares of the Central Funds will be Interfund Transactions. Rule 17a–7 the Central Fund. Applicants represent purchased and redeemed at their net under the Act provides an exemption that no Central Fund will acquire asset value, the same consideration paid from section 17(a) for a purchase or sale securities of any other investment and received for these shares by any of certain securities between a registered company in excess of the limitations other shareholder. Applicants state that investment company and an affiliated contained in section 12(d)(1)(A) of the the Participating Funds will retain their person (or an affiliated person of an Act. ability to invest Cash Balances directly affiliated person), provided that certain in money market instruments as conditions are met, including that the B. Section 17(a) of the Act authorized by their respective affiliation between the registered 1. Section 17(a) of the Act makes it investment objectives and policies if investment company and the affiliated unlawful for any affiliated person of a they can achieve a higher return or for person (or an affiliated person of the registered investment company, acting any other reason. Applicants state that affiliated person) must exist solely by as principal, to sell or purchase any a Registered Central Fund has the right reason of having a common investment security to or from the investment to discontinue selling shares to any of adviser, common directors and/or company. Section 2(a)(3) of the Act the Participating Funds if the Registered common officers. Applicants state that defines an affiliated person of an Central Fund’s Board or the Adviser the Participating Funds and Private investment company to include any determines that such sale would Central Funds may not be able to rely person directly or indirectly owning, adversely affect the Registered Central on rule 17a–7 when purchasing or controlling, or holding with power to Fund’s portfolio management and selling portfolio securities to each other, vote 5% or more of the outstanding operations. because some of the Participating Funds voting securities of the other person, may own 5% or more of the outstanding any person 5% or more of whose C. Section 17(d) of the Act and Rule voting securities of a Private Central outstanding securities are directly or 17d–1 under the Act Fund and, therefore, an affiliation indirectly owned, controlled, or held 1. Section 17(d) of the Act and rule would not exist solely by reason of such with power to vote by the other person, 17d–1 under the Act prohibit an Participating Fund and such Private any person directly or indirectly affiliated person of a registered Central Fund having a common controlling, controlled by, or under investment company, acting as investment adviser, common directors common control with the other person, principal, from participating in or and/or common officers. and any investment adviser to the effecting any transaction in connection 2. Applicants request relief under investment company. Because the with any joint enterprise or joint sections 6(c) and 17(b) of the Act to Funds have the Adviser as investment arrangement in which the investment permit the Interfund Transactions. adviser, they may be deemed to be company participates, unless the Applicants submit that the requested under common control and thus Commission has approved the joint relief satisfies the standards for relief in affiliated persons of each other. In arrangement. Applicants state that the sections 6(c) and 17(b). Applicants state addition, if a Participating Fund Participating Funds, by purchasing that the Funds and the Private Central
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Funds will comply with rule 17a–7(a) series thereof will be treated as a meaning of sections 2(a)(3)(A) and (B) of through (g) under the Act. Applicants separate investment company. the Act. state that the additional affiliation 4. Investments by a Participating Operation of the Private Central Funds created under sections 2(a)(3)(A) and (B) Fund in shares of the Central Funds will does not affect the other protections be in accordance with each Participating 10. Each Private Central Fund will provided by rule 17a–7, including the Fund’s respective investment comply with the requirements of integrity of the pricing mechanism restrictions and will be consistent with sections 17(a), (d), and (e), and 18 of the employed and oversight by each Fund’s such Participating Fund’s investment Act as if the Private Central Fund were Board. objectives and policies as set forth in its a registered open-end investment prospectus and statement of additional company. With respect to all Applicants’ Conditions information. A Participating Fund that redemption requests made by a Applicants agree that the order complies with rule 2a–7 under the Act Participating Fund, a Private Central granting the requested relief shall be will not invest its Cash Balances in a Fund will comply with section 22(e) of subject to the following conditions: Central Fund that does not comply with the Act. The Adviser will adopt 1. The shares of the Central Funds rule 2a–7. A Participating Fund’s Cash procedures designed to ensure that each sold to and redeemed from the Collateral will be invested in a Private Central Fund complies with Participating Funds will not be subject particular Central Fund only if that sections 17(a), (d), and (e), 18 and 22(e) to a sales load, redemption fee, Rule Central Fund has been approved for of the Act. The Adviser will also 12b–1 Fee, or service fee (as defined in investment by the Participating Fund periodically review and update, as rule 2830(b)(9) of the NASD Conduct and if that Central Fund invests in the appropriate, the procedures, and will Rules). types of instruments that the maintain books and records describing the procedures, and maintain the 2. If the Adviser collects a fee from a Participating Fund has authorized for records required by rules 31a–1(b)(1), Central Fund for acting as investment the investment of its Cash Collateral. 31a–1(b)(2)(ii), and 31a–1(b)(9) under adviser with respect to assets invested 5. Each Participating Fund and the Act. All books and records required Central Fund that may rely on the order by a Participating Fund, the Adviser or to be made pursuant to this condition shall be advised by the Adviser. Sub-Adviser to a Participating Fund will will be maintained and preserved for a provide the Board of the Participating 6. No Central Fund will acquire period of not less than six years from Fund, before its next meeting that is securities of any other investment the end of the fiscal year in which any held for the purpose of voting on an company in excess of the limits transaction occurred, the first two years advisory or sub-advisory contract under contained in section 12(d)(1)(A) of the in an easily accessible place, and will be section 15 of the Act, with specific Act, except as permitted by a subject to examination by the information regarding the approximate Commission order governing interfund Commission and its staff. cost to the Adviser or Sub-Adviser for, loans. 11. The net asset value per share with or portion of the advisory or sub- 7. Before a Participating Fund may respect to shares of the Private Central advisory fee under the existing advisory participate in a Securities Lending Funds will be determined separately for or sub-advisory fee attributable to, Program, a majority of the Board, each Private Central Fund by dividing managing the Uninvested Cash of the including a majority of the Independent the value of the assets belonging to that Participating Fund that can be expected Trustees, will approve the Participating Private Central Fund, less the liabilities to be invested in the Central Funds. Fund’s participation in the Securities of that Private Central Fund, by the Before approving any advisory or sub- Lending Program. The Board will number of shares outstanding with advisory contract under section 15 for a evaluate the securities lending respect to that Private Central Fund. Participating Fund, the Board of the arrangement and its results no less 12. Each Participating Fund will Participating Fund, including a majority frequently than annually and determine purchase and redeem shares of a Private of the Independent Trustees, shall that any investment of Cash Collateral Central Fund as of the same time and at consider to what extent, if any, the in the Central Funds is in the best the same price, and will receive advisory or sub-advisory fees charged to interest of the Participating Fund. dividends and bear its proportionate the Participating Fund by the Adviser or 8. The Securities Lending Program of share of expenses on the same basis, as Sub-Adviser should be reduced to each Participating Fund will comply other shareholders of the Private Central account for reduced services provided with all present and future applicable Fund. A separate account will be to the Participating Fund by the Adviser Commission and staff positions established in the shareholder records of or Sub-Adviser as a result of investment regarding securities lending each Private Central Fund for the of Uninvested Cash in the Central arrangements. account of each Participating Fund that Funds. The minute books of the 9. To engage in Interfund invests in such Private Central Fund. Participating Fund will record fully the Transactions, the Participating Funds 13. Each Private Central Fund that Board’s consideration in approving the and the Private Central Funds will operates as a money market fund and investment advisory or sub-advisory comply with rule 17a–7 under the Act uses the amortized cost method contact, including the consideration in all respects other than the valuation, as defined in rule 2a–7 under relating to fees referred to above. requirement that the parties to the the Act, will comply with rule 2a–7 as 3. Each of the Participating Funds transaction be affiliated persons (or though it were a registered investment may invest Uninvested Cash in, and affiliated persons of affiliated persons) company. Each such Private Central hold shares of, the Central Funds only of each other solely by reason of having Fund will adopt the procedures to the extent that the Participating a common investment adviser or described in rule 2a–7(c)(7) and the Fund’s aggregate investment of investment advisers which are affiliated Adviser will comply with these Uninvested Cash in the Central Funds persons of each other, common officers procedures and take any other actions as does not exceed the greater of 25% of and/or common trustees, solely because are required to be taken pursuant to the Participating Fund’s total assets or a Participating Fund and a Private these procedures. A Participating Fund $10 million. For purposes of this Central Fund might become affiliated may only purchase shares of such a limitation, each Participating Fund or persons of each other within the Private Central Fund if the Adviser
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determines on an ongoing basis that the personally or by mail. Hearing requests syndications previously sponsored by Private Central Fund is operating as a should be received by the Commission the General Partner and/or its affiliates money market fund and is in by 5:30 p.m. on October 24, 2003, and may purchase a minimum of two Units. compliance with rule 2a–7. The Adviser should be accompanied by proof of Purchasers of the Units will become will preserve for a period not less than service on applicants in the form of an limited partners (‘‘Limited Partners’’) of six years from the date of determination, affidavit or, for lawyers, a certificate of the Series offering the Units. the first two years in an easily accessible service. Hearing requests should state 4. A Series will not accept any place, a record of such determination the nature of the writer’s interest, the subscriptions for Units until the and the basis upon which the reason for the request, and the issues requested exemptive order is granted or determination was made. This record contested. Persons may request the Series receives an opinion of will be subject to examination by the notification by writing to the counsel that it is exempt from Commission and the staff. Commission’s Secretary. registration under the Act. Subscriptions for Units must be For the Commission, by the Division of ADDRESSES: Secretary, Commission, 450 Investment Management, pursuant to 5th Street NW, Washington, DC 20549– approved by the General Partner. Such delegated authority. 0609. Applicants, 17782 Skypark Circle, approval will be conditioned upon Jill M. Peterson, Irvine, California 92614. representations as to suitability of the investment for each subscriber. The Assistant Secretary. FOR FURTHER INFORMATION CONTACT: suitability standards provide, among [FR Doc. 03–25337 Filed 10–6–03; 8:45 am] Bruce R. MacNeil, Senior Counsel, (202) other things, that investment in a Series BILLING CODE 8010–01–P 942–0634, or Mary Kay Frech, Branch is suitable only for an investor who Chief, (202) 942–0564 (Division of either (a) has a net worth (exclusive of Investment Management, Office of home, furnishings, and automobiles), of SECURITIES AND EXCHANGE Investment Company Regulation). COMMISSION at least $35,000 and an annual gross SUPPLEMENTARY INFORMATION: The income of at least $35,000, or (b) [Investment Company Act Release No. following is a summary of the irrespective of annual income, has a net 26199; 812–12988] application. The complete application worth (exclusive of home, furnishings, may be obtained for a fee from the and automobiles) of at least $75,000. WNC Housing Tax Credit Fund VI, L.P., Commission’s Public Reference Branch, Units will be sold only to investors who Series 11 and Series 12, and WNC 450 Fifth Street, NW., Washington, DC meet these suitability standards, or such National Partners, LLC; Notice of 20549–0102 (telephone (202) 942–8090). more restrictive suitability standards as Application Applicants’ Representations may be established by certain states for purchasers of Units within their October 1, 2003. 1. Each Series was formed in 2003 as AGENCY: respective jurisdictions. In addition, Securities and Exchange a California limited partnership. Each Commission (‘‘Commission’’). transfers of Units will be permitted only Series will operate as a ‘‘two-tier’’ if the transferee meets the same ACTION: Notice of an application for an partnership, i.e., each Series will invest suitability standards as had been order under sections 6(c) and 6(e) of the as a limited partner in other limited Investment Company Act of 1940 (the imposed on the transferor Limited partnerships (‘‘Local Limited Partner. ‘‘Act’’) granting relief from all Partnerships’’). The Local Limited 5. Although a Series’ direct control provisions of the Act, except sections 37 Partnerships in turn will engage in the over the management of each apartment through 53 of the Act and the rules and ownership and operation of apartment complex will be limited, the Series’ regulations under those sections. complexes expected to be qualified for ownership of interests in Local Limited low income housing tax credit under the APPLICANTS: WNC Housing Tax Credit Partnerships will, in an economic sense, Internal Revenue Code of 1986, as Fund VI, L.P., Series 11 and WNC be tantamount to direct ownership of amended. The General Partner is a Housing Tax Credit Fund VI, L.P., Series the apartment complexes themselves. A California limited liability company 12 (each a ‘‘Series,’’ and collectively, the Series normally will acquire at least a whose sole member is WNC & ‘‘Fund’’), and WNC National Partners, 90% interest in the profits, losses, and Associates, Inc. (‘‘WNC & Associates’’), tax credits of the Local Limited LLC (the ‘‘General Partner’’). a California corporation. Partnerships. However, in certain cases, SUMMARY OF THE APPLICATION: 2. The objectives of each Series are (a) the Series may acquire a lesser interest Applicants request an order to permit to provide current tax benefits primarily in such partnerships. Each Local each Series to invest in limited in the form of low income housing Limited Partnership’s partnership partnerships that engage in the credits which investors may use to agreement will provide that ownership and operation of apartment offset their Federal income tax distributions of proceeds from a sale or complexes for low and moderate income liabilities, (b) to preserve and protect refinancing of an apartment complex persons. capital, and (c) to provide cash will be paid to a Series in the range of FILING DATE: The application was filed distributions from sale or refinancing from 10% to 50%. on July 23, 2003. Applicants have transactions. 6. Each Series will have certain voting agreed to file an amendment to the 3. On July 21, 2003, the Fund filed a rights with respect to each Local application, the substance of which is registration statement under the Limited Partnership. The voting rights reflected in this notice, during the Securities Act of 1933, pursuant to will include the right to dismiss and notice period. which the Fund intends to offer replace the local general partner on the HEARING OR NOTIFICATION OF HEARING: An publicly, in two series of offerings, basis of performance, to approve or order granting the application will be 25,000 units of limited partnership disapprove a sale or refinancing of the issued unless the Commission orders a interest (‘‘Units’’) at $1,000 per unit. apartment complex owned by such hearing. Interested persons may request The minimum investment will be five Local Limited Partnership, to approve or a hearing by writing to the Units for most investors, although disapprove the dissolution of the Local Commission’s Secretary and serving employees of the General Partner and/ Limited Partnership, and to approve or applicants with a copy of the request, or its affiliates and/or investors in disapprove amendments to the Local
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Limited Partnership agreement connection with the organization of the estimated income tax effects of the materially and adversely affecting the each Series, the offering of Units, and purchase on each entity, the amount of Series’ investment. the acquisition of Local Limited funds of each entity available for 7. Each Series will be controlled by Partnership interests by each Series will investment, and the length of time such the General Partner, pursuant to a be limited by the Partnership Agreement funds have been available for partnership agreement (the ‘‘Partnership and will comply with guidelines investment. Priority generally will be Agreement’’). The Limited Partners, published by the North American given to the entity having uninvested consistent with their limited liability Securities Administrators Association. funds for the longest period of time. status, will not be entitled to participate These guidelines require that a specified However, any entity that was formed to in the control of the business of the percentage (generally 80%, but subject invest primarily in apartment Series. However, a majority-in-interest to reduction) of the aggregate Limited complexes eligible for state low income of the Limited Partners will have the Partners’ capital contributions to the housing tax credits (‘‘state tax credits’’) right to amend the Partnership Fund be committed to Local Limited as well as for Federal low income Agreement (subject to certain Partnership interests. housing tax credits will be given limitations), to remove any General 11. During the operating phase, the priority with respect to any investment Partner and elect a replacement, and to General Partner will receive 0.1% of any that is eligible for state tax credits over dissolve the Series. In addition, under cash available for distribution, and each entities which are not seeking to the Partnership Agreement, each Series may pay certain fees and provide state tax credits. Limited Partner is entitled to review all reimbursements to the General Partner books and records of the Series. or its affiliates. An asset management Applicants’ Legal Analysis 8. Applicants state that the fee will be payable for services related 1. Applicants believe that the Fund Partnership Agreement and prospectus to the administration of the affairs of and its Series will not be ‘‘investment of the Series contain provisions each Series and ongoing management of companies’’ under sections 3(a)(1)(A) or designed to ensure fair dealing by the each Series. Other fees may be paid in 3(a)(1)(C) of the Act. If the Fund and its General Partner with the Limited consideration of property management Series are deemed to be investment Partners. Applicants also state that all services provided by the General Partner companies, however, applicants request compensation to be paid to the General or its affiliates as the management and an exemption under section 6(c) and Partner and its affiliates is specified in leasing agents for some of the apartment 6(e) of the Act from all provisions of the the Partnership Agreement and complexes. In addition, the General Act, except sections 37 through 53 of prospectus. Applicants believe that the Partner and its affiliates generally will the Act and the rules and regulations fees and other forms of compensation be allocated 0.1% of profits and losses under those sections. that will be paid to the General Partner of each Series for tax purposes and tax 2. Section 3(a)(1)(A) of the Act and its affiliates are fair and on terms no credits. provides that an issuer is an less favorable to the Series than would 12. During the liquidation phase, and ‘‘investment company’’ if it is or holds be the case if such arrangements had subject to certain prior payments to the itself out as being engaged primarily, or been made with independent third Limited Partners, each Series will pay proposes to engage primarily, in the parties. the General Partner or its affiliates a fee business of investing, reinvesting, or 9. During the offering and equal to 1% of the sales price of the trading in securities. Applicants believe organizational phase, WNC Capital apartment complexes sold in which the that the Fund will not be an investment Corporation, an affiliate of the General General Partner or its affiliates have company under section 3(a)(1)(A) Partner, will receive a dealer-manager provided a substantial amount of because the Fund will be in the business fee and a nonaccountable underwriting services. The General Partner also will of investing in and being beneficial expense allowance in amounts equal to receive 10% of any additional sale or owner of apartment complexes, not 2% and 1%, respectively, of capital refinancing proceeds. securities. contributions. The General Partner or an 13. All proceeds from a Series’ public 3. Section 3(a)(1)(C) of the Act affiliate will receive a nonaccountable offering of Units initially will be placed provides that an issuer is an organizational and offering expense in an escrow account with USbank ‘‘investment company’’ if it is engaged reimbursement in an amount equal to (‘‘Escrow Agent’’). Pending release of or proposes to engage in the business of 3% of capital contributions. The offering proceeds to the Series, the investing, reinvesting, owning, holding, General Partner has agreed to pay all Escrow Agent will deposit escrowed or trading in securities, and owns or organizational and offering expenses funds in short-term United States proposes to acquire ‘‘investment (excluding selling commissions, the Government securities, securities issued securities’’ having a value exceeding dealer-manager fee, the nonaccountable or guaranteed by the United States 40% of the value of such issuer’s total underwriting expense allowance and Government, and certificates of deposit assets (exclusive of Government the nonaccountable expense or time or demand deposits in securities and cash items). Applicants reimbursement). commercial banks. Upon receipt of a state that although the Local Limited 10. During the acquisition phase, each prescribed minimum amount of capital Partnership interests may be deemed Series will pay WNC & Associates a fee contributions for a Series, funds in ‘‘investment securities,’’ they are not equal to 7% of capital contributions for escrow will be released to the Series and readily marketable, cannot be sold analyzing and evaluating potential held by it pending investment in Local without severe adverse tax investments in Local Limited Limited Partnerships. consequences, and have no value apart Partnerships and for various other 14. If more than one entity that the from the value of the apartment services. WNC & Associates will receive General Partner or its affiliates advises complexes owned by the Local Limited a nonaccountable acquisition expense or manages may invest in a particular Partnerships. reimbursement equal to 2% of capital investment opportunity, the decision as 4. Applicants believe that the two-tier contributions in consideration of which to the entity that will be allocated the structure is consistent with the purposes WNC & Associates will pay all investment will be based upon such and criteria set forth in the acquisition expenses of each Series. factors as the effect of the acquisition on Commission’s release concerning two- Aggregate fees and expenses paid in diversification of each entity’s portfolio, tier real estate partnerships (the
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‘‘Release’’).1 The Release states that SECURITIES AND EXCHANGE eligible to participate in the vote must investment companies that are two-tier COMMISSION have transacted at least 80% of their contracts and transactions in each of real estate partnerships that invest in [Release No. 34–48577; File No. SR–Amex– limited partnerships engaged in the 2003–80] the three immediately preceding development and operation of housing calendar months in one or more option for low and moderate income persons Self-Regulatory Organizations; Notice classes traded by that specialist. For may qualify for an exemption from the of Filing and Immediate Effectiveness cases when one specialist trades a single Act pursuant to section 6(c). Section of Proposed Rule Change by the option class or multiple specialists trade 6(c) provides that the Commission may American Stock Exchange LLC a single option class, Registered Traders exempt any person from any provision Relating to a Pilot Program for to be eligible to participate in the vote of the Act and any rule thereunder, if, Marketing Fee Procedures must have transacted at least 80% of and to the extent that, such exemption their contracts and transactions in each September 30, 2003. of the three immediately preceding is necessary or appropriate in the public Pursuant to section 19(b)(1) of the calendar months in that option class. interest and consistent with the Securities Exchange Act of 1934 Registered Traders are required to protection of investors and the purposes (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 continue to trade the particular option fairly intended by the policy and notice is hereby given that on class at the time of the vote. Eligible provisions of the Act. Section 6(e) September 24, 2003, the American Stock Registered Traders and the specialist permits the Commission to require Exchange LLC (‘‘Amex’’ or ‘‘Exchange’’) shall each have one vote. companies exempted from the filed with the Securities and Exchange (b) Requesting a Vote. After the registration requirements of the Act to Commission (‘‘Commission’’) the marketing fee initially has been in effect comply with certain specified proposed rule change as described in for three consecutive calendar months provisions of the Act as though the Items I, II, and III below, which the with respect to the option classes of an company were a registered investment Exchange has prepared. The individual specialist, any eligible company. Commission is publishing this notice to Registered Trader and specialist can 5. The Release lists two conditions, solicit comments on the proposed rule request that a vote be held to determine designed for the protection of investors, change from interested persons. whether or not the Registered Trader which must be satisfied by two-tier I. Self-Regulatory Organization’s and specialist should continue to partnerships to qualify for the Statement of the Terms of Substance of participate in the marketing fee program exemption under section 6(c). First, the Proposed Rule Change by submitting a written request to that effect to the Secretary of the Exchange. interests in the issuer should be sold The Exchange proposes to adopt only to persons for whom investments The Exchange shall post a notice of the Commentary .11 to Amex Rule 958 time and date of any vote to be taken in limited profit, essentially tax-shelter, specifying the procedures by which at least 10 calendar days prior to the investments would not be unsuitable. specialists and registered options time of the vote. The Marketing Fee Second, requirements for fair dealing by traders (‘‘ROTs’’) may determine Program Committee shall determine all the general partner of the issuer with the whether to continue to participate in the other administrative procedures limited partners of the issuer should be marketing fee program recently pertaining to the vote. included in the basic organizational established by the Exchange. The (c) Participation in the Marketing Fee documents of the company. Exchange proposes to institute these Program. The Registered Traders and 6. Applicants assert, among other procedures on a six-month pilot basis. specialist shall be deemed to have things, that the suitability standards set The text of the proposed rule change is indicated that they desire to participate below. Proposed new language is forth in the application, the in the Exchange’s marketing fee italicized. requirements for fair dealing provided program if a majority of those eligible by the Partnership Agreement, and * * * * * Registered Traders participate in the pertinent governmental regulations Rule 958. Options Transactions of vote and if a majority of the total votes imposed on each Local Limited Registered Traders cast are in favor of participating in the marketing fee program. Conversely, the Partnership by various Federal, state, (a) through (h) No Change and local agencies provide protection to eligible Registered Traders and the investors in Units. In addition, Commentary specialist shall be deemed to have applicants assert that the requested .01 through .10 No Change indicated that they do not desire to exemption is both necessary and .11 Marketing Fee Program Voting participate in the Exchange’s marketing appropriate in the public interest. Procedures. The following procedures fee program if a majority of those specify how a specialist and Registered eligible Registered Traders participate in For the Commission, by the Division of Trader determine whether to participate the vote and if a majority of the total Investment Management, pursuant to votes cast are against participating in delegated authority. or not to participate in the Exchange’s marketing fee program. These the marketing fee program. Jill M. Peterson, procedures will expire six (6) months (i) Frequency of Vote. Once eligible Assistant Secretary. from the date of effectiveness unless Registered Traders and the specialist [FR Doc. 03–25338 Filed 10–6–03; 8:45 am] extended, or adopted on a permanent vote to participate in the marketing fee BILLING CODE 8010–01–P basis. program, subsequent votes to determine (a) Eligible Voters whether to continue participation may (i) Eligible Registered Traders. For be held only once every three calendar option classes traded by an individual months. Once eligible Registered specialist, Registered Traders to be Traders and the specialist vote not to participate in the marketing fee 1 Investment Company Act Release No. 8465 1 15 U.S.C. 78s(b)(1). program, subsequent votes to determine (Aug. 9, 1974). 2 17 CFR 240.19b–4. whether to participate in the marketing
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fee program may be held only once 958 for the purpose of establishing need to continue to trade the option every thirty days. procedures for specialists and ROTs to class or classes at the time of the vote. (ii) Tie Votes. If a vote conducted in determine whether to continue The Exchange believes that these accordance with this Commentary participation in the Exchange’s requirements assure that only those results in a tie, the status quo for the marketing fee program. The Amex ROTs who have concentrated their specialist and Registered Traders of the proposes to institute their procedures on activity in one or more option classes particular option class shall remain in a six-month pilot basis. In connection traded by a specialist over the last three effect. Accordingly, if the specialist and with the adoption of the procedures months would be eligible to participate Registered Traders currently participate included in new Commentary .11 to in the vote. in the marketing fee program and a tie Amex Rule 958, the Amex would Process to Request a Vote. After the vote occurs, the marketing fee program establish a Marketing Fee Program program has been in effect for the initial will remain in effect for that specialist Committee (‘‘Committee’’) to determine three calendar month period, the and Registered Traders. If the specialist and administer the procedures for specialist or any eligible ROT could and Registered Traders do not conducting the required vote. The request that a vote be held by submitting participate in the marketing fee at the Committee would be comprised of the a written request to the Secretary of the time the tie vote occurs, the marketing Amex’s Vice Chairman, two options Exchange. The Amex would provide at fee will not be implemented for the specialists designated by the Chairman least 10 calendar days’ posted notice to specialist and Registered Traders at that of the Specialists’ Association and two the specialist and other ROTs of the time. ROTs designated by the Chairman of the time and date of the vote. The Exchange * * * * * Options Market Maker Association. would verify that the member The proposed new Commentary .11 to requesting a vote is an eligible ROT and II. Self-Regulatory Organization’s Amex Rule 958 would identify which would keep the identity of such Statement of the Purpose of, and ROTs are eligible to vote for particular individual confidential. Statutory Basis for, the Proposed Rule option classes. In connection with a Specialist and ROTs Participating in Change required vote, the specialist and each the Marketing Fee Program. The In its filing with the Commission, the eligible ROT would be entitled to one specialist and ROTs could cease to Exchange included statements vote. Any decision to discontinue participate in the marketing fee program concerning the purpose of and basis for participation in the Amex’s marketing after the initial three-month period has the proposed rule change and discussed fee program would be on a specialist-by- expired. In order to opt out of the any comments it had received on the specialist basis, unless more than one marketing fee program, the following proposed rule change. The text of these specialist trades a single option class, in actions must occur: (i) The question statements may be examined at the which case, the determination would be must be presented for a vote of the places specified in Item IV below. The made on an option-class basis.4 ROTs specialist 6 and eligible ROTs; (ii) a Exchange has prepared summaries, set may choose to trade one or all of the majority of the eligible ROTs must forth in Sections A, B, and C below, of option classes traded by a specialist. participate in the vote; and (iii) a the most significant aspects of such The proposed voting procedures majority of the votes cast must be in statements. provide that a ROT would be eligible to favor of not continuing to participate in vote on continued participation in the the marketing fee program. In the event A. Self-Regulatory Organization’s marketing fee program with respect to that the vote is tied, the marketing fee Statement of the Purpose of, and the option classes traded by an program would remain in effect in those Statutory Basis for, the Proposed Rule individual specialist provided that the option classes for the next three Change ROT has at least 80% of its registered consecutive months. 1. Purpose trader activity in each of the three Specialist and ROTs Not Participating in the Marketing Fee Program. The In July 2000, the Amex imposed a immediately preceding calendar months proposed voting procedure set forth in marketing fee of $0.40 per contract on (measured in terms of both contract Commentary .11 provides that twenty the transactions of specialists and volume and transactions) in one or more 5 days after the specialist and eligible Registered Options Traders (‘‘ROTs’’) in of the options traded by that specialist. individual equity options. The When one specialist trades a single ROTs vote to discontinue participation Exchange collected the fees and option class or multiple specialists trade in the marketing fee program, the distributed the funds to the specialists, a single option class, ROTs would need specialist and any eligible ROT may who then used the funds to pay broker- to have at least 80% of their registered request that another vote be held to dealers for orders they directed to the trader activity in each of the three determine whether the trading crowd immediately preceding calendar months should again participate in the Amex. In August 2001, the Exchange 7 suspended the collection of the fee. In (measured in terms of both contract marketing fee program. In this case, if June 2003, the Amex re-instated an volume and transactions) in that option a majority of the votes cast are in favor equity option marketing fee on those class to be eligible to vote on whether of again participating in the marketing specialist and ROT transactions to continue with the marketing fee fee program, the program would be in resulting from orders from customers of program. In addition, the ROT would effect in those option classes for the payment accepting firms with whom the next three consecutive months. In the 4 The Amex notes that most specialists trade two event that the vote is tied, the specialist specialist has negotiated a payment for or more option classes, some specialists trade only 3 and ROTs would be deemed to have order flow arrangement. one active option class, and some actively traded In conjunction with the re- option classes have two or more specialists. indicated that they do not wish to instatement of the marketing fee 5 The Amex notes that this 80% trading activity program, the Amex now proposes to requirement pertains to the trading activity of an 6 The specialist may (but is not required to) individual ROT, and not to the aggregate trading participate in the vote. adopt Commentary .11 to Amex Rule activities of any group of ROTs. Telephone 7 The Exchange notes that actual votes may only conversation between Jeffrey P. Burns, Associate be held once every thirty days. Because there is a 3 See Securities Exchange Act Release No. 48053 General Counsel, Amex, and Ian K. Patel, Attorney, ten-calendar day notice period prior to a vote, (June 17, 2003), 68 FR 37880 (June 25, 2003) (SR– Division of Market Regulation, Commission, on however, the specialist and any eligible ROT may Amex–2003–50). September 26, 2003. request a vote twenty days after the preceding vote.
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participate in the marketing fee immediately begin implementing the For the Commission, by the Division of program. proposed procedures in connection with Market Regulation, pursuant to delegated 14 If a payment-accepting firm were to the marketing fee program. The authority. materially change its execution status or Exchange notes that acceleration of the Margaret H. McFarland, a specialist transfers its options classes operative date of the proposed rule is Deputy Secretary. to a separate organization, any eligible appropriate, given that substantially [FR Doc. 03–25339 Filed 10–6–03; 8:45 am] ROT could request that a vote be held similar procedures have been adopted BILLING CODE 8010–01–P pursuant to procedures set forth above by the Chicago Board Options Exchange, to determine whether those option Inc. (‘‘CBOE’’) and approved by the classes should continue to participate in Commission.12 SECURITIES AND EXCHANGE the marketing fee program. COMMISSION The Commission believes that it is 2. Statutory Basis consistent with the protection of [Release No. 34–48581; File No. SR–NASD– The Amex believes that the proposed investors and the public interest to 2003–111] rule change is consistent with section accelerate the operative date of the 13 6(b) of the Act 8 in general and furthers proposal. The Commission notes that Self Regulatory Organizations; Order the objectives of section 6(b)(5) of the it has approved a substantially similar Granting Approval to Proposed Rule Act 9 in particular in that it is designed proposal filed by the CBOE. For this Change and Amendment Nos. 1, 2, and to promote just and equitable principles reason, the Commission designates that 5 Thereto by the National Association of trade and to remove impediments to the proposal become operative of Securities Dealers, Inc., Relating to and perfect the mechanisms of a free immediately. At any time within sixty Charges for ViewSuite Services Set and open market. days after the filing of the proposed rule Forth in NASD Rule 7010(q) change, the Commission may summarily October 1, 2003. B. Self-Regulatory Organization’s abrogate this rule change if it appears to Statement on Burden on Competition On July 17, 2003, the National the Commission that such action is Association of Securities Dealers, Inc. The Exchange does not believe that necessary or appropriate in the public (‘‘NASD’’), through its subsidiary, The the proposed rule change will impose interest, for the protection of investors, Nasdaq Stock Market, Inc. (‘‘Nasdaq’’), any burden on competition. or otherwise in furtherance of the filed with the Securities and Exchange purposes of the Act. C. Self-Regulatory Organization’s Commission (‘‘Commission’’), pursuant Statement on Comments on the IV. Solicitation of Comments to section 19(b)(1) of the Securities Proposed Rule Change Received from Exchange Act of 1934 (‘‘Act’’)1 and Rule Members, Participants or Others Interested persons are invited to 19b-6 thereunder,2 a proposed rule submit written data, views and change to institute a pilot program for The Amex neither solicited nor arguments concerning the foregoing, a one-year period to simplify the received written comments with respect including whether the proposed rule structure of the fees assessed for the to the proposed rule change. change is consistent with the Act. ViewSuite products under NASD Rule III. Date of Effectiveness of the Persons making written submissions 7010(q), by combining the current Proposed Rule Change and Timing for should file six copies thereof with the DepthView, PowerView, and TotalView Commission Action Secretary, Securities and Exchange products into one single entitlement The foregoing rule change has become Commission, 450 Fifth Street, NW., package. On August 11, 2003, Nasdaq Washington, DC 20549–0609. Copies of filed Amendment No. 1 that entirely immediately effective pursuant to 3 section 19(b)(3)(A)(iii)10 of the Act and the submission, all subsequent replaced the original rule filing. Rule 19b-4(f)(6)11 under the Act because amendments, all written statements The proposed rule change, as it effects a change that: (i) Does not with respect to the proposed rule amended by Amendment No. 1, was change that are filed with the published for comment in the Federal significantly affect the protection of 4 investors or the public interest; (ii) does Commission, and all written Register on August 21, 2003. The not impose any significant burden on communications relating to the Commission received no comments on competition; and (iii) by its terms, does proposed rule change between the the proposal. On September 22, 2003, Commission and any person, other than Nasdaq filed Amendment No. 2 to the not become operative for 30 days after 5 the date of the filing, or such shorter those that may be withheld from the proposed rule change. On September time as the Commission may designate public in accordance with the 24, 2003, Nasdaq filed Amendment No. if consistent with the protection of provisions of 5 U.S.C. 552, will be investors and the public interest. The available for inspection and copying in 14 17 CFR 200.30–3(a)(12). 1 Amex has given the Commission written the Commission’s Public Reference 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b–6. notice of its intent to file the proposed Room. Copies of such filing will also be available for inspection and copying at 3 See Letter from Mary M. Dunbar, Vice President rule change, along with a brief and Deputy General Counsel, Nasdaq, to Katherine description and text of the proposed the principal office of the Amex. All A. England, Assistant Director, Division of Market rule change, at least five business days submissions should refer to file number Regulation (‘‘Division’’), Commission, dated August prior to the date of filing of the SR-Amex-2003–80 and should be 8, 2003 (‘‘Amendment No. 1’’). submitted by October 28, 2003. 4 See Securities Exchange Act Release No. 48358 proposed rule change. (August 15, 2003), 68 FR 50566 (August 21, 2003). The Exchange has requested that the 5 See Letter from Mary M. Dunbar, Vice President Commission waive the usual pre- 12 See Securities Exchange Act Release No. 47957 and Deputy General Counsel, Nasdaq, to Katherine operative waiting period, so that it may (May 30, 2003), 68 FR 35035 (June 11, 2003) (SR– A. England, Assistant Director, Division, CBOE–2003–20). Commission, dated September 17, 2003 13 For purposes of accelerating the operative date (‘‘Amendment No. 2’’). In Amendment No. 2, 8 15 U.S.C. 78f(b). of the proposed rule, the Commission notes that it Nasdaq stated that it was changing the starting date 9 15 U.S.C. 78f(b)(5). has also considered the proposed rule’s impact on of the proposed pilot to October 1, 2003. This is a 10 15 U.S.C. Section 78s(b)(3)(A)(iii). efficiency, competition, and capital formation. 15 technical amendment and is not subject to notice 11 17 CFR 240.19b–4(f)(6). U.S.C. 78c(f). and comment.
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3 to the proposed rule change.6 On It is therefore ordered, pursuant to March 31, 2004. Nasdaq is making no September 26, 2003, Nasdaq filed section 19(b)(2) of the Act,13 that the substantive changes to the pilot, other Amendment No. 4.7 On September 29, proposed rule change (File No. SR– than to extend its operation through 2003, Nasdaq filed Amendment No. 5.8 NASD–2003–111), as amended, be, and March 31, 2004. There is no new The Commission finds that the it hereby is, approved. proposed rule language. proposed rule change, as amended, is For the Commission, by the Division of consistent with the requirements of the II. Self-Regulatory Organization’s Market Regulation, pursuant to delegated Statement of the Purpose of, and Act and the rules and regulations authority.14 Statutory Basis for, the Proposed Rule thereunder applicable to a national Margaret H. McFarland, 9 Change securities association. The Commission Deputy Secretary. finds that the proposal is consistent [FR Doc. 03–25340 Filed 10–6–03; 8:45 am] In its filing with the Commission, with Section 15A of the Act 10 in Nasdaq included statements concerning BILLING CODE 8010–01–P general, and with Section 15A(b)(5) of the purpose of, and basis for, the the Act,11 in particular, in that the proposed rule change and discussed any proposal provides for the equitable SECURITIES AND EXCHANGE comments it received on the proposed allocation of reasonable dues, fees, and COMMISSION rule change. The text of these statements other charges among members and may be examined at the places specified issuers and other persons using any [Release No. 34–48576; File No. SR–NASD– in Item IV below. Nasdaq has prepared facility or system that the NASD 2003–142] summaries, set forth in Sections A, B, operates or controls. The Commission Self-Regulatory Organizations; Notice and C below, of the most significant notes that the pilot ViewSuite of Filing and Immediate Effectiveness aspects of such statements. entitlement program is available to all of Proposed Rule Change by the subscribers of the ViewSuite products. A. Self-Regulatory Organization’s National Association of Securities All subscribers would pay a single price Statement of the Purpose of, and Dealers, Inc. To Extend a Pilot for the entitlement package. Thus, for Statutory Basis for, the Proposed Rule Amendment to NASD Rule 7010(s) most of ViewSuite’s current subscribers, Change Regarding Nasdaq PostData and the the ViewSuite monthly controlled Associated Fees Assessed 1. Purpose device fees would be lower than what On January 11, 2002, the Commission they are currently paying. The only September 30, 2003. approved, as a 12-month pilot, the exception would be for current Pursuant to section 19(b)(1) of the creation of Nasdaq PostData, a voluntary DepthView professional subscribers, Securities Exchange Act of 1934 trading data distribution facility, whose fees would increase $20 per 1 2 (‘‘Act’’) and Rule 19b–4 thereunder, accessible to NASD members, buy-side month. The increased monthly fee for notice is hereby given that on institutions and market data vendors DepthView professional subscribers, September 24, 2003, the National through the NasdaqTrader.com Web however, is due to the fact that the new Association of Securities Dealers, Inc. site.6 Nasdaq extended that pilot single ViewSuite entitlement includes (‘‘NASD’’), through its subsidiary, The through February 28, 2003,7 then NQDS data, which cannot be discounted Nasdaq Stock Market, Inc. (‘‘Nasdaq’’), through March 31, 2003,8 and, finally, by Nasdaq.12 filed with the Securities and Exchange through September 30, 2003.9 Nasdaq Commission (‘‘Commission’’) the hereby proposes to extend the pilot 6 See Letter from Eleni Constantine, Office of proposed rule change as described in period for PostData through March 31, General Counsel, Nasdaq, to Katherine A. England, Items I and II below, which Items have Assistant Director, Division, Commission, dated 2004. been prepared by Nasdaq. Nasdaq filed September 24, 2003 (‘‘Amendment No. 3’’). In Background. PostData originally this proposal pursuant to Section Amendment No. 3, Nasdaq amended the rule text consisted of three reports provided in a of the proposal to clarify that the starting date of 19(b)(3)(A) of the Act 3 and Rule 19b– single package: (1) Daily Share Volume the proposed pilot is October 1, 2003. 4(f)(6) thereunder,4 which renders the 7 Report, which provide subscribers with See Letter from Eleni Constantine, Office of proposal effective upon filing with the General Counsel, Nasdaq, to Katherine A. England, T+1 daily share volume in each Nasdaq Commission.5 The Commission is Assistant Director, Division, Commission, dated security, listing the volume by any September 25, 2003 (‘‘Amendment No. 4’’). Nasdaq publishing this notice to solicit NASD member firm that voluntarily filed Amendment No. 4 to correct typographical comments on the proposed rule change permits the dissemination of this errors made in Amendment No. 3. Amendment No. from interested persons. 4 completely replaced and superseded Amendment information; (2) Daily Issue Data, which No. 3. I. Self-Regulatory Organization’s contains a summary of the previous 8 See Letter from Eleni Constantine, Office of Statement of the Terms of Substance of day’s activity for every Nasdaq issue; General Counsel, Nasdaq, to Katherine A. England, Assistant Director, Division, Commission, dated the Proposed Rule Change and (3) Monthly Summaries, which September 29, 2003 (‘‘Amendment No. 5’’). Nasdaq Nasdaq proposes to extend a pilot provide monthly trading volume filed Amendment No. 5 to correct typographical amendment to NASD Rule 7010(s) statistics for the top 50 market errors made in Amendment No. 4. Amendment No. participants sorted by industry sector, 5 completely replaced and superseded Amendment regarding Nasdaq PostData and the Nos. 3 and 4. This is a technical amendment and associated fees assessed. The purpose of security, or type of trading (e.g. block or is not subject to notice and comment. this filing is to extend the pilot through 9 In approving this proposed rule change, the 6 See Securities Exchange Act Release No. 45270 Commission notes that it has considered the (January 11, 2002), 67 FR 2712 (January 18, 2002) 13 proposed rule’s impact on efficiency, competition, 15 U.S.C. 78s(b)(2). (SR–NASD–99–12). 14 and capital formation. 15 U.S.C. 78c(f). 17 CFR 200.30–3(a)(12). 7 See Securities Exchange Act Release No. 47210 10 15 U.S.C. 78o–3. 1 15 U.S.C. 78s(b)(1). (January 17, 2003), 68 FR 3912 (January 27, 11 15 U.S.C. 78o–3(b)(5). 2 17 CFR 240.19b–4. 2003)(SR–NASD–2003–02). 12 Nasdaq has represented that the increase in 315 U.S.C. 78s(b)(3)(A). 8 See Securities Exchange Act Release No. 47503 Depth View pricing reflects the addition of NQDS, 4 17 CFR 240.19b–(f)(6). (March 14, 2003), 68 F.R. 13745 (March 20, which cannot be discounted because it is part of the 5 Nasdaq asked the Commission to waive the five- 2003)(SR–NASD–2003–35). Nasdaq UTP Plan. See Securities Exchange Act day pre-filing notice requirement and the 30-day 9 See Securities Exchange Act Release No. 47634 Release No. 48358 (August 15, 2003), 68 FR 50566 operative delay. See Rule 19b–4(f)(6)(iii). 17 CFR (April 4, 2003), 68 FR 17714 (April 10, 2003)(SR– (August 21, 2003). 240.19b–4(f)(6)(iii). NASD–2003–60).
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total). Nasdaq launched PostData on necessary or appropriate in furtherance statements with respect to the proposed March 18, 2002. of the purposes of the Act. rule change that are filed with the On August 5, 2002, Nasdaq expanded Commission, and all written C. Self-Regulatory Organization’s the information made available to communications relating to the Statement on Comments on the PostData subscribers to include four proposed rule change between the Proposed RuleChange Received From additional reports: Buy Volume Report, Commission and any person, other than Members, Participants or Others Sell Volume Report, Crossed Volume those that may be withheld from the Report, and Consolidated Activity Nasdaq neither solicited nor received public in accordance with the Volume Report.10 Each report offers written comments with respect to the provisions of 5 U.S.C. 552, will be information regarding total Nasdaq proposed rule change. available for inspection and copying in reported buy (or sell, or cross, or III. Date of Effectiveness of the the Commission’s Public Reference consolidated) volume in the security, as Proposed Rule Change and Timing for Room. Copies of such filing will also be well as rankings of registered market Commission Action available for inspection and copying at makers based upon various aspects of the principal office of the NASD. All their activity in Nasdaq. The reports Because the foregoing proposed rule submissions should refer to file number also provide recipients with information change does not: SR–NASD–2003–142 and should be about the number and character of each (i) Significantly affect the protection submitted by October 28, 2003. market maker’s trades. Finally, the of investors or the public interest; (ii) Impose any significant burden on For the Commission, by the Division of reports provide the information competition; and Market Regulation, pursuant to delegated described above with respect to block 16 (iii) Become operative for 30 days authority. volume, be it buy, sell, cross or from the date on which it was filed, or consolidated interest. Margaret H. McFarland, such shorter time as the Commission Extension of the Pilot. The PostData Deputy Secretary. may designate, it has become effective pilot program is scheduled to expire on [FR Doc. 03–25342 Filed 10–6–03; 8:45 am] pursuant to section 19(b)(3)(A) of the September 30, 2003. Nasdaq plans to BILLING CODE 8010–01–P Act 13 and rule 19b–4(f)(6) thereunder.14 request permanent approval of PostData At any time within 60 days of the filing in the coming months. Additional time of the proposed rule change, the is needed, however, to finalize the SECURITIES AND EXCHANGE Commission may summarily abrogate details of PostData as a permanent COMMISSION such rule change if it appears to the product and to fully analyze PostData Commission that such action is fees. Nasdaq is therefore requesting an [Release No. 34–48579; File No. SR–NYSE– necessary or appropriate in the public extension of the PostData pilot through 2003–26] interest, for the protection of investors, March 31, 2004. or otherwise in furtherance of the Self-Regulatory Organizations; Notice 2. Statutory Basis purposes of the Act. of Filing of Proposed Rule Change by Nasdaq has asked the Commission to Nasdaq believes that the proposed the New York Stock Exchange, Inc., To waive the five-day pre-filing notice rule change is consistent with the Amend an Interpretation of NYSE Rule requirement and the 30-day operative provisions of section 15A(b)(5) 11 and 345 to Provide for the Elimination of delay. The Commission believes 15A(b)(6) 12 of the Act. Section ‘‘Registered Representative-In- waiving the five-day pre-filing notice 15A(b)(5) requires the equitable Charge’’ as a Category Precluded requirement and the 30-day operative allocation of reasonable fees and charges From Being an Independent Contractor delay is consistent with the protection among members and other users of of investors and the public interest. October 1, 2003. facilities operated or controlled by a Such waivers will allow the pilot to national securities association. Section Pursuant to section 19(b)(1) of the operate without interruption through 15A(b)(6) requires rules that foster Securities Exchange Act of 1934 March 31, 2004. For these reasons, the cooperation and coordination with (‘‘Act’’),1 and Rule 19b–4 thereunder,2 Commission designates the proposal to persons engaged in facilitating notice is hereby given that on be effective and operative upon filing transactions in securities and that are September 3, 2003, the New York Stock with the Commission.15 not designed to permit unfair Exchange, Inc. (‘‘NYSE’’ or discrimination between customers, IV. Solicitation of Comments ‘‘Exchange’’), filed with the Securities and Exchange Commission issuers, brokers or dealers. Nasdaq Interested persons are invited to (‘‘Commission’’ or ‘‘SEC’’) the proposed believes that this program involves a submit written data, views, and rule change as described in Items I, II reasonable fee assessed only to users arguments concerning the foregoing, and III below, which Items have been and other persons utilizing the system including whether the proposal is prepared by NYSE.3 and will provide useful information to consistent with the Act. Persons making The Commission is all direct and indirect subscribers on a written submissions should file six publishing this notice to solicit non-discriminatory basis. copies thereof with the Secretary, comments on the proposed rule change from interested persons. B. Self-Regulatory Organization’s Securities and Exchange Commission, Statement on Burden on Competition 450 Fifth Street, NW., Washington, DC 20549–0609. Copies of the submission, 16 17 CFR 200.30–3(a)(12). Nasdaq does not believe that the 1 15 U.S.C. 78s(b)(1). all subsequent amendments, all written proposed rule change will result in any 2 17 CFR 240.19b–4. burden on competition that is not 3 Commission staff made non-substantive changes 13 15 U.S.C. 78s(b)(3)(A). to the description of the proposed rule change and 14 17 CFR 240.19b–4(f)(6). the format of this Notice with the permission of the 10 See Securities Exchange Act Release No. 46316 15 For purposes only of accelerating the operative Exchange. Telephone conversations between Mary (August 6, 2002), 67 FR 52504 (August 12, date of this proposal, the Commission has Anne Furlong, Director, Rule and Interpretive 2002)(SR–NASD–2002–90). considered the proposed rule’s impact on Standards, NYSE, and Andrew Shipe, Special 11 15 U.S.C. 78o–3(b)(5). efficiency, competition, and capital formation. 15 Counsel, Division of Market Regulation, 12 15 U.S.C. 78o–3(b)(6). U.S.C. 78c(f). Commission, September 12 and 16, 2003.
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I. Self-Regulatory Organization’s duties, from asserting and obtaining correspondence, etc.) are to be Statement of the Terms of Substance of approval for independent contractor conducted by qualified supervisors. the Proposed Rule Change status. Interpretation /02 to Rule 345(a) permits a registered representative to be NYSE proposes to amend its A registered representative who is associated with a member or member Interpretation Handbook by eliminating, designated as ‘‘in-charge’’ and who organization as an ‘‘independent from an existing Interpretation of NYSE seeks status as an independent contractor’’ provided such status does Rule 345, a prohibition on persons contractor must submit all of the documentation required in items 1 not preclude the independent designated as ‘‘Registered- contractor’s characterization and Representative-In-Charge’’ from through 4, above, as well as a written statement by the member or member treatment as an employee for purposes associating with members and member of the Constitution and Rules of the organizations as independent organization that it has not assigned or delegated any supervisory Exchange (e.g., registration, contractors. Below is the text of the qualification, supervision by the proposed rule change. Proposed new responsibilities to the registered representative-in-charge. member or member organization, and language is italicized. Proposed being subject to the Exchange’s deletions are in [brackets]. (Also see Rule 342.15/02, page 3414.) jurisdiction). However, Interpretation * * * * * * * * * * /02 to Rule 345(a) prohibits persons Rule 345 Employees—Registration, II. Self-Regulatory Organization’s delegated supervisory responsibilities Approval, Records Statement of the Purpose of, and including persons designated as ‘‘registered representative-in-charge,’’ (a) Registration Statutory Basis for, the Proposed Rule Change from claiming the status of independent /01 Exceptions contractor. In its filing with the Commission, The Exchange believes that persons No change. NYSE included statements concerning delegated supervisory responsibilities /02 ‘‘Independent Contractors’’ the purpose of and basis for the for members and member organizations proposed rule change and discussed any generally must be full-time employees The Exchange will not object to the comments it received on the proposed (the Exchange has exemption authority assertion by a natural person registered rule change. The text of these statements under Rule 346(e)). representative of ‘‘independent may be examined at the places specified Member organizations have stated contractor’’ status if such status will not in Item IV below. NYSE has prepared that the prohibition against a registered preclude his or her characterization and summaries, set forth in sections A, B, representative-in-charge from being an treatment as an ‘‘employee’’ for and C below, of the most significant independent contractor is creating purposes of the Constitution and Rules aspects of such statements. unnecessary burdens in small offices of the Exchange. Such salesperson and with two or three registered the member organization must agree A. Self-Regulatory Organization’s representatives, all of whom may wish that the natural person is subject to the Statement of the Purpose of, and to be independent contractors. organization’s direct, detailed Statutory Basis for, the Proposed Rule Typically, the type of office that would supervision, control and discipline and Change have independent contractors is one is covered by its fidelity bond. 1. Purpose with limited securities sales activities, Once a member organization approves e.g., the registered representatives work a registered representative’s status of Rule 342 (‘‘Offices ‘‘Approval, part-time for their member or member ‘‘independent contractor’’ the following Supervision and Control’’) requires, in organizations and part-time selling conditions must be met: part, that each office of a member or products or services for affiliated or 1. No change. member organization shall be under the non-affiliated companies, such as 2. No change. supervision and control of the member banking, tax preparation, or accounting 3. No change. or member organization establishing it services. These individuals usually are 4. No change. and of the person delegated such employed by the non-member Written notification of the cessation of authority and responsibility. Further, organization and conduct their limited ‘‘independent contractor’’ status is to be the structure and administration of securities activities through an given to the Qualifications and Exchange rules mandate that all independent contractor relationship Registrations Department of the employees of members and member with the member or member Exchange. organizations, including registered organization. This interpretation does not apply to representatives, be subject to the direct The Exchange proposes the persons delegated supervisory functions and ongoing supervision and control of elimination of ‘‘registered (e.g., Branch Office Manager[, Registered their member organization employer. representative-in-charge’’ as a category Representative-In-Charge]), pursuant to In addition, Rule 342.15 provides that of registered person precluded from Rule 342(b)(1) nor does it permit the small offices (those with three or fewer being an independent contractor under incorporation of registered registered representatives) may be in the this interpretation. In this regard, the representatives. (See Interpretation charge of a qualified principal or Exchange has determined that members Memo No. 78–7 dated December 27, manager who is either resident or non- and member organizations generally 1978.) resident in that location. Interpretation assign administrative as opposed to This interpretation does not preclude /02 to Rule 342.15 provides that where supervisory functions to persons they a registered representative who is the a qualified supervisor is not on the designate as registered representatives- sole employee in a small office (e.g., a premises of a small office, a resident in-charge. Pursuant to an existing residence office) or a registered registered representative is to be written interpretation (Rule 342.15/02), representative who is designated as ‘‘in- designated as ‘‘in charge.’’ However, it primary supervision is carried out by charge’’ pursuant to Rule 342.15, is still required that all supervisory qualified branch managers, (persons provided such person has not been functions (e.g., approval of accounts, who have passed the General Securities assigned or delegated supervisory review of account activity and Sales Supervisor Qualification
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Examination, Series 9 and 10) at longer period to be appropriate and applications for physical damage is designated parent branch offices or the publishes its reasons for so finding or November 19, 2003, and for economic main office of the member or member (ii) as to which the self-regulatory injury the deadline is June 21, 2004. organization in accordance with its organization consents, the Commission (Catalog of Federal Domestic Assistance overall written plan of supervision. will: Program Nos. 59002 and 59008) Accordingly, Interpretation /02 to (A) By order approve such proposed Dated: October 1, 2003. Rule 345(a) will be amended to permit rule change, or registered representatives-in-charge to (B) Institute proceedings to determine Herbert L. Mitchell, associate with members and member whether the proposed rule change Associate Administrator for Disaster organizations as independent should be disapproved. Assistance. contractors provided that the member or [FR Doc. 03–25371 Filed 10–6–03; 8:45 am] IV. Solicitation of Comments member organization neither assigns nor BILLING CODE 8025–01–P delegates supervisory responsibilities to Interested persons are invited to such persons. Further, in addition to the submit written data, views and documents already required to be arguments concerning the foregoing, SMALL BUSINESS ADMINISTRATION submitted under this Interpretation in including whether the proposal is seeking approval of independent consistent with the Act. Persons making [Declaration of Disaster #3547] written submissions should file six contractor status (e.g., Employment State of Maryland (Amendment #1) Agreement, Consent to Jurisdiction copies thereof with the Secretary, Form, written assurances that the Securities and Exchange Commission, In accordance with a notice received member or member organization will 450 Fifth Street, NW., Washington, DC from the Department of Homeland supervise and control all activities of 20549–0609. Copies of the submission, Security—Federal Emergency the independent contractor the same as all subsequent amendments, all written Management Agency, effective it regulates the activities of all other statements with respect to the proposed September 29, 2003, the above registered representatives), (see NYSE rule change that are filed with the numbered declaration is hereby Interpretation 345(a) /02), the member Commission, and all written amended to establish the incident or member organization would be communications relating to the period for this disaster as beginning on required to submit a written statement proposed rule change between the September 18, 2003 and continuing confirming that it has not assigned or Commission and any person, other than through September 29, 2003. delegated any supervisory those that may be withheld from the All other information remains the responsibilities to such person. public in accordance with the same, i.e., the deadline for filing provisions of 5 U.S.C. 552, will be 2. Statutory Basis applications for physical damage is available for inspection and copying in November 18, 2003, and for economic The statutory basis for the proposed the Commission’s Public Reference injury the deadline is June 21, 2004. rule change is Section 6(b)(5)4 of the Room. Copies of such filing will also be Exchange Act, which requires, among (Catalog of Federal Domestic Assistance available for inspection and copying at Program Nos. 59002 and 59008) other things, that the rules of the the principal office of NYSE. All Exchange be designed to prevent submissions should refer to File No. Dated: October 1, 2003. fraudulent and manipulative acts and SR–NYSE–2003–26 and should be Herbert L. Mitchell, practices, to promote just and equitable submitted by October 28, 2003. Associate Administrator for Disaster Assistance. principles of trade and in general to For the Commission, by the Division of protect investors and the public interest. Market Regulation, pursuant to delegated [FR Doc. 03–25370 Filed 10–6–03; 8:45 am] B. Self-Regulatory Organization’s authority.5 BILLING CODE 8025–01–P Statement on Burden on Competition Margaret H. McFarland, The Exchange does not believe that Deputy Secretary. SMALL BUSINESS ADMINISTRATION the proposed rule change will impose [FR Doc. 03–25341 Filed 10–6–03; 8:45 am] any burden on competition that is not BILLING CODE 8010–01–P [Declaration of Disaster #3545] necessary or appropriate in furtherance of the purposes of the Exchange Act. State of North Carolina (Amendment SMALL BUSINESS ADMINISTRATION #1) C. Self-Regulatory Organization’s Statement on Comments on the [Declaration of Disaster #3548] In accordance with a notice received Proposed Rule Change Received from from the Department of Homeland District of Columbia (Amendment #1) Members, Participants or Others Security—Federal Emergency The Exchange has neither solicited In accordance with a notice received Management Agency, effective nor received written comments on the from the Department of Homeland September 26, 2003, the above proposed rule change. Security—Federal Emergency numbered declaration is hereby Management Agency, effective amended to establish the incident III. Date of Effectiveness of the September 29, 2003, the above period for this disaster as beginning on Proposed Rule Change and Timing for numbered declaration is hereby September 18, 2003 and continuing Commission Action amended to establish the incident through September 26, 2003. Within 35 days of the date of period for this disaster as beginning on All other information remains the publication of this notice in the Federal September 18, 2003 and continuing same, i.e., the deadline for filing Register or within such longer period (i) through September 29, 2003. applications for physical damage is as the Commission may designate up to All other information remains the November 17, 2003, and for economic 90 days of such date if it finds such same, i.e., the deadline for filing injury the deadline is June 18, 2004. (Catalog of Federal Domestic Assistance 4 15 U.S.C. 78f(b)(5). 5 17 CFR 200.30–3(a)(12). Program Nos. 59002 and 59008)
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Dated: September 30, 2003. for Pennsylvania; 9X2200 for Delaware; or through E-mail to Herbert L. Mitchell, and 9X2300 for Maryland. [email protected]. Associate Administrator for Disaster (Catalog of Federal Domestic Assistance SUPPLEMENTARY INFORMATION: Assistance. Program Nos. 59002 and 59008) [FR Doc. 03–25369 Filed 10–6–03; 8:45 am] Dated: September 29, 2003 Background BILLING CODE 8025–01–P Herbert L. Mitchell, SSI is a federal program administered Associate Administrator for Disaster by SSA. The program is financed from Assistance. SMALL BUSINESS ADMINISTRATION general federal revenue and provides [FR Doc. 03–25368 Filed 10–6–03; 8:45 am] monthly benefit payments to aged, BILLING CODE 8025–01–P blind, and individuals with disabilities [Declaration of Disaster #3552] who have limited resources and income. Commonwealth of Pennsylvania In 2003, the federal benefit rate for an SOCIAL SECURITY ADMINISTRATION individual is $552 per month and $829 As a result of the President’s major per month for a couple. In addition, Supplemental Security Income (SSI), disaster declaration on September 26, many states supplement the federal Youth Transition Process 2003, I find that Chester County in the benefit. The supplementary benefit Demonstration (YTPD) Commonwealth of Pennsylvania amounts and the categories of persons constitutes a disaster area due to AGENCY: Social Security Administration. eligible for these benefits vary from state to state. In most states, eligibility for SSI damages caused by Tropical Storms ACTION: Notice of youth demonstration Henri and Isabel, and related severe and SSI waivers. means eligibility for Medicaid; the storms and flooding occurring on extent of the Medicaid coverage package September 15 through September 23, SUMMARY: The Commissioner of Social varies by state. SSI recipients may also 2003. Applications for loans for Security announces the following be eligible to receive Food Stamps in all physical damage as a result of this demonstration project relating to the states but California and Wisconsin, disaster may be filed until the close of Supplemental Security Income (SSI) where the state’s supplementary business on November 25, 2003 and for program under title XVI of the Social payments are considered to include the economic injury until the close of Security Act. Under this project, the value of Food Stamps. business on June 28, 2004 at the address Social Security Administration (SSA) To be eligible, a person must be age listed below or other locally announced will test the effectiveness of altering 65 or older, or have a severe disability locations: certain SSI program rules as an and have limited resources and income, U.S. Small Business Administration, incentive to encourage SSI recipients and meet certain other requirements. A Disaster Area 1 Office, 360 Rainbow with disabilities or blindness to work or person is considered to have a disability Blvd., South 3rd Fl., Niagara Falls, NY increase their work activity and if a physical or mental impairment or 14303–1192. earnings. This project, called the Youth combination of impairments prevents In addition, applications for economic Transition Process Demonstration the person from doing any substantial injury loans from small businesses (YTPD), is being conducted under the gainful work and is expected to last for located in the following contiguous authority of section 1110 of the Act. at least 12 months or to result in death. counties may be filed until the specified SSA is conducting this project in six Children, as well as adults, may be date at the above location: Berks, states for the purpose of helping youth eligible. SSA works cooperatively with Delaware, Lancaster and Montgomery in with disabilities maximize their the states, who are responsible for the Commonwealth of Pennsylvania; economic self-sufficiency as they making disability and blindness New Castle County in the State of transition from school to work. The determinations through their disability Delaware; and Cecil County in the State projects will work with youth aged 14– determination services (DDS). SSA takes of Maryland. 25 who receive SSI, Social Security a detailed medical history from the The interest rates are: Disability Insurance (SSDI), or applicant during the initial interview Childhood Disability Benefits (CDB) and and sends that information to the DDS. Percent those at risk of receiving such benefits, The DDS then secures medical records including those who have a progressive and, if needed, arranges an additional For Physical Damage: disability, who have a prognosis for medical examination. Based upon this Homeowners with credit avail- decreased functioning, or who have evidence, a disability or blindness able elsewhere ...... 5.125 existing disabling conditions prior to determination is made. Homeowners without credit age 18 that would render them eligible In addition to age, disability or available elsewhere ...... 2.562 except for deemed parental income. Businesses with credit available blindness, an individual or couple must elsewhere ...... 6.199 SSA is publishing this notice in meet resource, income, and residency Businesses and non-profit orga- accordance with 20 CFR 416.250(e). requirements. In 2003, the resource nizations without credit avail- DATES: The demonstration project will limits are $2,000 for an individual and able elsewhere ...... 3.100 begin with cooperative agreement $3,000 for a couple. However, not Others (including non-profit or- awards on September 30, 2003. Subject everything that a person owns is ganizations) with credit avail- to the availability of funds, the counted. able elsewhere ...... 5.500 demonstration project will end For Economic Injury: An individual or couple may have Businesses and small agricul- September 29, 2008. earned or unearned income and still tural cooperatives without FOR FURTHER INFORMATION CONTACT: may be eligible for the SSI program. A credit available elsewhere ..... 3.100 Leola Brooks, Social Security certain amount of income is disregarded Administration, Office of Program in determining eligibility and The number assigned to this disaster Development and Research, 6401 computing the SSI benefit amount. for physical damage is 355208. For Security Blvd, 3673 Annex, Baltimore, People who live in a state that economic injury the number is 9X2100 MD 21235–6401; Phone (410) 965–2219 supplements the federal payment may
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have higher amounts of income and still measured are employment, education, available through local, state, and may qualify for some benefits. level of independence, service federal programs including Individuals To be eligible for SSI, a person must participation, and quality of life. with Disabilities Education Act (IDEA), reside in the U.S. or the Northern Project Sites: Medicaid, Workforce Investment Act, Mariana Islands and be a U.S. citizen, 1. Riverside County Office of Vocational Rehabilitation, SSI, and an alien lawfully admitted for Education Ticket to Work. The purpose of Smart permanent residence, or an alien 2. Whittier Union High School Start is to design and set into motion a permanently residing in the U.S. under District system of individualized, ‘‘color of law’’ (PRUCOL). PRUCOL is 3. Vallejo City Unified School comprehensive, and navigable defined in the Code of Federal Districts transition-related services that Regulations at 20 CFR 416.1618. 4. Capistrano Unified School District/ adequately respond to the needs and Saddleback Valley Unified School aspirations of young people with Description of the YTPD Projects District Consortium disabilities. By removing customary To further the President’s New 5. Irvine Unified School District/ bureaucratic constraints that impede Freedom Initiative goal of increasing Newport-Mesa Unified School District individual choice and empowerment, employment of individuals with Consortium Smart Start enables coordination and disabilities, we are conducting a Colorado integration of transition services across demonstration project, called the Youth multiple agencies by creating a service Transition Process Demonstration Title: Colorado Youth Work Incentive delivery system that is market driven. (YTPD), under the authority of section Network of Supports (WINS). This effort presents an opportunity for 1110 of the Act. SSA is awarding Awardee: JFK Partners of the local, state, and federal agencies to cooperative agreements to state agencies University of Colorado Health Sciences meaningfully engage in cross- and universities in six states for five Center. departmental risk-sharing efforts. years, subject to the availability of Summary: Colorado Youth Work Project participants are students with funds, for the purpose of helping youth Incentive Network of Supports (WINS) disabilities enrolled in public schools with disabilities maximize their overarching goal is to assist youth, aged and young adults with disabilities, economic self-sufficiency as they 14–25, who are currently receiving or formerly enrolled in public schools, transition from school to work. These are likely to receive SSI, SSDI, or CDB who are unemployed (or who are projects will focus on youth ages 14–25 benefits to maximize their economic employed but seeking jobs), starting who receive SSI, Social Security self-sufficiency and career with youth ages 14–25 years old who Disability Insurance (SSDI), Childhood advancement. Participants will work receive SSI. Disability Benefits (CDB), and youth with a Transition Team (made up of a Project Sites: Mason City and who are at risk of receiving such Consumer Navigator, Benefits Planner, Waterloo Community School Districts. and a Career Counselor) located in each benefits. The projects are designed to Maryland collaborate among federal, state, and selected community. The Transition local agencies to develop and Team, housed at local Workforce Title: The Maryland State Department implement sustainable improvements in Centers, will provide specialized and of Education Youth Demonstration the delivery of transition services and intensive transition services to youth Project. supports. The projects will test ways to and their families. This project is Awardee: Maryland State Department remove other barriers to employment designed to ensure that the same of Education. Summary: The Maryland State and economic self-sufficiency. Transition Team members will work with youth and their families during Department of Education Youth YTPD Project Sites high school and after the youth has left Demonstration Project will have SSA is conducting seven YTPD high school and entered the workforce. dedicated staff to assist the student projects in six states. The state, title, This project will collect comparison participants and their families in the description and project sites for each data from additional youth to determine development of services and training project follow. the impact the intensive transition that leads to employability and the services and waivers have on Colorado building of a safety net for California Youth WINS participants. Comparisons independence. In each service site there Title: The Bridges to Youth Self will be made between participants and will be a dedicated Department of Sufficiency Project (Bridges). the control group using both direct Rehabilitation Services Counselor, a Awardee: State of California Health collect and administrative data. Consumer Navigator, and a Family and Human Services Agency Project Sites: Larimer, El Paso/Teller Support and Benefits Coordinator. Areas Department of Rehabilitation. and Pueblo Counties. to be addressed include transportation, Summary: The Bridges to Youth Self independent living, health care, and Sufficiency Project (Bridges) will serve Iowa benefits planning before exiting school. youth ages 14–25 who receive SSI, Title: Smart Start. The partnership with the One Stop will SSDI, or CDB or youth at risk of Awardee: University of Iowa’s Center allow students, with the guidance of the receiving such benefits. Benefits for Disability and Development, Consumer Navigator, to develop those planning and intensive service Employment Policy Group. life skills needed for employment. As a coordination are the main services Summary: Smart Start focuses on result of participation in this project, provided by this project. Other specific supporting the successful transition of students with disabilities will be better program components are benefits students with disabilities from school to prepared for life choices at the training and education, outreach to employment and economic self- completion of their public school specialized populations, early sufficiency by addressing deficiencies educational program. Participating intervention, local partnering, youth and inefficiencies that exist across the students will be more prepared for incentives, local and state oversight system. The project concentrates on adulthood by obtaining the skills and bodies, and a data driven research coordinating and integrating existing the service agency linkages to move study. The categories of outcomes to be resources (services and benefits) from dependence to independence. All
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participating students will receive the Disabilities, New York State Department specific and objective milestones in the benefits of earlier involvement with the of Education. transition process. Division of Rehabilitation Services Summary: Transition WORKS project Project Site: Bronx County. is designed to increase the post-school (DORS) and other employment support Alternative SSI Program Rules that transition success experienced by youth services. Apply to Participants in the YTPD Project Sites: and young adults ages 14–25 who Maryland Schools for the Blind, receive SSI, SSDI or CDB or youth at Section 1110(b) of the Act authorizes Baltimore County, Wicomico County risk of receiving such benefits. the Commissioner of Social Security to Transition WORKS proposes to provide waive any requirements of title XVI of Mississippi a comprehensive, collaborative the Act necessary to carry out Title: The Mississippi Youth transition planning and services model demonstrations that, in the Transition Innovations Project (MYTI). comprised of the most effective, Commissioner’s judgment, are likely to Awardee: Mississippi Department of research-based transition practices. A promote the objectives or facilitate the Rehabilitation Services (MDRS). research design will test the efficacy of administration of the SSI program. Summary: The Mississippi Youth the component services and statistically The following alternative SSI program Transition Innovations Project (MYTI) test several hypotheses regarding rules will apply to certain project will serve youth ages 10–25 who receive transition services. The project will participants who receive SSI benefits or SSI, SSDI, CDB, or youth at risk of provide student- and family-centered a combination of SSI and SSDI benefits. receiving such benefits. MYTI will planning for all participants (in and out- 1. Despite the finding of a continuing address the following issues: (a) The of-school), coordination of services, disability review conducted in need for development of a model parent and family education and accordance with section 221(i) or transition process that will facilitate support, benefits advisement and work section 1614(a)(3)(H) of the Act or an optimal passage from school to work; (b) incentives advisement in addition to age-18 medical redetermination The elimination of barriers when waivers of SSA regulations, and conducted in accordance with section feasible to effect transition at the local, participation in career exploration 1614(a)(3)(I) of the Act that an state, and federal levels through activities as well as community-based individual is no longer eligible for interagency collaboration and work experiences. Youth with potential benefits, SSA will continue paying elimination of policies, procedures, for postsecondary education will receive benefits for as long as the individual regulations, and statutory requirements assistance to plan for and to enter and continues to be a YTPD participant. that impede progress; and, (c) The participate successfully in 2. The student earned-income development of natural and new/ postsecondary education. exclusion (section 1612(b)(1) of the Act), innovative supports at all levels as Project Site: Erie County. which normally applies only to students needed. The MYTI Project will be based Title: CUNY’s Youth Transition who are age 21 or younger and neither upon individual person-centered Demonstration Project. married nor the head of a household (20 planning, including the use of Awardee: City University of New CFR 416.1866) will apply to all individual training accounts involving York. participants who meet school prospective employer buy-in to pre- Summary: CUNY’s Youth Transition attendance requirements, without regard career development, such as training Demonstration Project is designed to to their age or whether they are married opportunities required to earn an prepare youth aged 16–19, who receive or the head of a household. Occupational Diploma. As issues arise SSI benefits, to achieve economic self- 3. The general earned-income that impede the ability to accomplish sufficiency. The project plans to exclusion (section 1612(b)(4)) normally this, local-level Transition Specialists increase coordination among public permits the exclusion of $65 plus half will address these on an individualized agencies and private organizations that of what an individual earns in excess of basis and, if necessary, bring them to the have resources, funding, and a mandate $65. For the YTPD, SSA will exclude state-level Coordination Council to to provide transition services. As a the first $65 plus three-fourths of any facilitate barrier removal. In the final forum to deliver transition services, additional earnings. year in the local school system, integrate systems and tap resources, the 4. SSA will extend the SSI program’s participants will be referred to the project will convene an annual, four- treatment of federally supported appropriate MDRS program for week, Summer Institute for participating individual development accounts (IDAs) vocational rehabilitation, supported youth. There will be a variety of (section 404(h) of the Act) to IDAs that employment, and independent living workshops, information sessions, and do not involve federal funds. services. The program will be evaluated professional development seminars to An IDA is a trust-like savings account. in terms of progress and outcome support transition. All students will be Except for certain emergencies, funds in variables. Participation analysis will trained in self-determination skills. a federally supported IDA can be used compare the experiences of the project Tutoring in basic skills, vocational only for going to college, buying a first group with a similar group of students assessments, benefits counseling, and home, or starting a business. The with disabilities who did not receive work-based learning will also be individual makes deposits from his or project services. provided. College students with her earned income. The individual’s Project Sites: Gulfport City and disabilities will serve as peer mentors. contributions are matched, at rates that Harrison County Schools in years 1–3 Year round activities will include can vary from 1:1 to 8:1, usually and then add the Durant Public School student self-advocacy groups, parent depending on the availability of in year 4. support groups, and a four-course, funding. twelve-credit Certificate in Transition Social Security excludes federally- New York Services for school personnel, staff at supported IDAs when it determines Title: Transition WORKS. public and private agencies, as well as whether someone’s resources exceed the Awardee: Erie 1 Board of Cooperative parents and CUNY students. The project SSI limit. It also excludes matching Educational Services (BOCES) with the will be evaluated by comparing the contributions when it determines Office of Vocational and Educational progress the experimental group makes, countable income. Further, Social Services for Individuals with versus the control group, in completing Security deducts the beneficiary’s own
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deposits from countable income, so that Dated: September 25, 2003. Executive Office Building, Washington, SSI benefits replace the amount Jo Anne B. Barnhart, DC 20503. deposited. As a result, an SSI Commissioner of Social Security. Lois K. Holland, beneficiary does not have to divert [FR Doc. 03–25194 Filed 10–6–03; 8:45 am] Treasury PRA Clearance Officer. scarce resources from living expenses in BILLING CODE 4191–02–P [FR Doc. 03–25379 Filed 10–6–03; 8:45 am] order to save. BILLING CODE 4810–02–M Nonfederally supported IDA or ‘‘IDA- like’’ programs have emerged in a DEPARTMENT OF THE TREASURY number of states. These programs DEPARTMENT OF THE TREASURY Submission for OMB Review; usually permit an individual to save for Comment Request one or more purposes in addition to the Internal Revenue Service three mentioned above, such as September 29, 2003. Proposed Collection; Comment transportation. The exclusions that The Department of Treasury has Request for Form 706–A apply to federally-supported IDAs submitted the following public normally do not extend to these information collection requirement(s) to AGENCY: Internal Revenue Service (IRS), programs. OMB for review and clearance under the Treasury. 5. Ordinarily, a plan for achieving Paperwork Reduction Act of 1995, ACTION: Notice and request for self-support (PASS) must specify an Public Law 104–13. Copies of the comments. submission(s) may be obtained by employment goal (section 1633(d) of the calling the Treasury Bureau Clearance SUMMARY: The Department of the Act), which refers to getting a particular Officer listed. Comments regarding this Treasury, as part of its continuing effort kind of job or starting a particular information collection should be to reduce paperwork and respondent business. For the YTPD, SSA will addressed to the OMB reviewer listed burden, invites the general public and approve an otherwise satisfactory PASS and to the Treasury Department other Federal agencies to take this that has either career exploration or Clearance Office, Department of the opportunity to comment on proposed postsecondary education as its goal. If Treasury, Room 11000, 1750 and/or continuing information the goal is postsecondary education, the Pennsylvania Avenue, NW., collections, as required by the PASS must provide for developing a Washington, DC 20220. Paperwork Reduction Act of 1995, Pub. work goal at least one year prior to DATES: Written comments should be L. 104–13 (44 U.S.C. 3506(c)(2)(A)). completion of the degree requirements. received on or before November 6, 2003 Currently, the IRS is soliciting Income that an individual uses for to be assured of consideration. comments concerning Form 706–A, PASS expenses does not count when United States Additional Estate Tax Financial Crimes Enforcement Network Return. SSA determines SSI eligibility and (FinCEN) payment amount. Assets that an DATES: Written comments should be individual uses for PASS expenses do OMB Number: 1506–0004. received on or before December 8, 2003 Form Number: FinCEN 104 (Formerly not count as resources when SSA to be assured of consideration. Customs Form 4789). determines SSI eligibility. Type of Review: Revision. ADDRESSES: Direct all written comments Evaluation Title: Currency Transaction Reports. to Glenn P. Kirkland, Internal Revenue Description: Financial institutions file Service, room 6411, 1111 Constitution The seven YTPD projects will collect Form 104 for currency transactions in Avenue NW., Washington, DC 20224. data for each participant regarding excess of $10,000 a day pursuant to 31 FOR FURTHER INFORMATION CONTACT: identifying information, educational U.S.C. 5313(a) and 31 CFR 103.22(a)(b). Requests for additional information or and vocational background, services The form is used by criminal copies of the form and instructions provided, education/work attempts, and investigators, and taxation and should be directed to Carol Savage at outcomes and use of the alternative SSI regulatory enforcement authorities, Internal Revenue Service, room 6407, program rules. Each YTPD project will during the course of investigations 1111 Constitution Avenue NW., use the data to evaluate the effectiveness involving financial crimes. Washington, DC 20224, or at (202) 622– of alternative SSI program rules. In Respondents: Business or other for- 3945, or through the Internet at addition, SSA will award a separate profit, not-for-profit institutions, Federal [email protected]. contract to evaluate the overall success Government. Estimated Number of Respondents/ SUPPLEMENTARY INFORMATION: of the YTPD, aid YTPD projects in their Recordkeeping: 119,000. Title: United States Additional Estate evaluation activities, conduct a process Estimated Burden Hours Per Tax Return. evaluation, and assess cost- Respondent/Recordkeeping: 24 minutes. OMB Number: 1545–0016. effectiveness. The evaluation contractor Frequency of Response: Other (as Form Number: 706–A. is to conduct a net-outcomes and required). Abstract: Form 706–A is used by process evaluation which will provide Estimated Total Reporting/ individuals to compute and pay the information on the effectiveness of Recordingkeeping Burden: 4,960,000 additional estate taxes due under interventions, including the hours. Internal Revenue Code section 2032A(c) effectiveness of alternative SSI program Clearance Officer: Steve Rudzinski for an early disposition of specially rules, and the feasibility of using (703) 905–3845, Financial Crimes valued property or for an early cessation different types of comparison groups. It Enforcement Network, 2070 Chain of a qualified use of such property. The also will collect the project-level data Bridge Road, Suite 200, Vienna, VA IRS uses the information to determine and prepare methodology for measuring 22182. that the taxes have been properly transition services and adult outcomes OMB Reviewer: Joseph F. Lackey, Jr. computed. for youth with disabilities. (202) 395–7316, Office of Management Current Actions: There are no changes and Budget, Room 10235, New being made to the form at this time.
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Type of Review: Extension of a SUMMARY: The Department of the respond to, a collection of information currently approved collection. Treasury, as part of its continuing effort unless the collection of information Affected Public: Individuals or to reduce paperwork and respondent displays a valid OMB control number. households. burden, invites the general public and Books or records relating to a collection Estimated Number of Respondents: other Federal agencies to take this of information must be retained as long 180. opportunity to comment on proposed as their contents may become material Estimated Time Per Respondent: 8 and/or continuing information in the administration of any internal hours, 11 minutes. collections, as required by the revenue law. Generally, tax returns and Estimated Total Annual Burden Paperwork Reduction Act of 1995, tax return information are confidential, Hours: 1,475. Public Law 104–13 (44 U.S.C. as required by 26 U.S.C. 6103. The following paragraph applies to all 3506(c)(2)(A)). Currently, the IRS is Request for Comments: Comments of the collections of information covered soliciting comments concerning an submitted in response to this notice will by this notice: existing final regulation, REG–109481– be summarized and/or included in the An agency may not conduct or 99 (TD 9076), Special Rules Under request for OMB approval. All sponsor, and a person is not required to Section 417(a)(7) for Written comments will become a matter of respond to, a collection of information Explanation Provided by Qualified public record. Comments are invited on: unless the collection of information Retirement Plan After Annuity Starting (a) Whether the collection of displays a valid OMB control number. Dates (§ 1.417(e)–1). information is necessary for the proper Books or records relating to a collection DATES: Written comments should be performance of the functions of the of information must be retained as long received on or before December 8, 2003 agency, including whether the as their contents may become material to be assured of consideration. information shall have practical utility; in the administration of any internal ADDRESSES: Direct all written comments (b) the accuracy of the agency’s estimate revenue law. Generally, tax returns and to Glenn P. Kirkland, Internal Revenue of the burden of the collection of tax return information are confidential, Service, Room 6411, 1111 Constitution information; (c) ways to enhance the as required by 26 U.S.C. 6103. quality, utility, and clarity of the Request for Comments: Comments Avenue, NW., Washington, DC 20224. information to be collected; (d) ways to submitted in response to this notice will FOR FURTHER INFORMATION CONTACT: minimize the burden of the collection of be summarized and/or included in the Requests for additional information or information on respondents, including request for OMB approval. All copies of regulations should be directed through the use of automated collection comments will become a matter of to Carol Savage, (202) 622–3945, or techniques or other forms of information public record. Comments are invited on: through the Internet technology; and (e) estimates of capital (a) Whether the collection of ([email protected].), Internal or start-up costs and costs of operation, information is necessary for the proper Revenue Service, Room 6407, 1111 maintenance, and purchase of services performance of the functions of the Constitution Avenue, NW., Washington, to provide information. agency, including whether the DC 20224. information shall have practical utility; SUPPLEMENTARY INFORMATION: Approved: September 30, 2003. (b) the accuracy of the agency’s estimate Title: Special Rules Under Section Glenn P. Kirkland, of the burden of the collection of 417(a)(7) for Written Explanation IRS Reports Clearance Officer. information; (c) ways to enhance the Provided by Qualified Retirement Plan [FR Doc. 03–25392 Filed 10–6–03; 8:45 am] After Annuity Starting Dates. quality, utility, and clarity of the BILLING CODE 4830–01–P information to be collected; (d) ways to OMB Number: 1545–1724. Regulation Project Number: REG– minimize the burden of the collection of 109481–99. DEPARTMENT OF THE TREASURY information on respondents, including Abstract: The collection of through the use of automated collection information requirement in section Internal Revenue Service techniques or other forms of information 1.417(e)–1(b)(3)(iv)(B) and 1.417(e)– technology; and (e) estimates of capital 1(b)(3)(v)(A) is required to ensure that a Proposed Collection; Comment or start-up costs and costs of operation, participant and the participant’s spouse Request for Revenue Procedure 98–46 maintenance, and purchase of services consent to a form of distribution from a and Revenue Procedure 97–44 to provide information. qualified plan that may result in Approved: September 30, 2003. reduced periodic payments. AGENCY: Internal Revenue Service (IRS), Glenn P. Kirkland, Current Actions: There is no change to Treasury. IRS Reports Clearance Officer. this existing regulation. ACTION: Notice and request for comments. [FR Doc. 03–25391 Filed 10–6–03; 8:45 am] Type of Review: Extension of a currently approved collection. BILLING CODE 4830–01–P Affected Public: Individuals or SUMMARY: The Department of the households, business or other for-profit Treasury, as part of its continuing effort to reduce paperwork and respondent DEPARTMENT OF THE TREASURY organizations, and not-for-profit institutions. burden, invites the general public and other Federal agencies to take this Internal Revenue Service Estimated Number of Respondents: 50,000. opportunity to comment on proposed [REG–109481–99] Estimated Time Per Respondent: 15 and/or continuing information minutes. collections, as required by the Proposed Collection; Comment Estimated Total Annual Burden Paperwork Reduction Act of 1995, Request for Regulation Project Hours: 12,500. Public Law 104–13 (44 U.S.C. AGENCY: Internal Revenue Service (IRS), The following paragraph applies to all 3506(c)(2)(A)). Currently, the IRS is Treasury. of the collections of information covered soliciting comments concerning Revenue Procedure 98–46 and Revenue ACTION: Notice and request for by this notice: An agency may not conduct or Procedure 97–44, LIFO Conformity comments. sponsor, and a person is not required to Requirement.
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DATES: Written comments should be public record. Comments are invited on: ‘‘OMB Control No. 2900–0646’’ in any received on or before December 8, 2003 (a) Whether the collection of correspondence. to be assured of consideration. information is necessary for the proper FOR FURTHER INFORMATION CONTACT: Ann ADDRESSES: Direct all written comments performance of the functions of the Bickoff at (202) 273–8310. agency, including whether the to Glenn P. Kirkland, Internal Revenue SUPPLEMENTARY INFORMATION: Under the information shall have practical utility; Service, room 6411, 1111 Constitution PRA of 1995 (Pub. L. 104–13; 44 U.S.C. (b) the accuracy of the agency’s estimate Avenue NW., Washington, DC 20224. 3501–21), Federal agencies must obtain of the burden of the collection of FOR FURTHER INFORMATION CONTACT: approval from the Office of Management information; (c) ways to enhance the Requests for additional information or and Budget (OMB) for each collection of quality, utility, and clarity of the copies of revenue procedures should be information they conduct or sponsor. information to be collected; (d) ways to directed to Carol Savage at Internal This request for comment is being made minimize the burden of the collection of Revenue Service, room 6407, 1111 pursuant to section 3506(c)(2)(A) of the information on respondents, including Constitution Avenue, NW., Washington, PRA. DC 20224, or at (202) 622–3945, or through the use of automated collection With respect to the following through the Internet at techniques or other forms of information collection of information, VHA invites [email protected]. technology; and (e) estimates of capital comments on: (1) Whether the proposed or start-up costs and costs of operation, SUPPLEMENTARY INFORMATION: collection of information is necessary maintenance, and purchase of services for the proper performance of VHA’s Title: LIFO Conformity Requirement. to provide information. OMB Number: 1545–1559. functions, including whether the Revenue Procedure Number: Revenue Approved: September 30, 2003. information will have practical utility; Procedure 98–46 and Revenue Glenn P. Kirkland, (2) the accuracy of VHA’s estimate of Procedure 97–44. IRS Reports Clearance Officer. the burden of the proposed collection of Abstract: Revenue Procedure 97–44 [FR Doc. 03–25393 Filed 10–6–03; 8:45 am] information; (3) ways to enhance the permits automobile dealers that comply BILLING CODE 4830–01–P quality, utility, and clarity of the with the terms of the revenue procedure information to be collected; and (4) to continue using the LIFO inventory ways to minimize the burden of the method despite previous violations of DEPARTMENT OF VETERANS collection of information on the LIFO conformity requirements of AFFAIRS respondents, including through the use Internal Revenue Code section 472(c) or of automated collection techniques or (e)(2). Revenue Procedure 98–46 [OMB Control No. 2900-0646] the use of other forms of information modified Revenue Procedure 97–44 by technology. Proposed Information Collection allowing medium-and heavy-duty truck Title: Medication Prescribed by Non- Activity: Proposed Collection; dealers to take advantage of the VA Physicians; VA Transitional Comment Request favorable relief provided in Revenue Pharmacy Benefit, VA Form 10–0411. Procedure 97–44. AGENCY: Veterans Health OMB Control Number: 2900–0646. Current Actions: There are no changes Administration, Department of Veterans Type of Review: Extension of a being made to these revenue procedures Affairs (VA). currently approved collection. Abstract: Under existing law and at this time. ACTION: Notice. Type of Review: Extension of a regulations, a veteran desiring medical currently approved collection. SUMMARY: The Veterans Health care from VA must enroll in VA’s health Affected Public: Business or other for- Administration (VHA) is announcing an care system. When a veteran first enrolls profit organizations. opportunity for public comment on the in the VA system, and requests an Estimated Number of Respondents: proposed collection of certain appointment for care, VA schedules an 5,000. information by the agency. Under the appointment for a visit with a primary Estimated Time Per Respondent: 20 Paperwork Reduction Act (PRA) of care physician. The primary care hours. 1995, Federal agencies are required to physician generally learns from the Estimated Total Annual Burden publish notice in the Federal Register veteran what medication the veteran is Hours: 100,000. concerning each proposed collection of taking, if any, assesses the need for the The following paragraph applies to all information, including each proposed medication and writes prescriptions for of the collections of information covered extension of a currently approved any needed medication. Those by this notice: collection, and allow 60 days for public prescriptions written by the VA An agency may not conduct or comment in response to the notice. This physician are filled by a VA pharmacy. sponsor, and a person is not required to notice solicits comments on the In recent years, there has been an respond to, a collection of information information necessary for VA to fill increased in the enrollment of veterans unless the collection of information prescriptions written by non-VA into the health care system to obtain displays a valid OMB control number. physicians. pharmacy benefits at no cost or at a Books or records relating to a collection reasonable cost. With the dramatically of information must be retained as long DATES: Written comments and increased enrollment, VA has been as their contents may become material recommendations on the proposed unable to provide all enrolled veterans in the administration of any internal collection of information should be with health care services in a timely revenue law. Generally, tax returns and received on or before December 8, 2003. manner. Many of those veterans have tax return information are confidential, ADDRESSES: Submit written comments prescriptions, written by non-VA as required by 26 U.S.C. 6103. on the collection of information to Ann physicians, that VA primary care Request for Comments: Comments Bickoff, Veterans Health Administration physicians may subsequently confirm submitted in response to this notice will (193B1), Department of Veterans Affairs, and renew when the veterans are able to be summarized and/or included in the 810 Vermont Avenue, NW., have initial primary care visits. In an request for OMB approval. All Washington, DC 20420 or e-mail effort to ease financial burden on comments will become a matter of [email protected]. Please refer to enrolled veterans currently waiting
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lengthy periods of time for their initial 0411, VA Transitional Pharmacy Benefit Estimated Number of Respondents: primary care visits, VA will provide will be used to collect the data 363,446. these veterans with medication prior to necessary to safely administer these Estimated Total Annual Responses: their initial primary care visits at VA if medications. 181,723. these veterans present valid Affected Public: Individuals or Dated: September 25, 2003. prescriptions from the non-VA households. physicians. VA will fill prescriptions Estimated Total Annual Burden: By direction of the Secretary. written by non-VA physicians only for 30,287 hours. Jacqueline Parks, a period of time such veterans are Estimated Average Burden Per IT Specialist, Records Management Service. awaiting a scheduled appointment with Respondent: 10 minutes. [FR Doc. 03–25331 Filed 10–6–03; 8:45 am] a VA health care provider. VA Form 10– Frequency of Response: One-time. BILLING CODE 8320–01–P
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Corrections Federal Register Vol. 68, No. 194
Tuesday, October 7, 2003
This section of the FEDERAL REGISTER fails to specify the information or data not change as a result of consuming contains editorial corrections of previously in these documents that support its olestra-containing products. published Presidential, Rule, Proposed Rule, assertion that FDA’s position on Accordingly, CSPI’s objections to the and Notice documents. These corrections are carotenoids is a minority view. In such olestra label statement imposed by the prepared by the Office of the Federal 1996 final rule are arguably moot.’’. Register. Agency prepared corrections are circumstances, reliance on the White issued as signed documents and appear in Paper (CSPI exh. 1) and exhibits 3 3. On page 46409, in the first column, the appropriate document categories through 7 cannot justify a hearing the paragraph preceding footnote 36, elsewhere in the issue. because a hearing will not be granted in ‘‘First, CSPI’s first objection challenges the absence of available and specifically FDA’s finding that olestra is safe for use identified reliable evidence to support in savory snacks.37 As noted, resolving the factual issue asserted the question of olestra’s safety requires DEPARTMENT OF HEALTH AND the application of the legal standard HUMAN SERVICES (§ 12.24(b)(2)).’’. 2. On page 46408, footnote 33 should (‘‘safe’’) as defined by FDA’s regulations Food and Drug Administration read as follows: ‘‘33 Elsewhere in this (‘‘reasonable certainty of no harm’’) to a issue of the Federal Register, FDA has set of facts. As such, the question of 21 CFR Part 172 concluded, based upon a subsequent whether olestra is safe for its intended use is a question of law, not fact. [Docket No. 1987F–0179] food additive petition submitted by P&G containing new data and information, Accordingly, FDA is denying CSPI’s first objection because a hearing will not that olestra-containing foods need not Food Additives Permitted for Direct be granted on issues of policy or law bear the information statement required Addition to Food for Human (§ 12.24(b)(1)).’’ should be inserted in by the original final rule. FDA has Consumption; Olestra the first column, as the second full concluded that most of the information paragraph. Correction statement is no longer required to 4. On the same page, footnote 44 In rule document 03–19509 beginning ensure that olestra-containing products should read as follows: ‘‘44 Olestra is on page 46363 in the issue of Tuesday, are not misbranded. The olestra not digested and thus will add to the August 5, 2003, make the following regulation, § 172.867, as revised in weight of the stools of olestra consumers corrections: response to P&G’s petition, requires that (61 FR 3118 at 3158). Thus, mere 1. On page 46405, footnote 9 should an asterisk appear in the ingredient list increase in stool weight of olestra read as follows: ‘‘9 CSPI also relies on beside the added vitamins A, D, E, and consumers is not itself evidence of its White Paper (CSPI exh. 1) and K. The asterisk will reference the harm.’’. exhibits 3 through 7 to the White Paper. statement, ‘‘Dietarily insignificant.’’ The Although this reference is quite lengthy purpose of such labeling is to inform [FR Doc. C3–19509 Filed 10–6–03; 8:45 am] (approximately 230 pages total), CSPI consumers that their vitamin status will BILLING CODE 1505–01–D
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Part II
Small Business Administration 13 CFR Part 120 Development Company Loan (504) Program Changes; Final Rule
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SMALL BUSINESS ADMINISTRATION authority to promote and assist the more flexibility to adjust the average in growth and development of small response to increased costs as reflected 13 CFR Part 120 business concerns in the areas covered by such measures as the consumer price by their operations. The law further index. This change will permit CDCs to RIN 3245–AE41 stated that a local development approve more projects that do not meet Development Company Loan (504) company is a corporation chartered the job creation criteria but do meet Program Changes under any applicable State corporation other statutory goals such as increasing law to operate in a specified area within manufacturers’ productivity and AGENCY: U.S. Small Business a State and be composed of, and competitiveness through re-tooling, Administration (SBA). controlled by, persons residing or doing robotics or modernization. The final ACTION: Final rule. business in the locality. The program rule also clarifies the regulations was amended in 1980 due to changing governing fees that a small business may SUMMARY: The U.S. Small Business business conditions for small and may not be charged. The regulations Administration (‘‘SBA’’ or ‘‘the businesses. During the late 1970s and covered by the final rule are 13 CFR, Agency’’) is amending the Certified early 1980s, the prime interest rate and Subpart A, § 120.102 and § 120.140, and Development Company (‘‘CDC’’) Loan unemployment rate reached historically Subpart H, §§ 120.800 through 120.984. Program (the ‘‘CDC Program’’ or the high levels. It was generally believed The 504 Program from 1986 to 2002 ‘‘504 Program’’) in order to improve that long-term, fixed-rate money was not has created or retained more than 1.5 delivery of the 504 Program to small available at a reasonable cost to small million jobs, averaging approximately businesses. The most significant businesses because of these high $13,600 of debenture per job. However, regulations changed are those governing prevailing rates and that this was the 504 Program has not used all of its a CDC’s area of operations; a CDC’s hindering job creation. Congress enacted available budgetary authority for many organizational structure; the section 503 of the Act in 1980. The 503 years. The 504 Program’s authorization requirements for a new CDC or a CDC and 504 Programs were intended to level for fiscal year 2002, for example, requesting to expand its territory; the provide long-term, fixed-rate financing was $4.5 billion compared to the total ‘‘adequately served’’ standard; and to small businesses at favorable terms approval level of $2.5 billion. whether a CDC may participate in other that were unavailable in the commercial SBA has decided to take steps to SBA loan programs. Also, to allow for marketplace. Congress specified in the increase the availability of the long- greater delegation of authority to CDCs, Act that this program ‘‘foster economic term, fixed-rate financing offered by the the rule includes expanded sections on development and create or preserve job 504 Program that is vital for our nation’s the Accredited Lender Program opportunities in both urban and rural small business community. This final (‘‘ALP’’), the Premier Certified Lender areas by providing long-term financing rule begins this process by establishing Program (‘‘PCLP’’) and a simplification for small business concerns * * *’’ The the State in which a CDC is and clarification of the enforcement statute authorizes SBA to guarantee incorporated as the CDC’s minimum provisions for CDCs. The amendments debentures backing long-term, fixed- area of operations. Currently, each CDC also clarify the regulations governing asset loans (‘‘504 Loans’’) made by is assigned a specific, local area, fees that a small business may and may CDCs. It also authorizes SBA to pool the typically several counties. Only one not be charged. guarantees and sell interests in the pools CDC per State is permitted to be a statewide CDC. In some cases, there are DATES: This rule is effective November to investors. geographic areas that do not have CDC 6, 2003. Overview of the Changes to the 504 coverage. Although CDCs’ areas of FOR FURTHER INFORMATION CONTACT: Gail Regulations operations often overlap, SBA believes H. Hepler, Chief, 504 Loan Policy SBA believes the regulatory changes that establishing statewide areas of Branch, (202) 205–7530 or, by email, at will improve 504 Program delivery to operations for all CDCs will increase the [email protected]. small business customers by increasing availability of 504 Program assistance to SUPPLEMENTARY INFORMATION: customer choice of service; increase small businesses. SBA also believes that third-party lender choice of CDCs; it is empowering the CDCs’ boards to Rulemaking History facilitate the formation of new CDCs; determine what is the optimal area of On July 8, 2003, SBA published in the facilitate the expansion of existing operations within the State for the CDC Federal Register a proposed rule (68 FR CDCs; and increase the number of CDCs to market and service effectively. 40553). The proposed rule took into able to take advantage of special Next, SBA is eliminating the consideration and was based in part on initiatives for rural areas. By allowing ‘‘adequately served’’ standard. over 1,900 comments SBA received in market-driven forces to determine Currently, a county meets the standard response to an Advanced Notice of availability of 504 Program service, of ‘‘adequately served’’ when the CDC Proposed Rulemaking (‘‘ANPRM’’) small businesses will have greater that includes the county in its area of published in the Federal Register by opportunity to negotiate the best total operations averages at least one 504 loan SBA on December 6, 2002. SBA financing package including fees, as approval in that county per 100,000 received over 70 comments in response well as receive increased service by population per year averaged over two to the proposed rule. CDCs. In addition, the 504 Program will years. In such cases, the county is be more responsive to changes in market unavailable both to an existing CDC Statutory Basis of the 504 Program conditions. applying to expand its operations to The 504 Program, Title V of the Small To allow for greater delegation of include that county and to a new CDC Business Investment Act (‘‘Act’’), 15 authority to CDCs, this final rule applying to include that county in its U.S.C. 695, was established by Public includes expanded sections on the ALP proposed area of operations. In addition, Law 85–699 on August 21, 1958. A and the PCLP. This final rule also the regulations currently do not permit ‘‘development company’’ was defined as simplifies and clarifies the enforcement a new CDC, or a CDC applying to an enterprise formed for the purpose of provisions for CDCs. In addition, SBA is expand its area of operations, to apply furthering economic development of its amending the regulations governing for a particular county if that county has community and environs, and with ‘‘job opportunity average’’ to permit become part of another CDC’s area of
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operations within the previous 24 economic area expansion to be ALP- consistent with the other section months. Eliminating this standard will qualified, among other things. Taken headings in Subpart H. encourage new CDC applications and together, SBA believes that these In § 120.802 the definition of ‘‘Area of existing CDCs to expand their changes in a CDC’s area of operations, Operations’’ is modified to define the operations within their state of elimination of the concept of minimum area of operations for a CDC incorporation without first having to go ‘‘adequately served,’’ elimination of the as the State in which the CDC is through a lengthy expansion application requirement that a CDC’s membership incorporated. As stated in the proposed process. SBA is allowing the cover the entire area of operations, the rule, SBA has decided to take steps to marketplace to determine the maximum clarification of contracting increase the availability of the long- number of CDCs that can co-exist within requirements, and the changes in the term, fixed-rate financing offered by the a State. With these changes SBA expansion requirements for CDCs will 504 Program that is vital for our nation’s anticipates that small businesses, as result in the 504 Program becoming small business community. Currently, well as lenders, will have greater choice more relevant in today’s dynamic each CDC is assigned a specific, local in, and access to, capital. financial services marketplace. area, typically several counties. Only To facilitate these changes, SBA is The final rule prohibits a CDC from one CDC per State is permitted to be a streamlining CDC organizational investing in or being affiliated with a statewide CDC. In some cases, there are structure by modifying the CDCs’ 7(a) lender. This rule was developed geographic areas that do not have CDC general membership requirements. after reviewing the comments on this coverage. Although CDCs’ areas of Currently, a CDC is required to have a issue received in response to the operations often overlap, SBA believes general membership that covers the ANPRM. The majority of those that establishing statewide areas of CDC’s entire area of operations. In the commenting on this issue, as well as operations for all CDCs will increase the final rule, SBA will no longer require those that commented on the proposed availability of 504 Program assistance to that a CDC’s membership cover the rule, stated that the 504 Program should small businesses. Most of the comments entire area of operations, but rather will remain separate from the 7(a) Program. SBA received concerned the proposed require that the CDC’s members each The concept of permitting a CDC to change to the CDC’s minimum area of actively support economic development invest in a Small Business Investment operations. Several comments were opposed to the proposed change based within all or some portion of the CDC’s Company (‘‘SBIC’’) generally was area of operations. The CDC’s board of on concerns that the changes would supported by the commenters to the directors would make the decision on dilute a CDC’s role in community and ANPRM. Many writers viewed such an how widely disbursed the CDC’s general economic development as well as a investment as economic development as membership needs to be to meet the concern that rural areas would be long as the SBIC and the CDC were not objective of local economic neglected. Some commenters also were affiliates. However, SBA’s current development. The result of this change concerned that a CDC could not provide regulations prohibit a CDC from owning and others will be that CDCs will be adequate servicing to much larger an equity interest in a business that has empowered to determine in which areas geographic areas. SBA also received received or is applying to receive SBA within their state of incorporation they several comments supporting the financing (§ 120.140). Since SBICs wish to engage in 504 Program change as proposed. One such comment activities; they will not be required to typically have an ownership interest in explained that it would eliminate serve the entire state but may do so if the businesses that they assist, a CDC monopolies that some CDCs currently they choose. SBA also is modifying the that has invested in an SBIC also would have. Another stated that competition regulations governing contracting for have an ownership interest in the small will result in the CDC working harder to staff to facilitate a CDC’s contracting for business receiving financing from the distinguish itself by attempting to ‘‘back office’’ work with a contractor SBIC and could potentially violate this provide better service at the lowest located outside of the CDC’s area of regulation by providing financing possible cost. Other commenters operations. SBA believes that this will directly to that small business. In supported expansion of a CDC’s permit certain economies of scale by addition, SBA’s regulations state that a minimum area of operations but wanted providing additional sources of CDC must operate in its area of the SBA district offices’ geographic expertise in 504 packaging, processing, operations. SBA interprets this jurisdiction to define the minimum area, servicing and liquidation. requirement to apply to all CDC not the State. For CDCs that apply to cross State activities that use funds generated from With regard to the concern about lines as a multi-state CDC, the CDC also the 504 Program. In light of these whether CDCs will be able to adequately will be able to determine the geographic concerns, at this time, SBA is provide 504 Program service to the coverage of its general membership in prohibiting a CDC from investing in an much larger geographic area of the State the new State. Also for multi-state SBIC. in which it is incorporated, SBA did not CDCs, SBA is relaxing the requirements Section-by-Section Analysis propose to require that a CDC must for board representation from the new serve the entire State in which it is State by eliminating the current SBA is adding a definition of ‘‘SOP’’ incorporated when it proposed to requirement that at least three of the to § 120.102, the definitions section change the ‘‘area of operations’’ CDC’s board members must come from applicable to the entire part 120. SBA’s definition to provide for a minimum of the new State. In addition, SBA is SOPs are available at any SBA office the State in which the CDC is allowing a CDC that currently has ALP (see 13 CFR 102.2 and are generally incorporated. A CDC will continue to be or PCLP authority in its State of available in SBA’s reading room on its free to concentrate its 504 Program incorporation to use that authority in its Web site (http://www.SBA.GOV). activities in whatever portions of its expanded area. To ensure that only SBA is amending § 120.140 to delete State it believes it can operate those CDCs with demonstrated references to Associate Development effectively as a CDC. proficiency in the 504 Program are Companies (‘‘ADC’’) (see discussion of As to the issue of the specific permitted to expand beyond their State § 120.850). geographic limit of the area of of incorporation, SBA is requiring SBA is changing the headings for operations (i.e., Statewide, as proposed; applicants for multi-state CDC and local § 120.800 and § 120.801 to make them district-wide, as favored by several
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commenters; or some even smaller suggested confusion on the part of the the phrase ‘‘The procedures of geographic area), SBA is implementing commenters in interpreting what was §§ 120.855 through 120.857 do not the Statewide minimum. First, SBA being changed in the definition. SBA apply’’ to the specific action described does not believe that this necessarily had proposed changes only to the first in the proposed regulation section. will result in rural areas being sentence of the definition. Specifically, Several commenters expressed neglected, as several commenters SBA did not propose to delete the confusion as to whether SBA was suggested. Under the current regulations reference to a ‘‘metropolitan statistical proposing to change existing rights or many such areas are being neglected area’’ as an example of a local economic add new rights to reconsideration or now, and SBA believes that increased area and, therefore, that reference will appeal from the SBA action addressed competition among CDCs within a State continue to be part of the regulation. in that regulation. Several commenters may result in bringing additional access SBA received several comments that also requested that SBA expand these to capital to those areas, as CDCs focus suggested that SBA did not adequately sections further to specifically provide their efforts on places where they have address whether the revised definition CDCs a right of administrative appeal to a competitive advantage. of area of operations would mean that SBA’s Office of Hearings and Appeals SBA also does not believe that local economic areas adjacent to a CDC’s (OHA), under part 134 of SBA’s changing the minimum area of State of incorporation would be regulations, for each such action. operations to statewide necessarily will included in a CDC’s minimum area of By adding this phrase to this section result in a dilution of a CDC’s role in operations. SBA did not propose a and others, SBA did not intend and did community and economic development. change to the concept of a local not propose to add any new A CDC will have the discretion to economic area, and the proposed rule administrative appeal rights to these determine over what geographic areas expressly states that a CDC must apply sections. On the contrary, SBA was within its State it has the ability, based to SBA to expand its area of operations attempting to clarify that the expanded on its membership, board, and staff, to into a local economic area (see SBA enforcement and CDC provide economic development. Local § 120.835). Some comments were in administrative appeal rights proposed in economic development remains one of favor of revising the definition of local §§ 120.855 through 120.857 for actions the goals of projects financed by 504 economic area or area of operations in described in § 120.854 specifically loans, pursuant to section 502(d)(2) of ways that would remove or create would not apply to the sections in the Act and § 120.862(a). However, SBA exceptions to the requirement that a which the phrase would appear. does not believe that a CDC necessarily CDC apply to SBA to serve a local Because this appears to have caused must operate only in a small geographic economic area; one comment proposed confusion rather than provide area in order to meet the local economic that a CDC’s minimum area of clarification, SBA’s final rule deletes the development needs of that area. In operations include all local economic phrase beginning with ‘‘The procedures addition, the purpose of the 504 areas adjacent to a CDC’s state of of §§ 120.855 through 120.857* * *’’ Program is not only to foster local incorporation. SBA did not propose to wherever it appeared in the proposed economic development, but to meet change the definition of local economic rule. This results in the preservation of other goals, such as the public policy area in this way and considers to be the procedures that currently exist goals listed in section 501(d)(3) of the beyond the scope of this rulemaking the under SBA regulations in subpart H of Act and § 120.862(b) which are not requirement that a CDC apply to SBA to this part and in §§ 134.102(d) and (f) of dependent on a CDC having a local cover such areas. this chapter, namely that only in cases presence, are even less dependent on a The definition for ‘‘Associate in which a right of administrative CDC having a local presence. Development Company’’ is deleted. This appeal to OHA is specifically set forth While SBA agrees that the Agency change is discussed in the analysis of by regulation does such a right exist. As could introduce competition to the 504 revisions for § 120.850. SBA received discussed below regarding § 120.856, Program within smaller geographic several comments in support of the SBA has added § 120.856(f) clarifying areas than a State, the Statewide proposed change. that the procedures in § 120.856 only minimum will allow SBA to administer Other regulations in Subpart H of part apply to actions taken by SBA pursuant the 504 Program more efficiently, given 120 use the terms ‘‘Designated to § 120.855. its increasingly limited staff resources. Attorney,’’ ‘‘Lead SBA Office’’ and Also, SBA is adding a clarification A district-wide minimum area of ‘‘Priority CDC.’’ For clarification, SBA is that an applicant CDC must demonstrate operations standard would produce a adding definitions for those terms. financial capability to meet the upfront double standard between the 43 States Comments received supported these costs of the program until the CDC’s in which all CDCs would be Statewide, additional definitions. SBA did not operations meet the breakeven point. by virtue of the fact that there is only receive any comments objecting to these This is to ensure that the CDC will be one district office in each of those new definitions. staffed sufficiently to meet the States, and the remaining seven States In § 120.810, application for requirements of marketing, processing, with multiple districts, which would certification as a CDC, SBA is changing closing, and servicing 504 loans. The require additional monitoring by SBA. the policies governing new CDC added requirement that an applicant An even smaller geographic area of applications to reflect the change in the must demonstrate financial capability to operations standard would require an definition of a CDC’s ‘‘Area of meet the upfront costs of the 504 even greater expenditure of SBA’s Operations’’ to a minimum of statewide. Program until the CDC’s operations resources to oversee and administer. For Additionally, it deletes the current meet the breakeven point should assist these reasons, the final rule publishes restrictions that permit existing CDCs to in attracting only those applicants the area of operations definition in exclude geographic areas from being committed to devoting adequate § 120.802 as proposed. considered for a new CDC. SBA is resources (refer to § 120.802 discussion The definition of ‘‘Local Economic permitting the marketplace to determine on the comments regarding changes to Area’’ also is revised slightly to make it the optimum number of CDCs that may CDC area of operations). Several consistent with the revised, statewide be supported. In this section and in commenters objected to the proposed ‘‘Area of Operations’’ definition. SBA several others (for example, § 120.812(d) rule on the basis that the current received several comments that and § 120.837), SBA proposed to add ‘‘adequately served’’ concept applicable
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to new applicants, which limits the and decrease the cost and time members represent the entire area of geographic areas that are available for necessary for a CDC to pursue either operations. SBA also is eliminating the new CDCs, assists in minimizing the type of application. For all of these requirement that SBA pre-approve the number of processing and closing reasons, the final rule deletes § 120.811. CDC’s members representing problems from inexperienced CDCs. Section 120.812, probationary period government organizations, and is adding SBA considered these concerns but for newly certified CDCs, is revised to small business development companies continues to believe that the clarify how SBA will process a CDC’s (‘‘SBDCs’’) and other types of marketplace should determine the petition for permanent CDC status, and community organizations that may be a maximum number of CDCs that may be that the probationary period commences source of members for a CDC. It will be supported by 504 loan activity within a on the date of certification. Also SBA is up to the CDC’s board to determine how State. deleting all references to ADCs in broadly-based geographically the SBA received several comments about connection with the elimination of the membership needs to be to meet the the proposed deletion of the ADC program (see discussion under CDC’s economic development requirement in § 120.811 for public § 120.850). In this final rule, SBA also objectives. The CDC’s board may choose notice as well as direct notice to existing eliminates the last sentence in this to have a membership that represents CDCs for new CDC applications (as well regulation that the procedures in only a county, or some counties, while as in § 120.836 for CDC expansion §§ 120.855 through 120.857 do not another CDC’s board may choose to requests). Several commenters were apply, for the same reasons discussed have a membership that represents the concerned that the deletion of the above for § 120.810. entire State. requirement for notice to the public and In § 120.820, CDC non-profit status, Several comments suggested that the to existing CDCs would not give existing SBA describes what the Agency means regulation may need some clarifying CDCs with knowledge of the community by the term ‘‘good standing.’’ While this language by stating specifically that the an opportunity to express their opinion is a term that has been used over the membership groups need not have about a new CDC application request or years in administering the 504 Program, members that do not represent the entire a CDC expansion request. SBA SBA has not fully defined it previously. area of operations. SBA considered considered this concern but decided not Several comments expressed concern these comments but disagrees that to modify the proposed rule. about SBA’s ability to analyze a CDC’s further clarification is required. Section In SBA’s experience, most of the compliance with laws, including 120.822(b) as proposed specifically comments received in response to such taxation requirements. The comments states that ‘‘Members must be notice to CDCs and the public have been seem to suggest that SBA should not responsible for actively supporting from existing CDCs concerned about have the right to consider a CDC’s economic development in the Area of ‘‘ruinous competition’’ that would result compliance with other laws that govern Operations,’’ and the preamble to the from CDC expansion; SBA has received the CDC when considering whether the proposed rule SBA clarified that ‘‘With very few comments concerning new CDC is in good standing. SBA disagrees this change, SBA still would require CDC applications that have resulted in and continues to believe that a CDC’s that each of the four groups be information that SBA had not already compliance with all laws governing a represented in the membership, but discovered in its own review process. CDC should be a part of SBA’s analysis, would no longer require that such With the new emphasis on competition as the regulator overseeing CDCs, of members represent the entire area of in the 504 Program as a result of this whether a CDC is in good standing. SBA operations.’’ SBA is publishing final rule, the issue of competition has no intention of ensuring that CDCs § 120.822 as proposed. resulting from a CDC’s expansion will comply with all laws, but it has the Other comments suggested that a CDC no longer be relevant to SBA’s decision. means (through publicly available should be able to use CDC employees in With regard to decisions on new CDC information, for example) to ascertain meeting the membership requirements. applications, SBA has an established, when a CDC is not in compliance with SBA considered these comments but effective process for screening and tax and other legal requirements. disagrees. The membership requirement conducting appropriate due diligence Therefore, SBA adopts § 120.820 as it is designed to be filled by local and character determinations on the was published in the proposed rule. community leaders volunteering to officers, directors, and key staff of an Section 120.821, CDC Area of assist in providing economic applicant for certification as a CDC. Operations, is revised to delete the development in their communities SBA’s current process addresses all limitation of one statewide CDC since through the formation of a CDC. The comments SBA may receive concerning all CDCs’ areas of operations will be at membership elects the CDC’s board such applicant or any individual least statewide (see discussion of from among its members. The board, in associated with the applicant. definition of the ‘‘Area of Operations’’ turn, hires paid professional staff to Eliminating the public notice under § 120.802). operate the CDC on a daily basis. SBA requirement will not change that Section 120.822, CDC membership, is believes that this will preserve process or eliminate SBA’s revised to streamline CDC membership objectivity between the CDC’s consideration of any comments it may qualifications by deleting the membership, its board, and its staff. receive. In addition, all new CDCs are requirement that a CDC’s membership Therefore, SBA is publishing in the final subject to a two year probationary must be representative of its entire area rule § 120.822 as it was published in the period (pursuant to § 120.812), during of operations. Currently, a CDC must proposed rule. which time significant, adverse have representation from each of the Section 120.823, CDC board of character or other issues relating to the four groups (i.e., government directors, is revised to delete the new CDC may come to light (through organizations, financial institutions, requirement that a CDC that is approved comments by members of the public or community organizations, and as a multi-state CDC meet the CDC otherwise). businesses) for its entire area of board requirements for each State. SBA Finally, SBA believes that elimination operations. With this change, SBA will did not propose this specific change to of the notice requirement will still require that each of the four groups § 120.823(b) in the proposed rule. streamline the application process for be represented in the membership, but However, SBA did discuss in the both new CDCs and for CDC expansions will no longer require that such preamble to the proposed rule SBA’s
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intent to change the requirement recognizes that section 503(e)(2) of the Therefore, SBA is adopting the final rule currently in § 120.823(b) that a multi- Act allows a rural CDC a waiver if it § 120.827 as proposed. state CDC must meet the board contracts with another CDC covering the Section 120.828, minimum level of requirements set forth in § 120.823 for same area. In SBA’s experience this 504 loan activity and restrictions on each State in which it is authorized to waiver provision has never been used. portfolio concentrations, is reworded to operate (see preamble discussion, However, SBA will process all rural clarify the minimum level of 504 loan ‘‘Overview of Proposed Changes to the CDC waivers in accordance with the activity a CDC must maintain. In 504 Regulations,’’ last full paragraph, Act. Therefore, SBA added back to addition, this section covers the column one, 68 FR 40556). In addition, § 120.824 as proposed, a paragraph requirement concerning portfolio this change is consistent with the (a)(2) specifically addressing rural concentrations currently contained in changes SBA did specifically propose to CDCs, to clarify that there is no change § 120.827(a) and the heading to the § 120.835(c) concerning a CDC to the status quo regarding such waivers section is revised accordingly. requesting a multi-state expansion. SBA for rural CDCs. Comments were generally supportive of also received several comments in SBA also received some comments on the proposed changes, although some support of this change. Because this the changes to the proposed clarified expressed concern that CDCs with small change is consistent with SBA’s intent options of the CDC board’s role in hiring portfolios may not be able to meet the as expressed in the proposed rule and and terminating the CDC’s manager, portfolio concentration requirements. with other changes specifically either as a direct employee or through SBA considered this concern but was proposed and is supported by the a contract when provided by a non- not persuaded since this requirement public, SBA revises § 120.823(b) in this profit affiliate. The comments suggested already exists in § 120.827(a) and SBA final rule. With this change and the that there may be other ways that a knows of no CDC that has not met this change to § 120.835, a multi-state CDC CDC’s manager may be hired or requirement. Therefore, SBA is adopting will be required to meet the loan terminated. However, the board of a the final rule § 120.828 as proposed. committee (§ 120.823(b)) and CDC bears the ultimate responsibility Section 120.829, job opportunity membership (§ 120.822(b)) requirements for the CDC and its management and average a CDC must maintain, modifies for each State in which it operates as a SBA believes it is appropriate to expect the job opportunity average a CDC must CDC, and the CDC’s board would need the CDC’s board to control these currently maintain by changing it to an to establish a loan committee in each decisions. Except for the change amount specified by SBA by means of such State, but would not need to meet discussed, SBA is publishing in the a notice published in the Federal the other board requirements (§ 120.823) final rule § 120.824 as proposed. Register. Currently, the average stated in for each such State. As set forth in the proposed rule, § 120.829(a) is preventing many CDCs Section 120.824, professional § 120.826, basic requirements for from accepting 504 loan applications management and staff, is revised to operating a CDC, is slightly reworded from small businesses for loans that modify the requirements for when and for clarity. As also proposed, the would not create jobs but would meet under what circumstances a CDC can responsibilities currently described in other statutory 504 Program objectives, contract for management services. The § 120.827(a) are moved to this section such as loans to increase business change clarifies the requirements because SBA considers them to be basic efficiency through technology. In regarding CDC staff provided under requirements for operating a CDC. In addition, the present ratio has been in contract including deleting the addition, SBA is clarifying that all CDCs effect since 1990 and does not take into requirement that a contractor must live must comply with all of the 504 account the inflationary factors in the or do business in the CDC’s area of Program requirements imposed by cost of land, real estate acquisition, operations. SBA believes that a CDC statute, regulation, SOP, policy and construction, and machinery and may wish to contract for certain procedural notice, loan authorization, equipment since that time. Finally, SBA services, such as ‘‘back office’’ staff debenture, or any agreement between is clarifying that a new CDC is permitted support, with individuals or SBA and the CDC. Comments generally two years from the date it is certified to organizations that are outside of the were supportive of the changes. meet the job portfolio requirement. CDC’s area of operations. Therefore, SBA is adopting § 120.826, Several commenters were concerned The comments were generally basic requirements for operating a CDC, that the change would not give SBA supportive of this change but several as it was proposed. enough flexibility and would eliminate expressed concerns regarding SBA’s Section 120.827, other services a CDC the special circumstances under which current requirement that a CDC’s may provide to small businesses, is a CDC’s portfolio could average a higher manager must be employed directly revised to focus this section only on, job per dollar ratio. SBA considered unless contributed by a non-profit and clarify what is meant by, ‘‘other these comments but believes that the affiliate of that CDC that has the services’’ that a CDC may provide to a rule as proposed does permit flexibility. economic development of the CDC’s small business, as well as describe the In addition, the rule has not eliminated area of operations as one of its principal regulations to which the CDC will be the special exceptions. The only thing activities. This is a requirement subject if it does provide such other that will change is the means by which currently in § 120.824(a)(2) and SBA did services. Comments generally were SBA changes the job opportunity not propose to change this requirement; supportive of the changes although a average. SBA will revise the average therefore, these comments are beyond few expressed concern regarding the periodically, based on appropriate the scope of this rulemaking. deletion of the current regulation economic factors, and will publish the Several commenters also objected to § 120.827(c) which provides that a CDC revised average in the Federal Register SBA’s proposed deletion of the may lend to a borrower the amount of as a notice, rather than as a regulatory exception in the current § 120.824(a)(1) the required borrower contribution. SBA change. Therefore, SBA has adopted concerning the circumstances under had proposed to delete § 120.827(c) § 120.829 in the final rule as proposed. which a rural CDC may contract with because that provision is already Section 120.830, reports a CDC must another CDC for management services, included in § 120.912, which is not submit, is revised to change the on the basis that the exception for small being amended in this rule and, submission requirement for CDC annual rural CDCs is specified by the Act. SBA therefore, is redundant in this section. reports to 180 days after the end of the
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CDC’s fiscal year to permit CDCs more operating procedures 50–10(4), subpart the CDC is knowledgeable of applicable time to provide financial statements H, chapter 4, paragraph 5(d)(1).) As the law in other States, to be able to handle with the required level of review. The sole regulatory oversight agency for the additional territory without final rule also clarifies the requirement CDCs, SBA is responsible for performing presenting an undue risk to SBA’s by adding that the annual report must the necessary due diligence to assure overall 504 loan portfolio. For these include financial statements of any that new associates and staff meet reasons, the final rule requires a CDC affiliate or subsidiary of the CDC. In certain ethical and experience requesting expansion of its territory addition, it adds some clarifying standards. Therefore, in order to make beyond its State of incorporation to be language regarding the submission the rule reflective of SBA’s longstanding ALP-qualified, as proposed. requirements for changes to directors or practice, SBA is publishing in the final To further streamline the application staff. Several comments requested that rule § 120.830 as proposed. process for multi-state expansion, SBA the submission requirement be Section 120.835, application to is deleting the requirement that a multi- increased further than the 120 days SBA expand an area of operations, is revised. state CDC have at least three members had proposed, to 180 days, due to the Currently, most of the applications SBA from each State on its board. SBA complicated nature of some audits. SBA receives are for expansions of a CDC’s believes that the general membership considered these concerns and agrees area of operations within its State of requirements (see § 120.822) and loan that a longer timeframe may be incorporation. The expansion request committee requirements (see § 120.823) necessary. Part of the reason to increase usually is for several counties in which for the State into which it is expanding the timeframe is that SBA is requiring there currently are one or more CDCs are sufficient to demonstrate the CDC’s the financial statements of any affiliates that include those counties in their commitment to local economic of the CDC. Therefore, to accommodate areas of operations. Because the final development in that State. (To be the more complicated audits, the final rule establishes the State of consistent with this deletion in rule provides for 180 days. incorporation as the minimum area of § 120.835 regarding the board Several commenters also expressed operations for all CDCs and because requirements, SBA also is modifying concern about SBA’s proposed change SBA is allowing the marketplace to § 120.823(b).) A discussion of the that the financial statement submission determine the optimum number of comments received regarding the includes any affiliates of the CDC. The CDCs, these types of expansion requests minimum area of operations and local current regulations define concerns as no longer will be necessary and much economic areas may be found under affiliates of each other when one of the current regulatory language is no § 120.802. SBA also received comments concern controls or has the power to longer required (refer to discussion of regarding multi-state CDC requirements control the other, or a third party or changes to § 120.802 and § 120.810). that were not proposed for change, parties controls or has the power to Therefore, SBA has modified the including membership and loan control both (see § 121.103(a) of this regulation to limit SBA’s consideration committee requirements, and were, chapter). SBA is the agency that certifies of applications for expansion to only therefore, beyond the scope of this CDCs and is their sole regulatory those requests by a CDC to expand rulemaking. They may be considered as oversight agency. As part of its oversight beyond the CDC’s State of incorporation part of a proposed rule at some future responsibilities, SBA believes that it either to a local economic area date. Therefore, SBA is publishing in should review the financial statements contiguous to the State in which the the final rule § 120.835 as proposed. of those affiliates that the CDC controls CDC is incorporated, or to an entire Section 120.836, public notice, and or that may control the CDC, because State contiguous to such State. opportunity for response, is deleted. such affiliates may have some control SBA also has added the requirement SBA believes that the requirement is no over the CDC’s 504 Program activities that CDCs must be ALP-qualified before longer needed for the same reasons even though they may not be involved they can request either type of discussed regarding § 120.811. The final directly in conducting those activities, expansion. Several commenters rule deletes § 120.836 as proposed. or because such affiliates may present expressed concern that this new Section 120.837, SBA decision on issues of potential conflicts of interest requirement will make it more difficult application for a new CDC or for an with or financial harm to the CDC. for a CDC to expand beyond its area of existing CDC to expand an area of Therefore, the final rule concerning operations. SBA reiterates that with the operations, streamlines the process by financial statement submission minimum area of operations being changing the paragraph on a multi-state requirements adopts the rule as Statewide, there will be far less need for CDC to permit any unilateral authority proposed. CDCs to request the right to expand that a CDC has in its State of Several commenters also expressed because SBA believes that the majority incorporation to be carried over into the concern about SBA’s proposed of CDCs will not wish to expand beyond additional State in which it is approved requirements for a statement of personal their own State. For a CDC that wishes to operate as a multi-state CDC and history and other information to be to expand into local economic areas or clarifying SBA’s decision process. submitted for new associates. The entire States outside its State of Comments received generally were in commenters appeared to suggest— incorporation, however, it is important support of the proposed changes. incorrectly—that this is a new that such CDC be of a sufficient size and However, several commenters suggested requirement. Section 120.830 currently at a sufficient level of proficiency in the that the proposed changes seemed to requires CDCs to submit to SBA for 504 Program to be able to adequately have deleted the decision process for review and approval the ‘‘resumes for cover territory beyond its State. SBA is new CDCs and CDCs expanding into all new Associates and staff.’’ SBA’s concerned about, among other things, local economic areas. After reviewing longstanding procedure has been to the CDC’s portfolio size and currency, the proposed rule, including the require statements of personal history, performance as a CDC, and whether the summary which stated that the fingerprint cards, and resumes for all CDC has sufficient proficiency with loan regulation was to continue to cover both such individuals, just as SBA requires closing (i.e., has a designated attorney new CDCs and expanding CDCs, SBA for all individuals identified in the and the necessary insurance coverage to agreed with the commenters and has CDC’s initial application for be able to participate in SBA’s modified the rule. SBA reviewed the certification. (See SBA standard expedited loan closing process) and that proposed rule and determined that
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while SBA had stated in the preamble business and, therefore, urged SBA to qualify as an ALP CDC, it would be that the regulation was to continue to preserve existing § 120.839(a)(2). inconsistent to not permit the same cover SBA’s decision with respect to However, as SBA explained in the flexibility in the ALP regulations. new CDCs, CDCs expanding into local proposed rule, SBA’s experience Therefore, SBA has modified this economic areas, and CDCs becoming indicates that this provision is section to apply the concept of multi-state CDCs, the proposed revision unnecessary since it has never been ‘‘substantially’’ to compliance with ALP to the heading of the section was used. In addition, the change in the requirements as well. misleading. SBA therefore makes minimum area of operations will vastly SBA received several comments clarifying changes to both the heading increase many CDC’s area of operations, regarding proposed § 120.841(d) which and to § 120.837(b). Also the resulting in less need for case-by-case indicated that a CDC must meet SBA’s commenters found the reference to the exceptions in general since small CDC portfolio benchmarks. The enforcement regulations not applying in businesses will have expanded access to comments raised concerns regarding the these cases to be confusing. SBA has and choices among CDCs. Therefore, accuracy of the benchmarks and alleged deleted the reference to the enforcement § 120.839 is adopted as proposed except that the benchmarks were not developed regulations, §§ 120.855 through 120.857, for the modifications discussed. through a public comment process. for the same reasons discussed SBA substantially revises § 120.840, Several comments also stated that use of regarding § 120.810. accredited lenders program to describe the benchmarks would not be fair, to the Section 120.838, expiration of the ALP, the benefits a CDC will receive extent that a CDC’s default rate was existing, temporary expansions, was a through the ALP, how to apply for the derived from loans that are approved by short-term regulation to manage the ALP, and how SBA will process the SBA or to the extent that a CDC’s loss conversion of existing temporary application. Comments received rate was derived from liquidation and expansions into permanent expansions generally were supportive of the debt-collection litigation that was by March 1, 1996, and is no longer proposed change, although several handled by SBA or the Department of required. Comments received generally expressed concern that the section does Justice. Since these actions were not supported the proposed deletion of this not specifically state that a CDC may subject to the control of the CDC, the regulation. Therefore, the final rule seek renewal of its ALP status every two comments contended, it would be unfair adopts the deletion of the regulation as years. Even though in SBA’s experience for SBA to consider the CDC to be not was proposed. CDCs have routinely been renewed for in compliance with 504 Program Section 120.839, case-by-case consecutive two-year periods, SBA is requirements based on the relevant extensions, gives a district office the modifying the regulation to state benchmark score. These comments authority to make all decisions ‘‘periods’’ rather than the singular recommended that SBA either delete or concerning whether SBA will allow a ‘‘period’’. In addition, SBA has deleted modify the language regarding the CDC to make a 504 Loan outside of its the reference to the enforcement portfolio benchmarks in § 120.841(d). area of operations (other than multi- regulations, §§ 120.855 through 120.857, Several commenters questioned SBA’s state or local economic area for the same reasons discussed authority to establish portfolio expansions), and adds, as a new basis regarding § 120.810. This rule adopts performance benchmarks in the first for such decision, the situation in which § 120.840 as proposed except for the instance. a State may not have a CDC. (For modifications discussed. SBA strongly disagrees with those example, currently Alaska has no CDC.) In § 120.841, SBA is establishing more comments. SBA has responsibility, as In addition, SBA is deleting as a basis detailed qualifications for the ALP. The 100% guarantor of each debenture for such decision, the situation in which standards are consistent with section issued by CDCs and as the sole specific circumstances exist that prevent 507 of the Act and coordinate with regulatory oversight agency for CDCs, to an existing CDC serving that area from eligibility requirements for CDC protect the safety and soundness of the adequately assisting the business (see participation in the PCLP (see § 120.845 504 Program. CDCs are established by § 120.839(a)(2)), because the exception discussion below). These changes will SBA, with the responsibility to identify has never been used and SBA’s make it easier for SBA to provide and approve only those 504 loans that experience indicates that it is consistent and objective evaluation of a are eligible, creditworthy, sufficiently unnecessary. Comments received by CDC application to participate in the collateralized, and have a reasonable SBA generally supported the proposed ALP. expectation, based on the CDC’s changes. Some commenters wanted the Several commenters asked for thorough financial analysis, of timely regulation to emphasize that the additional clarity regarding the repayment. CDCs also are required to applicant CDC must demonstrate that it qualification requirements of the CDC’s close 504 loans in compliance with can properly service the 504 loan it staff. In light of those comments, SBA SBA’s loan authorization and other wishes to make outside its area of reviewed the proposed rule and agreed requirements. CDCs also must operations, in addition to fulfilling its there should not be two sections on CDC adequately service loans. While SBA other 504 Program responsibilities for staff qualification requirements. may retain the right to review some the 504 loan. Section 120.839(b) Accordingly, SBA has consolidated the aspects of the CDC’s approval, closing, currently has this specific requirement, two paragraphs regarding staff and servicing activities (depending on although SBA had proposed to expand experience into one paragraph as well as the status of the CDC), this review does this beyond just servicing. SBA agrees added some clarifying language. not negate the CDC’s responsibility to with this concern and is adding SBA received several comments comply with 504 Program requirements language back to the final rule that pointing out that the PCLP regulations and act in a prudent, commercially emphasizes a CDC’s servicing permit some flexibility in SBA’s reasonable manner with respect to these responsibilities regarding the loan. determination of whether a CDC is in activities. SBA may have a greater Other commenters expressed concern compliance with 504 Program degree of control over 504 loan that a small business may be prevented requirements by introducing the liquidation activities, depending on the from receiving a 504 loan if CDCs concept of ‘‘substantially,’’ whereas the status of the CDC, but the amount of covering the area are not willing to ALP regulations do not. Since one of the loan recoveries during liquidation consider an application from such a requirements to be a PCLP CDC is to depends to a great degree on the initial
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underwriting and subsequent servicing In the context of a specific finding by reviewing 504 Loans made by PCLP decisions made by the CDC. SBA, relying on a CDC’s portfolio CDCs. While, initially, SBA expects to In order to more effectively fulfill benchmark score as evidence that the continue to review loan eligibility while SBA’s responsibility to monitor and CDC was not in compliance with 504 delegating virtually all credit decisions oversee CDCs’ activities, several years Program requirements, the CDC, having to PCLP CDCs, SBA will consider ago SBA established a means of access to its score and having its own expanding or reducing that authority as collecting 504 loan performance information about the performance of its warranted by the results of the program. information for each CDC, in five areas: loan portfolio, would be able to present Participation in the PCLP, pursuant to Currency, delinquency, default, to SBA its arguments that the section 508(b) of the Act, is limited to liquidation, and loss. SBA then used benchmark score was inaccurate and those CDCs that are active in the 504 this information to determine the level SBA would carefully consider those Program; are in good standing with (benchmark) of performance that SBA comments before proceeding to take any SBA; have demonstrated the ability to considers to present an acceptable level action using the score as evidence in properly analyze, close and service 504 of risk to SBA’s overall 504 loan support of such action. Loans; and have been active as ALP portfolio for each of the five areas. SBA has considered the comments CDCs. Section 508(b)(2)(A) of the Act Beginning in 1999, SBA issued a series concerning the portfolio benchmarks in allows SBA to waive the requirement for of notices informing CDCs about this § 120.841(d) in the proposed rule, and those non-ALP CDCs that meet the ALP CDC performance information system, in the final rule modifies this section so participation criteria. However, rather identified where the information it will be consistent with § 120.854(d), than developing a waiver process, SBA regarding each CDC’s performance was which addresses a CDC’s failure to meet is incorporating the ALP participation available, and advising CDCs that SBA one or more portfolio benchmarks as criteria into the PCLP participation would be using the system to evaluate evidence of its failure to perform criteria (see § 120.845(c)(1)). each CDC. In addition to the notices, underwriting, closing, servicing, Based on the guidance in the statute, SBA explained to the CDC community liquidation, litigation, or other actions and following extensive discussion with the system and the sources of with respect to 504 loans in a the CDC industry, SBA developed more information used in the system, at commercially unreasonable or specific factors to be used in evaluating several national conferences as well as imprudent manner. As a result of this a CDC’s level of activity; ability to by providing information on SBA’s change, SBA will consider a CDC’s properly analyze, close, service and internet website. Thus, the proposed performance on the portfolio liquidate 504 Loans; and good standing. rule was not the first time CDCs benchmarks to be a measure, indicator, Each factor represents a major and received notice about the benchmarks. or evidence of how the CDC is essential CDC function, and each carries SBA believes that evaluating the complying with various 504 Program significant risk to SBA and the 504 performance of each CDC is an essential requirements. Program. Because SBA delegates part of SBA’s overall responsibility to This final rule adopts § 120.841 as substantial authority and autonomy to manage the 504 Program so as to proposed except as discussed. PCLP CDCs, it considers each factor minimize the financial risk to the Section 120.845, premier certified important, and a substantive deficiency taxpayers. lenders program, is implemented as in any one may preclude participation Several comments attempted to show proposed except for one change. SBA in the PCLP. SBA will use information that the benchmarks were not accurate, added the word ‘‘substantially’’ to from onsite compliance reviews, relying on the argument that SBA has § 120.845(c)(1) for the reasons discussed operational reviews and other program altered its measure of the 504 Program for § 120.841. management and oversight activities to subsidy rate over the past decade The PCLP is now a permanent make the determination regarding (although the comments did not clarify program pursuant to section 508 of the eligibility for PCLP status. how this measure has any direct Act. SBA is adding considerably more Congress, SBA and the CDC industry application to the benchmark scores). detail to § 120.845 and moving some of recognize that the success of the PCLP However, SBA finds it highly significant its revised and expanded provisions to is highly dependent on the extent to that not one comment identified a new §§ 120.846–120.848. Since CDCs which PCLP CDCs are familiar with specific case where the portfolio participating in the PCLP must be SBA’s credit and eligibility standards performance scores for a particular CDC approved to participate under the ALP and its loan processing, closing, were found to be inaccurate. SBA or be ‘‘ALP qualified,’’ SBA is adding servicing and liquidation policies and provides CDCs with their benchmark some of the PCLP requirements to procedures. These policies and scores on a monthly basis (the scores § 120.841. procedures are highly complex and soon will be available to CDCs directly The PCLP is designed to take require processing a substantial volume through the Internet rather than through advantage of the proven loan processing of 504 Loans over an extended period of their district offices), and in those few and servicing skills of SBA’s most time to remain proficient. Also, SBA cases where CDCs have brought to proficient and most active CDCs. It is a needs access to a significant number of SBA’s attention concerns about the relatively new program (started in 1994 a CDC’s loans to evaluate its accuracy of a particular benchmark as a pilot program) with a somewhat proficiency. SBA notes that ALP its score SBA has consistently worked with limited operating history. Because SBA participants must have processed at the CDC to understand the basis for the transfers substantial additional least twenty 504 Loans in the most concern and make any necessary authority to CDCs, the PCLP carries recent three years (see § 120.841(b)). corrections. Thus, SBA believes the potentially significant risk to SBA and When considering the minimum 504 benchmarks overall are accurate and are the 504 Program. Therefore, SBA Loan volume requirement for a reliable means of measuring a CDC’s intends to closely monitor and control participation in the PCLP, SBA performance, particularly because all program implementation and considered the concern of smaller and CDCs are subject to the same criteria expansion. With respect to SBA’s prior rural CDCs that a high minimum 504 and because individual CDCs are review of a 504 Loan at the loan Loan volume requirement could exclude measured against other CDCs in their approval stage, SBA is interested in them from being a PCLP CDC. SBA tier with similar portfolio sizes. limiting/minimizing its involvement in discussed those concerns with the CDC
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industry and concluded that proficiency portfolio benchmarks as an indication or recommendation to the AA/FA for final in 504 Loan policies and procedures can measure of the CDC’s compliance with action. PCLP applicants are expected to only be developed and maintained from 504 program requirements. coordinate with their Lead SBA Office regularly processing a significant SBA and the CDC industry recognize early in their consideration of the PCLP number of 504 Loans. In addition, one that the training and experience of the to realistically assess its program of the main purposes of the PCLP was PCLP applicant’s staff are critical requirements and their prospects for to improve the efficiency and expedite determinants of the quality and admission. When officially applying for the loan processing of higher volume effectiveness of its 504 Loan program the PCLP, an applicant will need to CDCs, which were being administration as well as its diligence in provide certain essential information disproportionately impacted by the applying SBA’s 504 Loan credit and and documentation to assist SBA in longer turn-around time in SBA’s eligibility standards. As a result, the ascertaining its qualifications, including district offices. Also, for low volume CDC industry has developed a resolution from its Boards of Directors; CDCs, any potential efficiency benefits appropriate credit, packaging, loan resumes on key staff for 504 Loan from participating in the PCLP would closing and loan servicing training processing, servicing, liquidation, and more than likely be offset by the cost programs, which the staff of many CDCs litigation; documentation of any and effort required to develop and attend. As a result, SBA is requiring that required insurance; and information maintain the high level of 504 Loan the principal staff of PCLP applicants about the qualifications of its closing proficiency required in a staff that rarely possess adequate 504 Loan training and attorney. While SBA will generally processes an SBA 504 Loan. (About half experience. confer PCLP status for a period of two of all CDCs process less than six 504 Under the PCLP, SBA delegates years, under appropriate conditions Loan applications per year.) After authority and a certain level of SBA may approve a lesser period. considering these issues, SBA proposes autonomy to PCLP CDCs to process, Section 120.846, requirements for to require that ALP and PCLP applicants close and service 504 Loans with only maintaining and renewing PCLP status, must have received approval for at least limited prior SBA review. As a result, is added. Pursuant to section 508(b)(3) 20 504 loans in the most recent three SBA is requiring that applicants to the of the Act, in order to retain its PCLP years and have a portfolio of at least 30 PCLP must demonstrate a particularly status, a PCLP CDC must continue to active 504 loans. (SBA defines an thorough understanding of and an meet the eligibility requirements of the ‘‘active’’ 504 Loan as a loan that was applied diligence to SBA’s 504 Loan PCLP, as described in § 120.845. While approved and closed by the CDC and credit and eligibility standards and its level of activity is one of those criteria, has a status of either current, 504 Loan processing, closing and section 508(i) of the Act requires that delinquent, or in liquidation.) servicing policies and procedures. A PCLP CDCs establish a goal of To assist in determining the failure to consistently apply appropriate processing a minimum of 50 percent of proficiency of a PCLP applicant to credit analyses and standards and loan their 504 Loan applications using PCLP effectively process and administer 504 processing, closing and servicing procedures. SBA considered Loans, SBA is requiring that SBA- policies or procedures exposes SBA and establishing a requirement that PCLP conducted oversight reviews of a PCLP the taxpayer to excessive risk of loss and CDCs process at least 30 percent of their applicant must have found the applicant negatively impacts the availability of 504 Loans using PCLP procedures to be substantially in compliance with SBA financing to the small business immediately after becoming a PCLP SBA’s regulations, policies and community. A CDC’s failure to CDC and gradually increasing that procedures. In addition, SBA will need adequately apply SBA’s 504 Loan requirement as the PCLP CDC matures. to assess the applicant’s current eligibility standards could result in 504 However, following discussions with proficiency, so these reviews must be Loan approvals to small businesses that the CDC industry, SBA determined that relatively recent (within the past 12 are expressly prohibited by statute or immediately establishing such an months). While SBA has policy and regulation from receiving SBA loans. absolute minimum could discourage procedural guidance in place generally Section 508(b)(2)(A) requires that participation in what is a developing requiring annual SBA oversight review, PCLP CDCs be in good standing with program with a variety of relatively new CDCs may occasionally request a SBA. SBA interprets that requirement to concepts and procedures. Nevertheless, postponement of those reviews. mean both in good standing with the SBA recognizes that the legislation Applicants to the PCLP must recognize State in which the CDC is incorporated authorizing PCLP mandates that PCLP the need for current SBA review data (as discussed in § 120.820), and in CDCs be active CDC lenders and and coordinate with their Lead SBA substantial compliance with the 504 establish a goal of processing a Office to ensure that the CDC is Program requirements imposed by minimum of 50 percent of their 504 available and prepared for any required statute, regulation, SOP, policy and Loans using PCLP procedures. As a oversight reviews. procedural notice, loan authorization, result, while SBA still expects PCLP SBA has developed comprehensive debenture, or any agreement between CDCs to process a substantial proportion management information systems to SBA and the CDC. Under the PCLP, due of their 504 Loans using PCLP timely track and analyze the to the higher level of authority delegated procedures and strive to reach their 50 performance of a CDC’s 504 Loan to the PCLP CDCs and the potential risk percent goal as mandated by statute, portfolio. As a result of an extensive to the Agency, SBA expects a SBA is not immediately requiring an examination and analysis of these significantly higher level of compliance absolute minimum. Thus, as the PCLP performance data, SBA has determined with both of these requirements by matures, SBA intends to publish that portfolio currency, delinquency, PCLP CDCs. procedural guidance gradually default, liquidation and loss rates are The Lead SBA Office will consider incorporating and increasing the important measures of the quality of a the CDC’s initial application to the minimum number and percent of 504 CDC’s portfolio and the effectiveness PCLP, and will forward the application Loans that PCLP CDCs must process and diligence of its loan analysis, package, including a recommendation using PCLP procedures. closing and servicing. Therefore, SBA regarding the applicant’s qualifications, Due to the delegation of authority has established benchmarks for each of to SBA’s PCLP Processing Center, which under the PCLP, and the associated risk these measures and SBA will use such then will forward the package with its of loss, SBA expects PCLP CDCs to
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develop, implement and actively promulgate regulations addressing This final rule provides that the CDC monitor effective internal control letters of credit to the extent this must provide to the Lead SBA office a systems and processes that will ensure becomes a feasible option. fully executed original copy of the continued conformance with the Pursuant to section 508(b)(2)(c) of the security and control agreements which requirements of the PCLP. These Act, PCLP CDCs must reimburse SBA the Lead SBA Office will retain in its systems should provide PCLP CDCs for 10 percent of any loss SBA incurs in files. All associated documents must with early information on their connection with a default on a PCLP meet SBA requirements and occasional performance. SBA also has developed debenture and the regulation proposes changes may be necessary. If a management control systems to monitor how to measure SBA’s loss. The statute depository institution will not enter into individual PCLP CDCs, specifically the and proposed rule also require that the or modify a control agreement or portfolio benchmark data and the LLRF maintain a deposit equal to one violates the terms of any such management oversight reviews, and percent of the original principal amount agreement, the PCLP CDC cannot SBA provides this information to PCLP of each PCLP debenture. maintain an LLRF with that institution. CDCs. With these internal and external The LLRF must be a deposit account Pursuant to section 508(c)(4) of the control systems, SBA expects PCLP with a federally insured depository Act, PCLP CDCs are allowed to make CDCs to constantly monitor their institution selected by the PCLP CDC. required deposits to the LLRF associated performance as a CDC and as a PCLP Following discussions with the CDC with each loan in as many as three CDC and to be in a position to take industry, SBA is aware that alternative deposits, but specifies the minimum appropriate and timely corrective action accounts and financial instruments may amount and timing of those deposits. when necessary. Due to the risk offer greater returns on the LLRF. This final rule sets forth the amount and inherent in the delegation of authority However, the Act restricts LLRFs to timing of those deposits. under the PCLP, SBA will move to federally insured depository institutions Due to its management control and timely suspend, terminate or decline to and that language as well as other oversight responsibilities, SBA must renew the PCLP status of PCLP CDCs applicable law greatly limit the ensure that LLRFs: (1) Are properly that do not comply with the investment alternatives. This rule established; (2) contain the required requirements of the PCLP. Significant elaborates on what constitutes a deposit reserve amounts; and (3) are problems with respect to liquidation account acceptable to SBA. Also, to appropriately administered and and litigation activities by either a PCLP simplify the administration of the LLRF, controlled. Periodic reporting by PCLP CDC or its contractor may, at SBA’s this rule allows PCLP CDCs to pool loss CDCs to SBA on the amount of funds option, also lead to the non-renewal of reserves in a single segregated account. maintained in LLRFs is critical to PCLP status. SBA generally does not anticipate that ensuring that LLRFs are properly Section 120.847, requirements for the PCLP CDCs will incur significant fees in established and maintained. However, loan loss reserve fund, is implemented connection with their LLRFs, although while LLRFs must contain deposits as proposed, except for one change as PCLP CDCs will need to be mindful of equal to one percent of each PCLP discussed below. breakage fees, should they place funds debenture, the deposits associated with To mitigate some of the potential risk into certificates of deposit (‘‘CDs’’). This each PCLP debenture may be made in as of delegating additional authority to final rule goes on to make clear that the many as three installments. Also, during PCLP CDCs, pursuant to section PCLP CDC will be responsible for any the normal course of a PCLP CDC’s 508(c)(1) of the Act, PCLP CDCs must fees, costs and expenses incurred in operations, LLRFs will be subject to a establish and make deposits to a Loan connection with the LLRF. variety of other deposits and Loss Reserve Fund (‘‘LLRF’’). The LLRF Pursuant to section 508(c)(3) of the withdrawals (e.g., withdrawals is a restricted account established for Act, any LLRF established by a PCLP associated with loans paid in full and the purpose of accumulating deposits CDC must be subject to a collateral defaults). As a result, reporting and and limiting withdrawals to those SBA assignment in favor of, and in a format reconciling LLRFs might become quite specifically authorizes. The PCLP CDC acceptable to, SBA. Accordingly, a PCLP complex. SBA is concerned with the may use the deposits to reimburse SBA CDC must give SBA a first priority potential burden such reporting could for 10 percent of any loss sustained by perfected security interest in each LLRF. represent to PCLP CDCs. SBA continues SBA as a result of a default in the The PCLP CDC must grant the security to work with the CDC industry to payment of principal or interest on a interest pursuant to a security develop and test efficient and effective debenture issued by the PCLP CDC agreement between the PCLP CDC and reporting procedures, and will publish using PCLP procedures (‘‘PCLP SBA, and the security interest must be appropriate procedural guidance as debenture’’). Pursuant to section subject to a control agreement between those procedures are finalized. 508(c)(3) of the Act, the LLRF must be SBA, the PCLP CDC, and the applicable SBA will allow PCLP CDCs to composed of: (1) Segregated deposit depository institution. The control withdraw any funds from the LLRFs accounts at one or more federally agreement will include provisions that exceed required minimums, at insured depository institutions subject requiring a depository institution to SBA’s discretion. Section 120.847(g) to a collateral assignment to SBA; (2) follow instructions from SBA regarding provides that requests for withdrawals irrevocable letters of credit in favor of withdrawals without further consent must be forwarded to the Lead SBA SBA; or (3) some combination of the from the PCLP CDC. The laws governing Office, which will check the balances to above. Due to the characteristics and security interests in deposit accounts ensure the required minimums are cost of letters of credit, and in are complex, vary by jurisdiction, and maintained and authorize withdrawals consultation with the CDC industry, are undergoing change. Therefore, when as appropriate. SBA has determined that letters of establishing an LLRF, a PCLP CDC must Section 120.847(h) provides that credit do not currently represent a coordinate with the Lead SBA Office to when a PCLP CDC has submitted a feasible option for PCLP CDCs. develop, execute and deliver the liquidation wrap-up report to SBA, or Consequently, SBA is not addressing required documentation. SBA field SBA otherwise has determined that all letters of credit in this rule. However, counsel will have a model control reasonable collection efforts have been SBA will continue to explore this option agreement, which they may need to exhausted, the Lead SBA Office will with the CDC industry, and will modify to meet local legal requirements. calculate the SBA’s loss and notify the
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PCLP CDC of the amount of any (§ 120.848(f)). These commenters for closing, for further discussion of reimbursement obligation and provide suggested that SBA does not have the SBA’s reasons for not changing this appropriate supporting documentation. authority, under section 503(e)(2) of the current practice. The final rule sets forth procedures so Act, to require that PCLP CDCs take Several commenters also suggested that PCLP CDCs may appeal any these actions. However, SBA believes that PLCP CDCs be permitted to make problems or disagreements regarding the that these commenters misinterpret the eligibility determinations which involve calculation of SBA’s loss. Act. SBA has specific authority under franchise issues and issues of potential Section 120.847(i) requires PCLP section 508(e)(1) to establish the terms environmental hazards and liability CDCs to reimburse SBA for 10 percent and conditions under which PCLP CDCs with respect to the project property of any loss and states that the are permitted to approve, authorize, collateral, independently and without reimbursement may come from the close, service, and liquidate 504 Loans, SBA’s review. SBA considered these LLRF or from other funds provided by which authority encompasses all of the suggestions but implements the the PCLP CDC. There could also be terms and conditions SBA proposed in proposed rule without change on this instances where a PCLP CDC would not the proposed rule. issue. These are important issues that have sufficient funds in its LLRF to Section 120.848 provides guidance on relate to the eligibility for 504 loan reimburse SBA for 10 percent of SBA’s PCLP CDCs’ approving, authorizing, financing of the borrower and of the loss, and the regulation describes the closing, servicing, and liquidating 504 project itself, and SBA has the authority period of time by which the CDC must Loans and notes that all 504 Program under section 508(e)(2) of the Act to reimburse the Agency. requirements apply to 504 Loans review and approve eligibility issues. Pursuant to section 508(c)(5) of the processed by PCLP CDCs. Under Accordingly, SBA implements § 120.484 Act, the final rule requires that should § 120.848(c), PCLP CDCs are specifically as proposed except as discussed. a PCLP CDC’s LLRF drop below the authorized to determine a 504 Loan With respect to § 120.848(b), SBA’s required minimum, the PCLP CDC must applicant’s credit-worthiness; to management control and oversight replenish the LLRF within 30 days of establish the terms and conditions responsibilities require a systematic the time that it realizes this deficiency under which the loan will be made; and review of a PCLP CDC’s 504 loan or of a notice from SBA that the LLRF to take other processing actions as may processing proficiency. As a result, SBA is deficient. Thus, if a depository be delegated by SBA to PCLP CDCs. must periodically review the processing institution offsets from any LLRFs SBA believes that the PCLP can be most actions of PCLP CDCs to ensure the maintained with the institution any prudently administered if SBA focuses, PCLP CDC is using appropriate and amounts owing by the PCLP CDC to it, at least initially, on expediting the reasonable procedures. PCLP CDCs are the PCLP CDC must replenish the LLRF processing of routine CDC loan thus expected to retain in their loan files to the full amount then required within applications under the PCLP and copies of all documents associated with 30 days. Comments received regarding handling complex or problematic their processing actions. SBA may these changes concerned a perceived eligibility issues using standard 504 occasionally review these documents on inconsistency in the source of Loan procedures. However, SBA will site or request that they be forwarded to reimbursement to SBA for losses. SBA continue to study and analyze this issue SBA for review. If SBA identifies considered this concern and is revising and develop further guidance as the significant problems or deviations from § 120.847 to clarify that a PCLP CDC PCLP progresses. SBA’s 504 Program requirements, SBA may reimburse SBA for losses either Several comments suggested that SBA will take appropriate corrective action, from the LLRF or other funds. revise the requirement in § 120.848(c) including possible removal from the Section 120.848, requirements of that complex loan applications be PCLP. PCLP loan processing, closing, processed through the Lead SBA Office, SBA is deleting §§ 120.850–120.852, servicing, liquidating and litigating, is because SBA currently is expanding its concerning ADCs, to eliminate the ADC added. centralized 504 loan processing activity. designation. The reasons are twofold. Pursuant to section 508(e)(1) of the SBA considered this suggestion and First, SBA is seeking to eliminate Act, PCLP CDCs are permitted to agreed that this section should be redundancy in the regulations. One approve, authorize, close, service, and modified. Therefore, in § 120.848(c) in aspect of the ADC program was that it liquidate 504 Loans, subject to terms the final rule, SBA deleted ‘‘Lead SBA established requirements for and conditions established by SBA. Office’’ and added ‘‘SBA,’’ in order to organizations to qualify to contract with SBA’s authority to establish such terms accommodate ongoing Agency changes. CDCs for 504-related services. However, and conditions is limited by section Several comments also suggested that § 120.824 permits CDCs to contract for 508(e)(2) of the Act, which states that SBA consider permitting PCLP CDCs to 504-related services and governs such the CDC’s approval of a 504 Loan using close their own 504 loans without SBA contracts. Second, these regulations its PCLP authority is subject to SBA’s review. SBA notes that under established one of the grounds (not final approval of the PCLP debenture as § 120.848(e), a PLCP CDC is required to meeting the minimum required level of to eligibility but that SBA as part of its close PCLP loans and debentures under 504 Loan approval activity) for approval may not review the SBA’s expedited loan closing removing a CDC from the 504 Program creditworthiness, loan closing, and legal procedures, which provides for a discussed under § 120.854. In the final compliance (except with respect to limited review of documents relating to rule, all grounds for taking enforcement eligibility) of the underlying 504 loan. the debenture, but does not include an action against a CDC are combined Several comments objected to the entire review of the CDC’s closing of the under one regulation, § 120.854. proposed § 120.848, including SBA’s 504 Loan underlying that debenture. Section 120.855, CDC ethical authority to require a PLCP CDC to This is entirely consistent with the Act requirements, is redesignated as process 504 Loans involving complex or and with the comments. SBA did not § 120.851, and reworded to clarify its problematic eligibility issues through propose to modify SBA’s current meaning and to remove the reference to SBA using standard loan processing practice, in which SBA shares with the ADCs (see § 120.850 discussion). SBA procedures (§ 120.848(c)), or to require a PCLP CDC joint responsibility for received several comments on this PCLP CDC to turn over to SBA the closing the PLCP debenture. Refer to the regulation. SBA proposed to delete the handling of a particular PLCP loan discussion of § 120.960, responsibility ‘‘good cause’’ exception to the general
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rule, that an associate of a CDC may not comment and agrees that the final rule officials and attorneys and a consensus be an officer, director, or manager of should be modified to reflect this is attained as to whether to proceed more than one CDC, and the exception. This rule adopts § 120.882 as with a final enforcement action. This commenters requested that such an it was published in the proposed rule carefully considered process should exception remain. SBA has considered except as discussed. allay any concerns. Nevertheless, SBA’s these comments but believes that, in Section 120.853 is identical to responsibility for managing the 504 every case, a CDC should be existing § 120.973 except that it would Program requires that the Agency have independently managed and operated to eliminate references to ADCs. a wide range of enforcement options pursue its own economic development New § 120.854, grounds for taking available and considerable flexibility in mission. Further, SBA believes that with enforcement action against a CDC, implementing these actions. Moreover, the new requirement that each CDC’s § 120.855, types of enforcement actions, SBA’s revision of the enforcement area of operations be statewide, a and § 120.856, enforcement procedures, regulations is a direct response to potential for a conflict of interest exists consolidate existing § 120.852 and problems that SBA has encountered if the same individual is an officer of or §§ 120.982–120.984. These provisions under the current regulations in dealing on the board of two CDCs. Therefore, also clarify and expand the grounds with CDCs that have repeatedly failed to SBA is adopting § 120.851 as proposed. required for SBA enforcement actions comply with SBA rules and regulations Section 120.852 prohibits a CDC from against CDCs as well as SBA’s and or which have willfully failed to comply investing in or being affiliated with a CDCs’ rights and responsibilities in such with SBA efforts to require compliance 7(a) lender or an SBIC, which SBA actions. Section 120.981, voluntary with regulations and other believes will help to avoid apparent transfer and surrender of CDC requirements. Thus, SBA disagrees with conflicts of interest and serve the certification, is redesignated as those comments that sought to retain the economic development mission of the § 120.857 to move it under the new current enforcement regulations without CDC. However, the final rule does not heading entitled Enforcement Actions. change. require a CDC with an existing SBA received numerous comments Several comments noted that the Act investment in an SBIC to liquidate such regarding SBA’s proposed changes to its already prescribes the grounds for investment. In response to the ANPRM, enforcement procedures. Several enforcement actions to suspend or commenters overwhelmingly stated that comments expressed concern that SBA revoke an ALP CDC or a PCLP CDC’s SBA should not permit a CDC to officials would abuse the authority ability to participate in these programs, establish a 7(a) lender or permit a 7(a) provided by the enforcement regulations and, therefore, that the proposed lender to establish a CDC and that the to unfairly penalize or control CDCs. enforcement provisions as they relate to two programs should remain separate. Thus, one comment expressed concern an ALP CDC or PCLP CDC were Comments in response to the proposed that the regulations ‘‘can be open to inconsistent with the statute. rule also were generally supportive of wide interpretation by any SBA official SBA inadvertently consolidated the the separation of 7(a) lenders and CDCs. at either the local or national level.’’ grounds for such enforcement actions Several commenters suggested that there Another comment stated that the with the general enforcement provisions be an exception for CDCs that already enforcement provisions are ‘‘an attempt in the proposed rule, and agrees that the are affiliated with State development to give SBA personnel effective Act sets forth grounds (but not companies that were authorized under operating control of all CDCs’’ and that procedures) for the suspension or section 501 of the Act that could ‘‘[t]hrough the guise of oversight and termination (which the statute refers to continue to be so affiliated, even if the evaluation SBA officials are attempting as a revocation) of a CDC’s authority to state development company is a 7(a) to create a web of regulations, which act as an ALP CDC or PCLP CDC. lender. SBA considered these comments would enable a vindictive official to Consequently, SBA has made minor and agrees to permit this exception. manipulate every action of a CDC under revisions to §§ 120.854 to include, SBA also received comments threat of suspension or termination.’’ verbatim as set forth in the Act, the regarding the proposed prohibition on a These comments reflect considerable grounds for such enforcement actions in CDC investing in an SBIC. A typical misunderstanding of the regulations and new paragraphs (b) and (c), and has comment opposed the prohibition on how SBA typically conducts made conforming technical changes to the basis that it would eliminate a CDC’s enforcement actions. SBA’s actions § 120.855. Although these grounds for use of the SBIC program as an economic reflect numerous layers of careful enforcement were not included in the development tool (without explaining review and various controls in order to proposed rule, the final rule simply why it was believed this would occur). ensure that all facts and relevant issues incorporates statutory language, which SBA believes the concern is unfounded. are considered. Notably, the regulations SBA does not have discretion to modify, In general, if a CDC has an investment only authorize the AA/FA (or his or her and makes conforming technical in an SBIC, then the CDC would be authorized delegate) to undertake changes to the proposed rule. prohibited from referring a 504 borrower enforcement actions, not numerous In the final rule, all grounds for taking to that SBIC for that borrower’s venture agency officials. Moreover, an enforcement action against a CDC are capital requirements. By contrast, by enforcement action usually begins with combined under one regulation, prohibiting a CDC itself from having an a recommendation from the district § 120.854. SBA received some investment in an SBIC, the CDC will be office, which is signed and approved by comments that asked whether free to refer its borrowers to the SBIC for various officials. When the § 120.854(b) would be applied venture capital, thus increasing the recommendation reaches SBA’s retroactively. Section 120.180, however, borrowers’s access to capital. Other Headquarters, it is reviewed by a currently provides for prospective comments requested that the regulation number of officials, as well as attorneys application of any new regulations be modified to be consistent with the in SBA’s Office of General Counsel prior under Part 120, and this regulation has preamble to the proposed rule, which to the initiation of any proposed action. not been amended by this final rule. SBA stated that the Agency would not After a notice of proposed action is sent Some comments suggested that the require a CDC with an existing to the program participant, any response word ‘‘knowingly’’ be inserted into investment in an SBIC to liquidate such from the participant is given § 120.854(c) to establish intent. SBA investment. SBA has considered this considerable analysis by numerous SBA considered this concern but has
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declined to adopt it because it is based final rule for several reasons. First, use and having its own information about on a faulty legal premise, and because of the word ‘‘material’’ is important in the performance of its loan portfolio, it would unduly burden the Agency’s that SBA is making it clear that trivial would be able to present SBA with enforcement authority. Contrary to the infractions will not trigger an arguments that the benchmark score was assertion that misrepresentation is enforcement action under § 120.854(c). inaccurate in its opposition to the ‘‘tantamount to civil fraud or deceit’’, as Thus, contrary to the comment’s enforcement action. SBA would several comments contended, the suggestion that the word ‘‘material’’ carefully consider those comments concept of negligent misrepresentation could increase the risk of unfounded before proceeding with any enforcement is well established in the law. See, e.g., enforcement actions against a CDC, the action. First National Bank, Henrietta v. SBA, intent of the Agency in using this word Other comments requested that SBA 429 F.2d 280 (5th Cir. 1970). is just the opposite. At the same time, modify § 120.854(e) to clarify that an SBA emphasizes that the regulation SBA believes that needed flexibility in agency notification of deficiency to a authorizes enforcement action only if a applying its 504 Program enforcement CDC include a request to take corrective CDC misrepresents or fails to disclose procedures is retained through the word action if appropriate. SBA considered ‘‘material’’ information, which would ‘‘material’’. SBA notes that this term has this concern, agrees with the comments, include important information that the been employed as longstanding policy and is modifying the rule accordingly so CDC would have reason to know the with respect to denials of loan that an agency notice of deficiency also Agency was relying upon in making a guarantees under the 7(a) Program include a request for corrective action if decision about a loan or the CDC’s under § 120.524. Thus, SBA believes it appropriate. SBA also agrees with, and participation in the Program. An is appropriate to retain this word in the has modified § 120.854(e) to address, example of such information would final rule. those comments that stated that it include a CDC’s misrepresentation of or Several comments were received would be fair to provide the CDC with failure to disclose information in its regarding language in proposed a reasonable period of time to cure the annual report to SBA that, if accurately § 120.854(d) that evidence of CDC deficiency. The Agency disagrees, disclosed, would show that the CDC improper actions could include the however, with comments that a was in violation of SBA rules or CDC’s failure to meet one or more of the specified time for a cure should be regulations. Similarly, a CDC that was portfolio benchmarks established by provided because SBA needs flexibility seeking authority from SBA to issue a SBA to measure a CDC’s portfolio in determining the appropriate cure 504 debenture and failed to disclose a performance. Many of these comments period depending upon the facts of each significant adverse change in the raised similar concerns regarding the situation. SBA further disagrees with borrower’s financial condition that was accuracy or lack of public adoption of comments suggesting that a notice of known to the CDC would have failed to the benchmarks that were discussed deficiency must describe with disclose a material fact. above, which SBA has considered and specificity the corrective action that is As to such critical facts, the Agency rejected. needed rather than simply requiring it believes that CDCs have an obligation to Moreover, these comments appear to to be corrected. Although SBA may exercise diligence to ensure that they be based on the erroneous belief that an suggest the type of corrective action that provide accurate information to SBA SBA enforcement action could proceed is needed, it will generally be the CDC, that the CDC knows, or should know, solely upon a CDC’s failure to meet a with the knowledge of its own that the Agency is relying upon. Under portfolio benchmark. The regulation operations and portfolio, that will be in egregious circumstances, enforcement provides that benchmark performance is the best position to make the judgment action may be appropriate if a CDC merely supporting evidence that a ‘‘CDC as to how best to correct a deficiency. negligently fails to do so, and SBA is not performing underwriting, closing, Comments objected to proposed needs the flexibility to be able to servicing, liquidation, litigation, or language in § 120.854(f) that would undertake enforcement action without other actions with respect to 504 loans permit SBA to initiate enforcement the unwarranted burden of having to in a commercially unreasonable or action based upon a CDC’s ‘‘pattern of prove that the CDC intended to deceive imprudent manner.’’ SBA has made a uncooperative behavior or an action that the Agency. If a CDC’s minor revision to the second sentence of SBA determines is ‘‘deleterious to the misrepresentation or failure to disclose § 120.854(d) to emphasize this 504 program’’ or that ‘‘undermines material was a result of inadvertence, regulatory interpretation. SBA’s administration of the 504 the CDC will have the opportunity to The need to show that a CDC’s actions program’’ or that was ‘‘not consistent explain this in responding to any were imprudent or commercially with standards of good conduct.’’ proposed enforcement action. In doing unreasonable would also preclude SBA Generally, the comments expressed so, however, SBA expects that the CDC from being able to bring an enforcement concern that these provisions were would discuss the quality control action using the CDC’s benchmark ambiguous and subject to subjective measures it had implemented to prevent performance if the CDC could show that interpretation. The terms are so broad, transmission of inaccurate or less than the performance score was directly one comment opined, so ‘‘as to render thorough information to the Agency. related to SBA’s approval or liquidation it useless in determining what the SBA SBA will, thus, consider the ‘‘intent’’ of of 504 loans, and not the CDC’s actions. means and what is expected of the the CDC as part of its determination of Thus, SBA disagrees with those CDC’’ and allows SBA ‘‘to decertify a whether to proceed with a proposed comments which asserted that the CDC simply for convenience,’’ and enforcement action. provision could be used to bring an without just cause or due process. A concern was raised regarding the enforcement action against a CDC for SBA has considered these comments use of the word ‘‘material’’ in actions that were beyond its control. but believes that the provisions should § 120.854(c) because this term was In the context of a specific be retained in order to preserve needed considered to be too subjective and enforcement action that was relying on and justifiable flexibility in would ‘‘open the likelihood for abuse a CDC’s benchmark score as evidence of administering the 504 program, as and retaliation by the Agency.’’ SBA has that CDC’s imprudence or commercial discussed above. It has been the considered this comment but believes unreasonableness, the CDC, having Agency’s experience in dealing with that the term should be retained in the access to the score, as discussed above, enforcement actions in the past that it
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is imperative to have the type of catchall circumstances. Typically, SBA would necessitated a renumbering of the provision embodied by § 120.854(f) in provide a CDC with an opportunity to subsections in § 120.856. order to have effective management cure a deficiency before the initiation of Several comments contended that tools available in the event that a such an action. SBA, however, disagrees § 120.856(a) should require SBA to program participant is engaging in ‘‘a with the proposals to mandate a cure provide details of the reasons behind a pattern of uncooperative behavior’’ or before initiating such an enforcement proposed enforcement action. SBA has taken other action that warrants action because there may be agrees with this proposal and has added some enforcement action, but which circumstances where the opportunity to language to make clear that the does not squarely fit within the specific cure would not be possible, and SBA’s underlying facts and reasons for the grounds identified in a regulation as a administration of the program would be proposed action should be reasonably basis for enforcement. unnecessarily restricted by a mandatory detailed. Although SBA retained these cure opportunity prior to enforcement. SBA received a number of comments provisions, the Agency is sensitive to For example, if a CDC was terminated regarding § 120.856(c) [now renumbered those comments that CDCs would not be from the program due to regulatory as § 120.856(b)], which sets forth the on notice of what behavior was violations, a cure of these violations CDC’s right to respond to a notice of expected by these regulations. SBA may not be possible. In such a case, SBA proposed enforcement action or to a believes that the appropriate resolution needs the authority to be able to direct notice of immediate suspension. Several of these concerns is to provide the transfer of that CDC’s portfolio to comments requested that the provision additional procedural protection to another entity without the requirement should specify that the period for the CDCs. Therefore, SBA has added of providing the CDC with a cure CDC to respond to a notice should be language to § 120.854(f) that would opportunity. fixed at 30 days; others felt that the CDC ensure that SBA could only propose SBA also disagrees with the should be given 60 days to respond. enforcement action based on comments which objected to the SBA disagrees with these comments § 120.854(f) after the Agency had: (1) Agency’s authority to direct the transfer because the Agency believes that 30 Provided written notice to the CDC of 504 loans to entities other than SBA days is a sufficient amount of time, and explaining why the CDC’s actions were or a CDC on the ground that transfer to that the Agency must retain the uncooperative, not good conduct, or banks and other for-profit entities was flexibility to permit a greater or lesser undermined SBA’s management of the contrary to the public or program’s amount of time for a response to program and that the CDC’s actions interest. Although it would be SBA’s accommodate the unique circumstances could give rise to an enforcement action; clear preference that 504 loans be of each enforcement action. SBA has, and (2) providing the CDC with a transferred to a CDC, there may be however, added language that a CDC reasonable time to cure the deficiency. occasions where no other responsible may request additional time if it can This change reasonably addresses all of CDC exists for such a transfer. SBA show that there are compelling reasons the comments that objected to these requires the flexibility to direct a why it is not able to respond within the provisions. portfolio transfer in the manner that the 30-day timeframe. Several comments objected to the Agency believes is in the best interests SBA does, however, agree with those enforcement actions authorized under of the program. Generally, however, it is comments that urged that a CDC’s 30- § 120.855. Thus, concerns were anticipated that a transfer to an entity day response period should begin to run expressed about the language in other than a CDC would be temporary when a CDC receives the notice of § 120.855(a) that the AA/FA or his or until another responsible CDC was proposed action or immediate her delegate’s decision to undertake available. suspension. For purposes of enforcement actions ‘‘in SBA’s sole Many comments objected to determining whether a CDC has timely discretion’’ would result in enforcement § 120.855(a)(4), which allows SBA to responded to a notice of a proposed actions that were subjective or selective. direct the Central Servicing Agent (CSA) action or immediate suspension, the SBA disagrees with the suggestion to to suspend payment of fees to a CDC regulations will make clear that it is delete this language because each and to direct the CSA to submit those presumed that the notice has been enforcement case is different and the fees to SBA to pay for any financial loss received within 5 days of the date of the Agency believes that effective program resulting from a CDC’s imprudence, notice, absent compelling evidence from administration requires maximum commercial unreasonableness or failure the CDC to the contrary. flexibility to determine the appropriate to comply with an SBA requirement. Several comments contended that the enforcement action appropriate for each SBA has agreed to eliminate the regulations should make some or all of particular action. SBA also believes that provisions allowing for payment of the the following discovery procedures the due process rights that are provided fees to the Agency to compensate for available to a CDC that receives a notice by the regulations, including the review financial loss because it would like to of a proposed action or immediate by the SBA OHA (which is discussed study this issue further. SBA, however, suspension: (1) The ability to undertake further below regarding § 120.856) has retained in the final rule the discovery; (2) the ability to review protects CDCs from arbitrary language allowing the suspension of fee SBA’s complete file; (3) the ability to enforcement actions. payments to the CDC as an enforcement request and review additional Several comments objected to tool in the absence of any significant documents; (4) the ability to question § 120.855(a)(3) which authorizes SBA to comments on this proposal. SBA’s employees; (5) the ability to direct a CDC to transfer some or all of A number of concerns were raised obtain copies of any documentation that its portfolio to another entity. The regarding § 120.856, which sets forth SBA has obtained during the course of comments asserted that SBA should procedures for proposing and its investigation before or after the CDC provide the CDC with a right to cure any undertaking enforcement actions, and files its objection; and (6) the ability to deficiency prior to such a transfer. the affected CDC’s due process and obtain information from third parties. Directing a CDC to transfer some or all appellate rights. As discussed below, Absent these discovery procedures, the of its portfolio to another entity is an SBA has revised this section to address comments contended, the CDC would extreme action that would generally several of the comments the Agency be deprived of the ability to respond only be considered in egregious received. These changes have also meaningfully to the notice. In addition,
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the comments urged, a CDC that avails is based upon information derived from § 120.856(c)] should include a deadline itself of one or more of these discovery a third party, SBA’s notice of proposed for SBA to issue a final decision on a procedures should have additional time action or immediate suspension will proposed termination action. The to respond to the notice of proposed provide copies of documentation offered rationale for this request was enforcement action or immediate received from such third party or the that without a deadline, the CDC would suspension or be able to make name of the third party in case of oral be ‘‘in limbo’’ for an indefinite period of additional submissions to SBA beyond information unless SBA determines that time and could not pursue its rights the initial objection in opposition to the there are compelling reasons not to before the OHA and the courts. SBA enforcement action. provide such information. If compelling disagrees with these comments, for the The SBA does not believe that these reasons exist, SBA will provide a most part. If SBA proposes an discovery procedures are necessary to summary of the information it received enforcement action, the CDC would not provide the CDC with meaningful to the CDC. Finally, SBA disagrees that lose any right or authority until a final review or appropriate for the a regulation is required to allow the decision is made, and, therefore, would enforcement action set forth in CDC to obtain information from these or not experience any prejudice in the §§ 120.854–120.857. The existing other third parties because the CDC can event that SBA did not immediately procedures already provide for a pursue such information without the issue a final decision. Similarly, there is meaningful review, in that the CDC will need for a regulation. nothing for a CDC to appeal to OHA or receive a written notice setting forth the Several comments asserted that the courts until a final decision is proposed enforcement action or § 120.856(c) [now renumbered as rendered. In the case of an immediate immediate suspension and a reasonably § 120.856(b)] should provide that a CDC suspension under § 120.855(b) [now detailed description of the underlying which has received a notice of a renumbered as § 120.856(a)(2)], facts and reasons for SBA’s proposed proposed action or immediate however, the CDC’s rights and authority action or immediate suspension, and suspension has the right to request a would be affected. Therefore, for those will have the opportunity to submit its more definite statement if SBA’s reasons actions, SBA agrees that a deadline objections and opposition to that notice. for the proposed action were unclear. should be imposed on the issuance of a A second review is then undertaken by Inasmuch as SBA would, as a matter of final decision to avoid any undue the Agency prior to the final decision, course, respond to any legitimate prejudice to the CDC. Therefore, SBA and the CDC has further relief in seeking request for clarification, SBA agrees to has revised § 120.856(c) to require the review from the OHA and ultimately the amend the regulation to make clear that Agency to issue a final decision on an courts. The requested discovery a CDC may request clarification of a immediate suspension within 90 days of procedures will likely serve to delay notice. SBA does not, however, agree receiving the CDC’s objection. and frustrate SBA efforts to undertake with those comments that suggested that Procedures have also been added to enforcement necessary for effective the regulation should be revised so that address this deadline in the event a CDC program management, and result in such a request for clarification would seeks clarification or additional time. In considerable additional burden on automatically delay the time for a CDC addition, SBA has clarified that Agency limited Agency resources in responding to respond to the notice. Allowing a decisions must be in writing in to the requested discovery. Indeed, it CDC the right to postpone its response § 120.856(c). has been the Agency’s experience in time based on an alleged inability to Although SBA did not receive any attempting enforcement actions in the understand a notice could allow the comments pertaining to § 120.856(e) past that certain CDCs have attempted to CDC to improperly delay the [now renumbered as § 120.856(d)], the repeatedly delay those efforts. enforcement action by seeking Agency has determined through its own Further, it is SBA’s experience that clarification where none was actually initiative that there is a conflict between enforcement actions are typically based needed (and potentially filing repeated this section and § 120.856(f) [now on documentation and information that requests for clarification), and by renumbered as § 120.856(e)]. Although is already available or known to the waiting until the last possible moment proposed § 120.856(e) provided that a CDC, e.g., loan documentation, the to respond before seeking clarification. decision under that section constitutes CDC’s annual report, or correspondence In addition, imposing an automatic the final agency decision, which between the CDC and SBA. Thus, the delay of the CDC’s response time would signifies that there is no further appeal requested discovery procedures are add considerable confusion to the within the agency, proposed § 120.856(f) generally not necessary. Nevertheless, enforcement procedures by creating allowed for an appeal from that section SBA does recognize that if an uncertainty as to the deadline for the to the OHA. To address this enforcement action is based on CDC’s response. Thus, SBA has added inconsistency, § 120.856(e) has been information derived from a third party, language that the Agency ‘‘may’’ revised to clarify that it only sets forth i.e. a party other than SBA or a CDC, consider delaying the period for the a right of appeal and appellate such as a borrower, principles of CDC’s response in the event the CDC procedures for an appeal from fairness suggest that that the CDC legitimately seeks clarification or has a § 120.856(c). should be provided with a copy of the compelling basis for needing additional SBA also received a comment from relevant documentation or name of the time to respond. The new language the SBA OHA regarding § 120.856(f) third party in the event the information would likely preclude a CDC from [now renumbered as § 120.856(e)] was oral. SBA recognizes also, however, delaying a request for clarification or requiring the OHA review of the appeal that there may be occasions where there additional time or improperly making of an enforcement action to be may be compelling reasons for not such requests. If SBA disregarded a consistent with legal precedent disclosing the identity of the third party legitimate request for clarification or an developed under the arbitrary or or copies of the actual documentation, extension of time and proceeded with a capricious standard of 5 U.S.C. 706 such as privilege or significant termination action, the CDC would have because under OHA regulations this impairment of SBA’s ability to manage a right to appeal that decision before the could be construed as requiring that the 504 Program. Therefore, SBA has OHA or a federal court. only the SBA Administrative Law Judge added a new section § 120.856(g) Several comments requested that would hear such appeals. The Agency providing that if an enforcement action section 120.856(d) [now renumbered as intends that Administrative Judges and
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the Administrative Law Judge be able to maker.’’ These comments, however, did action or immediate suspension, with hear appeals and, therefore, has deleted not argue or show a basis for any conforming language added to the reference to the statute. Nonetheless, suggestion that the AA/FA was not a § 120.856(e)(3). SBA expects that OHA judges will look fair, neutral decision maker. Moreover, SBA also has added language to to legal precedent developed under the to the extent these comments assert that § 120.856(e) that if the OHA decides that arbitrary and capricious standard of the an appeal of an agency decision to an SBA’s decision was arbitrary, capricious APA in deciding appeals from these independent office of the agency is or contrary to law, the OHA must enforcement provisions. required by constitutional due process, remand the matter to the AA/FA or the Many comments were received that those comments are simply mistaken. deciding official for further the regulations should allow the SBA SBA could, and, indeed, has in consideration. Although this was clearly Office of Hearings and Appeals to have numerous regulations, provided that the implied in the proposed rule, it was not a de novo review of enforcement actions decision by the relevant agency official explicitly stated and so SBA has added in § 120.856(e). Several comments is the final agency action, without this language to the final rule for contended this review was provided providing any right of appeal to the clarification. under current regulation (SBA does not OHA. OHA review of enforcement As discussed above with respect to interpret the regulation as providing actions is not a right, but an § 120.810 and elsewhere, SBA has such review, but acknowledges that the accommodation that SBA has chosen to deleted language from the proposed current regulation is unclear). One provide to CDCs in order to improve the regulations to the effect that the comment stated that the arbitrary and fairness of the enforcement procedures. procedures in §§ 120.854 to 120.856 do capricious standard imposes such an Several comments contended that the not apply to those sections. SBA has ‘‘excessive’’ burden upon the CDC that regulations should allow a CDC to raise added a new paragraph 120.856(f) ‘‘the decision of the program office arguments with the OHA that it had not which incorporates the concept of the would necessarily be affirmed by OHA made to the Agency in responding to a deleted language to specify that the even if it was obviously wrong.’’ proposed enforcement action, and that procedures in § 120.856 only apply to SBA has considered but disagrees CDCs should have a right of discovery actions undertaken pursuant to with these contentions and has retained or to subpoena third parties in the OHA § 120.855. the original proposed regulations to add information to the record of the Section 120.861, job creation or provision that the OHA review is agency’s decision. One comment’s retention, is revised (see discussion of limited to the arbitrary and capricious justification for allowing new arguments revisions to § 120.829 for a description standard, a standard of review which is to be raised before the OHA was that of the changes to the job requirement well established under the law. As ‘‘the CDC may easily forget an important criteria and the comments received). previously noted, the fact that SBA matter and not raise it or make a The change in the criteria will be enforcement actions are undertaken submission * * * without relying on published in a Federal Register notice with considerable review and counsel.’’ from time to time. deliberation, and that numerous agency SBA also considered but is not Section 120.862, other economic officials are involved in the decision, persuaded by these comments. If the development objective, includes two should allay those concerned about CDC provided the OHA with arguments technical changes. The first is the arbitrary decisionmaking. However, the or information obtained through Agency-wide replacement of ‘‘SIC’’ decision to take an enforcement action discovery in the OHA that were not codes with ‘‘NAICS’’ codes when necessarily involves policy judgments considered by the Agency, the OHA’s identifying the types of small businesses about what action is in the best interests review would not merely evaluate eligible to receive SBA assistance. The of the Agency and the 504 Program. whether the Agency’s decision was second is to correct the cross-reference Therefore, SBA does not believe that it supported by the administrative record, to the regulation that describes a is appropriate or in the best interests of but would necessarily entail a de novo minority for purposes of the public the 504 Program for the OHA, which is review of the underlying matter. As policy goal of assisting minority-owned not a policymaking office and which stated above, SBA believes such review businesses. The changes also reflect the does not have the familiarity and is inappropriate. Additionally, a CDC statutory changes to section 501(d) of experience with the 504 Program, to be that is faced with a proposed the Act, which added women-owned able to undertake a de novo review and enforcement action or immediate and veteran-owned businesses to the to make policy for the 504 Program. suspension would be best advised to public policy goals. Further, the arbitrary and capricious make sure that it diligently provides all Section 120.870, leasing project standard, although a deferential review, relevant information to the Agency and property, eliminates references to 504 requires that the Agency have a rational consults with counsel to the extent it project property being leased by the and reasonable basis for its decision. If deems such consultation to be CDC to the borrower. Comments such a basis is lacking, the matter appropriate. received suggested revising SBA’s rules should be remanded back to the Agency Nevertheless, SBA does agree that a regarding leasing to be more flexible. for further consideration. A review of CDC that can show that it was unable to SBA considered these comments to be the numerous cases which have applied present facts or an argument to the AA/ beyond the scope of the proposed rule. this standard and remanded agency FA due to compelling reasons beyond Therefore, SBA is adopting § 120.870 as decisions refutes any assertion that the its control, and that it has been proposed. arbitrary and capricious review is prejudiced by this inability, can request SBA is changing the heading of merely a rubber stamp of an agency’s that the OHA remand the matter back to § 120.871 to make the form consistent decision. the AA/FA for further consideration. with other section headings. Several comments took the position This procedure is set forth in new Section 120.880, basic eligibility that de novo review by the OHA was language that has been added to requirements, simplifies the regulation required based upon the assertion that § 120.856(e). Similar language has been by replacing the actual size standards procedural due process under the added to newly renumbered with a cross-reference to the size Constitution requires that the decision § 120.856(b) with respect to a CDC’s standard regulation. As the size be made by a ‘‘fair, neutral decision objection to a notice of a proposed standard regulations change, so will this
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regulation without requiring it to be re- The calculation of the amount of SBA’s interest of a potential borrower that written. Comments received were share of the financing (up to a maximum requires additional help in accessing supportive of this change. Therefore, of 40 percent) as well as the borrower’s capital to charge this fee directly to the SBA is adopting § 120.880 as proposed. contribution is based on the total borrowers. The commenter also stated Section 120.882, eligible project costs amount of project costs. Administrative that the inability to charge the fee to a for 504 loans, clarifies eligible costs that costs were designed to permit the borrower would be a disincentive to the may be included in 504 project costs. borrower to finance a limited number of CDC to find a lender for difficult or SBA received some comments on this specific fees above the project costs as rural-based loans. SBA considered this regulation requesting clarification. For part of the debenture financing that comment but was not persuaded. SBA example, previously the regulation receives SBA’s 100 percent guarantee. has observed that the fees permitted to included accounting fees as a Every dollar of administrative cost that be charged by a CDC to a borrower have professional fee, but the proposed rule is included in the debenture increases generally been sufficient to reimburse a does not. SBA deliberately proposed to SBA’s exposure on the debenture and CDC for its services related to all aspects remove accounting fees because even erodes the equity cushion provided by of a 504 financing. With the increase in though the regulation stated that only the borrower in the collateral. Therefore, choice among CDCs for a potential 504 fees attributable to the project were to be it is SBA’s intention that only the borrower as a result of this rule, SBA included, borrowers were submitting as specific fees listed in the regulation be believes the fees permitted to be charged accounting costs fees charged by their financed by the debenture and receive to a borrower are sufficient incentive to accountant to prepare financial SBA’s guaranty protection. Fees that are CDCs to make financing available to all statements, which are a cost of doing not eligible project costs or eligible eligible and credit-worthy 504 business, not a project-related cost. The administrative costs must be treated borrowers. final rule retains this charge. separately as a cost of doing business by Section 120.930, amount, eliminates Commenters were also concerned that the borrower. Accordingly, § 120.883 in the requirement that SBA must approve certain items in the proposed rule were the final rule refers to all of § 120.882, 504 loans between $25,000 and $50,000 not project-related fees, such as hazard not just to § 120.882(c), to clarify that on an exception basis. SBA does not and flood insurance. SBA considered none of the fees that qualify as eligible believe that it ever has declined such a these concerns and agreed. Therefore, project costs under § 120.882 may be request. Comments received on SBA is deleting hazard and flood included as administrative costs §§ 120.900–120.930 were generally insurance from the list of eligible project included in the debenture. This rule supportive. SBA is adopting § 120.900, costs in § 120.822. Recording fees are adopts § 120.883 as it was published in § 120.910, § 120.911, § 120.913, eligible project costs, and are already the proposed rule except as discussed. § 120.923, § 120.925, § 120.926, and covered in § 120.882(a), and therefore Section 120.892 is revised to require § 120.930 as they were proposed. do not appear in § 120.882(c) in the final a 504 loan borrower to provide to the Section 120.931, 504 lending limits, rule. Other comments were concerned CDC current financial statements within increases the dollar amounts to reflect that such fees as permit fees and utility 120 days of 504 loan closing, instead of the changes to section 502(2) of the Act hook-up fees were not included. SBA within 90 days. Comments received that became effective December 21, believes such fees are already covered were supportive of this change. This 2000. Comments received suggested that by § 120.882(a), (b), and (d), which SBA rule adopts § 120.892 as proposed. this section be adjusted automatically to did not propose to change. As a result SBA is changing the headings of reflect any changes established by of comments, SBA also deleted the §§ 120.900 and 120.910 to make their Congress. SBA considered these reference to § 120.971(a)(2) which limits form consistent with the other section comments but believes the suggestions legal fees associated with a 504 loan and headings in Subpart H. debenture closing. SBA was concerned Section 120.911, land contributions, are beyond the scope of the proposed that the limitation might be construed as makes a technical correction to the rule. SBA is adopting § 120.931 as also applying to legal fees that are part regulation by deleting the reference to proposed. of eligible project costs. This rule adopts CDCs. CDCs do not contribute land for Section 120.933, maturity, creates section § 120.882 as proposed except as a 504 loan. flexibility in debenture maturities. This discussed. Section 120.913, limitations on any will permit SBA to consider other Section 120.883, eligible SBIC contributions, clarifies the maturities besides 10 and 20 years at administrative costs for 504 loans, heading, and adds a cross-reference and some future date. SBA received clarifies eligible administrative costs clarifies the section. comments regarding the proposed that may be paid from the proceeds of Section 120.923, policies on change that expressed concern regarding the 504 Loan and debenture. SBA subordination, changes the section SBA’s proposal to permit additional received some comments on this heading and consolidates the current maturities. The comments suggested proposed regulation that sought §§ 120.923 and 120.924. that this would ‘‘cause chaos in the clarification. The comments objected to Section 120.925, preferences, adds a funding markets’’ or ‘‘wreak havoc.’’ what was perceived as a stricter cross-reference to another SBA SBA considered these comments and interpretation of eligible administrative regulation governing preferences. strongly disagrees. SBA notes that the costs for 504 loans than previously Section 120.926, referral fee, modifies home mortgage industry has expanded permitted. SBA intends this result, the current language by adding the number of maturities offered because administrative costs must be ‘‘reasonable’’ in describing the referral substantially to better serve the needs of very limited in order to protect the fee that a CDC may charge a third party home loan borrowers. While SBA has no government’s lien position in the lender. The changes also emphasize that immediate plans to make changes to the collateral. SBA’s lien generally is in a neither the lender nor the CDC can 10 and 20-year maturities now used, second lien position behind a larger first charge this fee to the borrower. SBA SBA believes it is important that the lien securing the third party loan. The received one comment that suggested Agency has this flexibility in order to Act requires the borrower to contribute that a CDC be permitted to charge a serve the changing needs of the small at least 10 percent towards the project referral fee to a borrower. The business community. Therefore, SBA is costs (see section 502(3)(c) of the Act) . commenter believes that it is in the best publishing the regulation as proposed to
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permit SBA greater flexibility in erroneous payment by SBA, by ensuring as it was published in the proposed rule meeting the needs of the marketplace. that SBA purchases only those loans except as discussed. Section 120.934, collateral, clarifies which were originated, closed, serviced Section 120.971, allowable fees paid the paragraph by rearranging and re- and liquidated in accordance with the by borrower, clarifies the language wording the sentences. loan authorization, prudent lending describing the loan closing fees that a Section 120.935, changes the heading. standards, and SBA regulations and CDC may charge. Comments received Section 120.936, subordination to other requirements. suggested a change to permit CDCs the CDC, is deleted. SBA believes that this As discussed under § 120.848, ability to increase the servicing fee regulation is a holdover from the former currently there is no such purchase charged to an uncooperative borrower 501 and 502 programs. SBA knows of no review process for 504 loans; SBA for issues such as not providing instance when a CDC has requested a simply honors its guaranty to the required statements of proof of subordination on its 504 loans. debenture holder and generally does not insurance, evidence of tax payments or Comments received were supportive of seek recovery against the CDC for SBA’s financial statements. SBA considered the changes to §§ 120.934–120.936. SBA loss under the guaranty (although SBA these comments but believe they are adopts §§ 120.934, 120.935, and 120.936 has such regulatory authority). If a CDC beyond the scope of this rulemaking. as they were published in the proposed were to close a 504 loan and debenture This rule adopts § 120.971 as proposed. rule. without SBA review, then SBA likely Section 120.972, third-party lender Section 120.960, responsibility for participation fee and CDC fee, revises closing, describes the circumstances would need to create a new review process, to take place after SBA’s the heading, deletes the language ‘‘from under which SBA can decline to close the Third Party Lender’’ from paragraph a debenture or cancel its guarantee of purchase of the debenture upon default on the 504 loan, to ensure that the CDC (a), and slightly clarifies paragraph (b). the debenture prior to sale. Several SBA may accept the third party lender had closed the 504 loan in accordance comments received suggested that the participation fee from the third party with the loan authorization, prudent regulation gives too much unilateral lender, the 504 borrower, or the CDC. lending standards and SBA regulations authority to SBA. While the commenters This final rule implements § 120.972 as and other requirements, and if a did not suggest that SBA eliminate its proposed. deficiency were discovered, SBA would right to review the debenture closing SBA is removing §§ 120.980–120.984. need to determine the extent to which before the debenture sale, they did Comments received were supportive of SBA should seek recovery from the CDC suggest that SBA would have too much these changes. This rule removes for SBA’s loss under its guaranty. SBA discretion under this regulation as §§ 120.980–120.984. proposed, to decline to approve a does not intend to implement such a debenture for sale. SBA considered process in the 504 Program at this time. Compliance With Executive Orders these concerns and agrees that several For these reasons and based on 13132, 12988, and 12866, the changes are needed, which will make recommendations from commenters, in Regulatory Flexibility Act (5 U.S.C. this section more consistent with SBA’s the final rule SBA added the word 601–612), and the Paperwork long-standing practice in place for SBA- ‘‘materially’’ to § 120.960(c)(1), to make Reduction Act (44 U.S.C., Ch. 35) guaranteed 7(a) loans but without it consistent with § 120.524(a)(1); and Executive Order 13132: For the eliminating SBA’s review of 504 loan changed the phrase ‘‘a material adverse purposes of Executive Order 13132, the and debenture closing prior to change’’ to ‘‘an unremedied material SBA determined that this rule has no debenture sale. SBA has not proposed adverse change’’ to § 120.960(c)(7), to federalism implications warranting to, and does not in the final rule make it consistent with the terms of the preparation of a federalism assessment. eliminate, this prior review by SBA, 504 loan authorization. Other than these Executive Order 12988: For purposes because of the significant differences changes, § 120.960 is implemented as of Executive Order 12988, Civil Justice between the 504 Program and the 7(a) proposed. Reform, SBA determined that this rule program with regard to SBA’s practice Section 120.970, servicing of 504 is drafted, to the extent practicable, in for determining SBA’s liability under its loans and debentures, clarifies the accordance with the standards set forth guaranty. SBA believes it must have the regulation regarding a CDC’s in paragraph 3 of that Order. discretion to take the actions set forth in responsibility in servicing a 504 loan. Executive Order 12866: The Office of § 120.960(c) in order to adequately Comments received on this regulation Management and Budget (OMB) has protect SBA’s guaranty of the debenture suggested that SBA establish a new determined that this rule constitutes a and minimize the credit risk to the borrower fee identified as a ‘‘default significant regulatory action under entire 504 loan portfolio. servicing fee.’’ According to the Executive Order 12866, Regulatory Section 120.524 describes the bases commenters, the borrower would incur Planning and Review. SBA received no upon which SBA may be released from the fee if the borrower failed to comply comments regarding the Executive liability on its guaranty for 7(a) loans. with certain requirements such as Order from the public. SBA believes SBA reviews the 7(a) lender’s submitting financial statements. Since there is a need for this regulatory action documentation after the 7(a) loan is the proposed rule did not propose this for the reasons stated in the preamble closed and disbursed and usually only new fee to a borrower, this suggestion is above. SBA believes these regulatory after a default. The purpose of the beyond the scope of the proposed rule. changes will improve 504 Program review is to determine whether SBA Comments also suggested that delivery to small business customers to should honor its guaranty by granting a § 120.970(c) was confusing because it increase customer choice of service; purchase request, seek a reduction in seemed to suggest that the borrower, not increase third party lender choice of SBA’s guaranty liability, deny liability the CDC, was responsible for filing CDCs; facilitate the formation of new in full or in part on SBA’s guaranty, or renewals and extensions of security CDCs; facilitate the expansion of seek recovery from the lender if the SBA interests. SBA considered these existing CDCs; and increase the number has already purchased the loan from the comments and concurs. SBA has of CDCs able to take advantage of secondary market holder or from the modified the rule to clarify that the CDC special initiatives for rural areas. By lender itself. The purchase review is a is responsible for filing renewals and allowing market-driven forces to process that serves to minimize an extensions. This rule adopts § 120.970 determine availability of 504 Program
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service, small businesses will have Nondepository Credit Intermediaries. have access to the greater opportunities greater opportunity to negotiate the best The size standard is $6 million in available in the more lucrative areas. total financing package, including fees, average annual receipts. SBA estimates SBA believes that some CDCs will as well as receive increased service by that at least 95 percent of the CDCs do choose to continue to operate in those CDCs. In addition, the 504 Program will not exceed this size standard and are counties they presently operate in while be more responsive to changes in market therefore considered small entities by others will choose to expand their conditions. SBA believes that there are this definition. Thus, SBA has market area into neighboring counties or no viable alternatives to these changes determined that this rule will have an throughout the State. It has been SBA’s that would produce similar positive impact on a substantial number of small experience with CDCs that are permitted results without imposing an additional entities. to compete with other CDCs in the same burden on the SBA or the public. Even though SBA has determined that market area, that the market of eligible In Fiscal Year (FY) 2002, OMB this rule will have an impact on a 504 projects itself expands, resulting in developed the Program Assessment substantial number of small entities, a benefit for the affected CDCs as well Rating Tool (PART) to establish a SBA has determined that the impact as a benefit to small business borrowers. systematic, consistent process for rating will not be significant. SBA understands A recent example was the approval of a the performance of programs across the the concerns raised by some comments large CDC into a small CDC’s area of Federal government. The 504 Program received that suggested that this rule operations in the Midwest. As a was evaluated under the PART criteria may have a significant impact on many consequence, a county in which there in FY 2002. The PART review revealed small and rural CDCs. Some comments had been no 504 loan activity the prior that the SBA needs to increase the expressed the concern that increased year generated two 504 loans for the availability of CDCs within the 504 competition and reliance on market small CDC and three 504 loans for the Program to improve customer access to forces could lead to more large CDC. loans. Additionally, increasing the decertifications of small and rural CDCs. SBA also believes that smaller, rural availability of CDCs will enable Other commenters stated that small CDCs will derive a similar benefit by borrowers to determine which of the CDCs will not be able to compete in the having a greater opportunity to meet the SBA’s loan programs best meet their new competitive environment this rule required 504 loan activity level. Since needs. The SBA expects that this rule would create. For example, one stated 1993, SBA has had to revoke will address that recommendation from concern is that larger CDCs would have certifications from more than 100 CDCs OMB. The OMB PART review on this an unfair advantage, and that small and transfer their 504 loan portfolios program can be found at http://www. CDCs would be hurt by the new and fees to other, active CDCs due to whitehouse.gov/omb/budget/fy2004/ competition because many small CDCs their failure to meet the required 504 pma/certifieddevelopment.pdf. will not have the resources necessary to activity level of two 504 loan approvals The SBA does not have sufficient data access more profitable markets beyond per year averaged over two years. Most to establish a baseline in order to their current area of operations while of these CDCs have been located in rural measure the costs and benefits of this larger CDCs will access the more areas where there are a limited number rule on the affected public. However, profitable markets of small and rural of potential 504 projects. Competition the SBA has data on the cost to SBA of CDCs. with other, larger CDCs was not the the 504 Program. In FY2002, the cost of SBA considered these comments but reason why these rural CDCs could not the 504 Program to SBA was continues to believe that the rule is not meet the required loan volume. There approximately $15 million. The significant. SBA believes that the effect was simply a lack of 504-eligible majority of the cost of the Program, 82 of this rule will be first to ‘‘level the projects in the geographic area. This percent or $12.6 million, was for the playing field’’ by allowing CDCs more rule enables those small, rural CDCs the cost of the field office staff support that flexibility to choose the optimal area of opportunity to expand their market area reviewed and approved loan operations within their State of by doing projects in more populous applications and conducted marketing incorporation. Currently, each CDC has areas, resulting in their more easily and outreach to generate new loans. The a specific area of operations that is meeting the 504 loan activity level. The cost of the 504 Program to the SBA also approved by SBA. The typical area of result will be that these CDCs will includes the cost of reviewing and operations is several counties within the remain in the program and continue to analyzing CDC requests to expand their CDC’s State of incorporation. If a CDC be available locally to small businesses areas of operations by SBA’s field office wishes to apply to expand into in the rural areas. At the same time, and Headquarters staff. The SBA would neighboring counties, it can only do so those CDCs that currently have expect this cost to decline substantially if those counties are available. A county exclusive areas that include populous as a result of this final rule because it is available to a new CDC or a CDC urban areas resulting in substantial 504 permits all CDCs to operate at least requesting to expand its area of loan activity may seek to expand their throughout their State of incorporation. operations if the CDC(s) that include market areas into the less lucrative rural Other data on costs of the program can that county in its area of operations is areas which will increase awareness of be found at http://www.sba.gov/ not meeting a threshold of one 504 the program overall which may in turn aboutsba/budgetplans.html. Relevant approval per year per 100,000 be beneficial to the small, rural CDCs. information is provided on pages 23–24 population averaged over two years. If Finally, as stated previously, it has of SBA’s Budget Request and the existing CDC is meeting this been SBA’s experience that the more Performance Plan: Congressional threshold of activity, both an applicant CDCs that market the 504 program in a Submission Fiscal Year 2004 and on wishing to become a CDC and a CDC particular area, the higher the 504 loan pages 69–71 of SBA’s Performance and wishing to expand its area of operations volume in that area. SBA believes that Accountability Report Fiscal Year 2002. is barred from including that county in this is due to the additional marketing Regulatory Flexibility Act: This rule their request. This rule eliminates that initiatives by the CDCs which creates an directly affects all CDCs, of which there threshold and permits all CDCs the increased awareness of the 504 Program are approximately 270. SBA has opportunity to operate anywhere in among the local lending community and determined that CDCs fall under the size their State of incorporation. This would improves their willingness to participate standard for NAICS 522298, All Other allow CDCs in less lucrative areas to because they have a choice. SBA
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believes this increased awareness in the None of the applications for an projections, and related information to 504 Program can benefit small and rural expansion would have been necessary support an eligibility determination. CDCs even if they do not have the under this rule. In addition, applicants Analysis of the application is activities resources to increase their own requesting to become CDCs also will be are designed to control and limit the marketing and outreach efforts. SBA permitted to establish their optimal area risk associated with the 504 Program also believes having multiple CDCs in of operations within their State of and SBA’s guaranty, but they do require the area improves the service provided incorporation without being excluded significant SBA resources. SBA by the CDCs, which also makes the 504 from areas that currently have one or estimates the burden of this collection Program more useful to the local more CDCs. The SBA receives one or of information as follows: A PCLP CDC lending communities. As more and two applications to become a CDC per will complete these forms for each PCLP more lenders successfully use the year. The burden hours for an loan it processes. SBA estimates that the program, they discuss it and provide application will be reduced by time needed to complete this collection information about it to other lenders approximately one hour due to the is 45 minutes. SBA estimates that the which increases the impact of the changes in the general membership cost to complete this collection will be marketing efforts of all CDCs serving the requirements that will allow an approximately $20 per hour due to the area. A similar phenomenon occurred in applicant more flexibility in meeting clerical nature of most of the the lending industry. Over the years, this requirement. The SBA believes that completion. Total estimated aggregated lenders participating in SBA’s 7(a) the economic impact of the reduction in burden per annum is estimated to be program have always been willing to paperwork, if any, will be minimal to approximately 700 hours per annum come to lenders’ meetings to describe small entities. costing an aggregated $14,000 per year. their activity with other lenders. They SBA also received comments do this because they recognize that as expressing concern about the B. LLRF Compliance Information more people are aware of the program, enforcement provisions and the The LLRF Compliance form is for the the size of the market will increase, perceived increased authority SBA use of the 26 PCLP CDCs as provided in resulting in more overall loan activity would derive from the provisions. SBA § 120.847(f). The LLRF compliance for the lender. disagrees that the new enforcement information will document the PCLP This rule also permits new CDCs the provisions will result in significant CDC’s meeting of the LLRF deposit opportunity to market in areas that may economic impact. Although SBA had requirements. This will require the produce more 504 loans sooner. This in proposed allowing the use of fees that PCLP CDC to keep track of the face turn should permit the new CDC the CDCs receive to compensate SBA from amount of each PCLP debenture and ability to reach a breakeven point sooner financial losses resulting from improper then determine and record the amount in its operations and continue to meet CDC conduct, the final rule deletes this that must be contributed into its LLRF. the required 504 activity of two 504 provision. SBA also has a history of fair SBA estimates the burden of this approvals per year. Currently it is and evenhanded use of enforcement collection of information one hour per estimated that it takes a CDC at least two authority in all of our lending, PCLP debenture. PCLP debenture years at a cost of $200,000 or more to procurement, grant, and other assistance volume will vary significantly among reach the 504 activity level where the programs. CDCs are protected from participants. We expect that few PCLP 504 fee income covers the CDC’s unfair or biased enforcement of the rules CDCs will issue more than 50 PCLP expenses. Very few of the new CDCs through the notice and appeal debentures annually. That would mean that SBA has certified in recent years procedures in the regulations. an aggregate burden of no more than 50 have been able to remain viable. Accordingly, SBA determines that hours per year. SBA estimates that the Allowing CDCs to market in multiple this rule will not have a significant added cost would be minimal, because areas increases their ability to obtain economic impact on a substantial existing PCLP CDC support staff and customers. number of small entities within the ordinary bank records will cover the To summarize, the expected results of meaning of the Regulatory Flexibility labor costs. At an estimate of $10 per this final rule are that CDCs (and Act, 5 U.S.C. 601–612. hour, the reporting requirements would existing and future 504 loan borrowers) Paperwork Reduction Act: For the not likely exceed $500 per year for any will benefit because small, rural CDCs purposes of the Paperwork Reduction PCLP CDC. that currently struggle to meet the Act, 44 U.S.C. Chapter 35, SBA has SBA created these information volume requirement will be retained, submitted two different reporting collections with the goal of collecting awareness of the 504 program among requirements to OMB for review: (1) the only the necessary information needed lenders will increase, new CDCs will PCLP application and (2) the PCLP Loan to successfully and efficiently operate have a greater opportunity to succeed, Loss Reserve Fund (LLRF) reporting the CDC program with minimal burden and borrowers will have more choice requirements. SBA received no to the public. among CDCs. comments from the public regarding In addition, SBA expects this rule will these two information collections. SBA List of Subjects in 13 CFR Part 120 result in a reduction in the overall makes no changes to either of these Loan Programs—business, Reporting paperwork burden for CDCs since CDCs information collections in this rule. and recordkeeping requirements, Small will no longer have to apply to SBA to business. expand their area of operations within A. Application ■ For the reasons discussed in the their State of incorporation. SBA The PCLP application form is for the preamble, SBA is amending 13 CFR part received and approved approximately use of the 26 PCLP CDCs as provided in 120 as follows: 11 expansion requests during 2002. All § 120.848(d). The application will allow were for CDCs requesting expansions SBA to collect the information it needs PART 120—BUSINESS LOANS into neighboring counties within the from the PCLP in order to extensively CDC’s State of incorporation. The analyze the borrower’s financing ■ 1. The authority citation for part 120 burden hours for a new CDC or a CDC proposal, including information on the continues to read as follows: wishing to expand to complete an borrower’s personal and business Authority: 15 U.S.C. 634(b)(6), 636(a) and application is estimated to be 10 hours. financial statements, cash flow (h), 696(3) and 697(a)(2).
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■ 2. Amend § 120.10 by adding a contiguous to the CDC’s existing Area of (b) SBA will consider the failure to definition of ‘‘SOP’’ to read as follows: Operations (or the applicant’s proposed file a petition before the end of the * * * * * Area of Operations) of its State of probationary period as a withdrawal SOPs are SBA Standard Operating incorporation, and is a part of a local from the 504 program. If the CDC elects Procedures, as issued and revised by trade area that is contiguous to the withdrawal, SBA will direct the CDC to SBA from time to time. CDC’s Area of Operations (or applicant’s transfer all funded and/or approved proposed Area of Operations) of its State loans to another CDC, SBA, or another Subpart A—Policies Applying to All of incorporation. * * * servicer approved by SBA. Business Loans * * * * * (c) The Lead SBA Office will send the petition and its recommendation to the ■ 3. Revise the first sentence of the Priority CDC is a CDC certified to participate on a permanent basis in the AA/FA, who will make the final introductory text of § 120.140 to read as decision. SBA will determine follows: 504 program (see § 120.812) that SBA has approved to participate in an permanent CDC status or an extension § 120.140 What ethical requirements apply expedited 504 loan and Debenture of probation, in part, based upon the to participants? closing process. CDC’s compliance with the certification and operational requirements in Lenders, Intermediaries, and CDCs (in * * * * * §§ 120.820 through 120.830. this section, collectively referred to as ■ 7. Revise § 120.810 to read as follows: ‘‘Participants’’), must act ethically and (d) SBA will notify the CDC in writing exhibit good character. * * * § 120.810 Applications for certification as of its decision, and, if the petition is declined, the reasons for the decision. * * * * * a CDC. (a) An applicant for certification as a ■ 10. Revise § 120.820 to read as follows: Subpart H—Development Company CDC must apply to the SBA District § 120.820 CDC non-profit status and good Loan Program (504) Office serving the jurisdiction in which standing. the applicant has or proposes to locate A CDC must be a non-profit ■ 4. Revise the heading of § 120.800 to its headquarters (see § 101.103 of this read as follows: corporation, except that for-profit CDCs chapter). certified by SBA prior to January 1, 1987 (b) The applicant must apply for an § 120.800 The purpose of the 504 program. may retain their certifications. An SBIC Area of Operations. The applicant’s may not become a CDC. A CDC must be * * * * * proposed Area of Operations must in good standing based upon the ■ 5. Revise the heading of § 120.801 to include the entire State in which the read as follows: following criteria: applicant is incorporated, and may (a) In good standing in the State in § 120.801 How a 504 Project is financed. include Local Economic Areas. An which the CDC is incorporated and any applicant may not apply to cover an * * * * * other State in which the CDC conducts ■ 6. Amend § 120.802 by removing the area as a Multi-State CDC. business. (c) The applicant must demonstrate definition of ‘‘Associate Development (b) In compliance with all laws, that it satisfies the CDC certification and Company’’; revising the definition of including taxation requirements, in the operational requirements in §§ 120.820, ‘‘Area of Operations’’; adding definitions State in which the CDC is incorporated and 120.822 through 120.824. The of ‘‘Designated Attorney’’, ‘‘Lead SBA and any other State in which the CDC applicant also must include an Office’’, and ‘‘Priority CDC’’; and conducts business. operating budget, approved by the revising the first sentence of the ■ 11. Revise § 120.821 to read as follows: applicant’s Board of Directors, which definition of ‘‘Local Economic Area’’, to demonstrates the required financial read as follows: § 120.821 CDC Area of Operations. ability (as described in § 120.825), and A CDC must operate only within its § 120.802 Definitions. a plan to meet CDC operational designated Area of Operations approved * * * * * requirements (without specializing in a by SBA except as provided in § 120.839. Area of Operations is the geographic particular industry) in §§ 120.821, and ■ 12. Revise § 120.822 to read as follows: area where SBA has approved a CDC’s 120.826 through 120.830. request to provide 504 program services (d) The District Office will forward § 120.822 CDC membership. the application and its recommendation to small businesses on a permanent (a) CDC Membership. A CDC must to the AA/FA, who will make the final basis. The minimum Area of Operations have at least 25 members (or decision. SBA will notify the CDC in is the State in which the CDC is stockholders for for-profit CDCs writing of its decision, and, if the incorporated. approved prior to January 1, 1987). The petition is declined, the reasons for the * * * * * CDC membership must meet annually. decision. Designated Attorney is the CDC No person or entity can own or control closing attorney that SBA has approved § 120.811 [Removed] more than 10 percent of the CDC’s to close loans under an expedited ■ 8. Remove § 120.811. voting membership (or stock). No closing process for a Priority CDC. employee or staff of the CDC can qualify ■ 9. Revise § 120.812 to read as follows: * * * * * as a member of the CDC for the purpose Lead SBA Office is the SBA District § 120.812 Probationary period for newly of meeting the membership Office designated by SBA as the primary certified CDCs. requirements. The CDC membership liaison between SBA and a CDC and (a) Newly certified CDCs will be on must include representatives from all with responsibility for managing SBA’s probation for a period of two years from the groups listed in paragraph (b) of this relationship with that CDC. the date of certification, at the end of section. Local Economic Area is an area, as which the CDC must petition the Lead (b) Membership groups. Members determined by SBA, that is in a State SBA Office for: must be responsible for actively other than the State in which an existing (1) Permanent CDC status; or supporting economic development in CDC (or an applicant applying to (2) A single, one-year extension of the Area of Operations and must be become a CDC) is incorporated, is probation. from one of the following groups:
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(1) Government organizations employed directly by the CDC; and has ■ 19. Revise paragraphs (a) and (b) of, responsible for economic development contracted with another CDC located in and add a new paragraph (g) to § 120.830 in the Area of Operations; the same general area to provide the to read as follows: (2) Financial institutions that provide management. § 120.830 Reports a CDC must submit. commercial long term fixed asset * * * * * * * * * * financing in the Area of Operations; ■ 15. Revise § 120.826 to read as follows: (3) Community organizations (a) An annual report within 180 days dedicated to economic development in § 120.826 Basic requirements for after the end of the CDC’s fiscal year (to the Area of Operations such as operating a CDC. include financial statements of the CDC chambers of commerce, foundations, A CDC must operate in accordance and any affiliates or subsidiaries of the trade associations, colleges, universities, with all 504 program requirements CDC), and such interim reports as SBA or small business development centers imposed by statute, regulation, SOPs, may require; (b) For each new associate and staff, (as defined in section 21(a)(1) of the Act, SBA policy and procedural notices, loan a Statement of Personal History (for use 15 U.S.C. 648(a)(1)); and authorizations, Debentures, and by non-bank lenders and CDCs) and (4) Businesses in the Area of agreements between the CDC and SBA. other information required by SBA; Operations. In its Area of Operations, a CDC must (c) A CDC that is incorporated in one market the 504 program, package and * * * * * State and is operating as a Multi-State process 504 loan applications, close and (g) Other reports as required by SBA. CDC in another State must meet the service 504 loans, and if authorized by ■ 20. Revise § 120.835 to read as follows: membership requirements for each SBA, liquidate and litigate 504 loans. It § 120.835 Application to expand an Area of State. must supply to SBA current and Operations. ■ 13. Amend § 120.823 by revising accurate information about all (a) General. A CDC that has been paragraph (b) to read as follows: certification and operational certified to participate in the 504 requirements, and maintain the records § 120.823 CDC Board of Directors. program may apply to expand its Area and submit the reports required by SBA. of Operations if it meets all * * * * * ■ 16. Revise § 120.827 to read as follows: (b) If a CDC is incorporated in one requirements to be an Accredited Lender Program (ALP) CDC, as set forth State and is approved as a Multi-State § 120.827 Other services a CDC may in § 120.840(c), and demonstrates that it CDC to operate in another State, the provide to small businesses. can competently fulfill its 504 program CDC must have a Loan Committee for A CDC may provide a small business responsibilities in the proposed area. each State. with assistance unrelated to the 504 (b) Local Economic Area Expansion. ■ 14. Amend § 120.824 by revising the loan program as long as the CDC does A CDC seeking to expand its Area of third sentence in the introductory text not make such assistance a condition of Operations into a Local Economic Area and paragraph (a) to read as follows: the CDC accepting from that small must apply in writing to the Lead SBA business an application for a 504 loan. § 120.824 Professional management and Office. staff. An example of other services a CDC may (c) Multi-State CDC Expansion. A provide is assisting a small business in * * * CDCs may obtain, under CDC seeking to become a Multi-State applying for a 7(a) loan (as described in CDC must apply to the SBA District written contract, management, § 120.2). A CDC is subject to part 103 of marketing, packaging, processing, Office that services the area within each this chapter when providing such State where the CDC intends to locate closing, servicing or liquidation services assistance. provided by qualified individuals and its principal office for that State. A CDC ■ entities under the following 17. Revise § 120.828 to read as follows: may apply to be a Multi-State CDC only circumstances: if: § 120.828 Minimum level of 504 loan (1) The State the CDC seeks to expand (a) The CDC must have at least one activity and restrictions on portfolio salaried professional employee that is concentrations. into is contiguous to the State of the employed directly (not a contractor or CDC’s incorporation; (a) A CDC is required to receive SBA (2) The CDC demonstrates that its an Associate of a contractor) full-time to approval of at least four 504 loan membership meets the requirements in manage the CDC. The CDC manager approvals during two consecutive fiscal § 120.822 separately for its State of must be hired by the CDC’s board of years. incorporation and for each additional directors and subject to termination (b) A CDC’s 504 loan portfolio must State in which it seeks to operate as a only by the board. A CDC may petition be diversified by business sector. ■ Multi-State CDC; and SBA to waive the requirement of the 18. Amend § 120.829 by revising (3) The CDC has a loan committee manager being employed directly if: paragraph (a) to read as follows: meeting the requirements of § 120.823. (1) Another non-profit entity that has the economic development of the CDC’s § 120.829 Job Opportunity average a CDC § 120.836 [Removed] must maintain. Area of Operations as one of its ■ 21. Remove § 120.836. principal activities will contribute the (a) A CDC’s portfolio must maintain a ■ 22. Amend § 120.837 by revising management of the CDC, and the minimum average of one Job paragraph (b) and adding a new management contributed by the other Opportunity per an amount of 504 loan paragraph (c) to read as follows: entity also may work on and operate funding that will be specified by SBA that entity’s economic development from time to time in a Federal Register § 120.837 SBA decision on application to programs, but must be available to small notice. Such Job Opportunity average become a new CDC or for an existing CDC businesses interested in the 504 remains in effect until changed by to expand its Area of Operations program and to 504 loan borrowers subsequent Federal Register * * * * * during regular business hours; or publication. A CDC is permitted two (b) SBA will notify the CDC of its (2) The CDC petitioning SBA for such years from its certification date to meet decision in writing, and if the waiver is rural; has insufficient loan this average. application is denied, the reasons for its volume to justify having management * * * * * decision.
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(c) If a CDC is approved to operate as ALP CDC for a two-year period. SBA portfolio benchmarks, when a Multi-State CDC, the CDC’s ALP, may renew the designation for determining the CDC’s record of PCLP, or Priority CDC authority will additional two-year periods if the CDC compliance, including: carry over into every additional State in continues to meet the ALP program (1) Submission of satisfactory 504 which it is approved to operate as a eligibility requirements. loan analyses and applications, and all Multi-State CDC. (f) SBA approval or decline decision. required, and properly completed, loan SBA will notify the CDC in writing of documents. § 120.838 [Removed] an approval or decline of either an ALP (2) Careful and thorough analysis and ■ 23. Remove § 120.838. application or of an ALP renewal. If the screening of all 504 loan applications ■ 24. Revise § 120.839 to read as follows: SBA approves the CDC’s application, for conformance with SBA credit and the ALP CDC may exercise its ALP eligibility standards; § 120.839 Case-by-case application to authority in its entire Area of (3) Proper completion of required 504 make a 504 loan outside of a CDC’s Area Operations. If an application or renewal loan closing documents and compliance of Operations. is declined, SBA will notify the CDC of with SBA 504 loan closing policies and A CDC may apply to make a 504 loan the reasons for the decision. procedures. for a Project outside its Area of ■ 26. Add a new § 120.841 to read as (4) Compliance with SBA loan Operations to the District Office serving follows: servicing policies and procedures. the area in which the Project will be § 120.841 Qualifications for the ALP. (5) Compliance with the certification located. The applicant CDC must and operational requirements as set An applicant for ALP status must demonstrate that it can adequately forth in §§ 120.820 through 120.830. show that it substantially meets the fulfill its 504 program responsibilities (6) Submission of timely, complete following criteria: for the 504 loan, including proper and acceptable annual reports. servicing. The District Office may (a) CDC staff experience. The CDC’s staff must have well-trained, qualified (7) Compliance with CDC ethical approve the application if: requirements (see § 120.851). (a) The applicant CDC has previously loan officers who are knowledgeable (e) Priority CDC. The CDC must be a assisted the business to obtain a 504 concerning SBA’s lending policies and Priority CDC with a Designated Attorney loan; or procedures for the 504 program. The and SBA required insurance. (b) The existing CDC or CDCs serving CDC must have at least one loan officer (f) Record of Cooperation. The CDC the area agree to permit the applicant with three years of 504 loan processing must have a record of effective CDC to make the 504 loan; or experience and at least one loan officer (c) There is no CDC within the Area with three years of 504 servicing communication and a cooperative of Operations. experience or two years experience plus relationship with all SBA offices including district offices and SBA’s loan ■ 25. Revise § 120.840 to read as follows: satisfactory completion of SBA- approved processing and servicing processing and servicing centers. § 120.840 Accredited Lenders Program training. The same loan officer may ■ 27. Revise § 120.845 to read as follows: (ALP). meet these qualifications. In addition, § 120.845 Premier Certified Lenders (a) General. Under the ALP program, the CDC’s staff must have demonstrated Program (PCLP). SBA designates qualified CDCs as ALP satisfactorily to SBA the ability to CDCs, gives them increased authority to process and service 504 loans. (a) General. Under the PCLP, SBA process, close, and service 504 loans, (b) Number of 504 loans approved designates qualified CDCs as PCLP and provides expedited processing of and size of portfolio. SBA must have CDCs and delegates to them increased loan approval and servicing actions. approved at least 20 504 loan authority to process, close, service, and (b) Application. A CDC must apply for applications by the CDC in the most liquidate 504 loans. SBA also may give ALP status to the Lead SBA Office. The recent three years, and the CDC must PCLP CDCs increased authority to Lead SBA Office will send its have a portfolio of at least 30 active 504 litigate 504 loans. recommendation and the application to loans. (An ‘‘active’’ 504 loan is a loan (b) Application. A CDC must apply for the AA/FA for final decision. that was approved and closed by the PCLP status to the Lead SBA Office. The (c) Eligibility. In order for a CDC to be CDC and has a status of either current, Lead SBA Office will send its written eligible to receive ALP status, its delinquent, or in liquidation.) recommendation and the application to application must show that it meets the (c) Current reviews in compliance. SBA’s PCLP Loan Processing Center, criteria set forth in § 120.841. SBA-conducted oversight reviews must which will review these materials and (d) Additional application be current (within past 12 months) for forward them with a recommendation to requirements. The CDC’s application applicants for ALP status, and these the AA/FA for final decision. must include the following: reviews must have found the CDC to be (c) Eligibility. In order for a CDC to be (1) Certified copy of the CDC’s Board in compliance with 504 program eligible to receive PCLP status, its of Directors’ resolution authorizing the requirements imposed by statute, application must show that it meets the application for ALP status. regulation, SOPs, policy and procedural following criteria: (2) Summary of the experience of each notices, loan authorizations, (1) The CDC must be an ALP CDC in of the CDC’s loan processing, closing, Debentures, and agreements between substantial compliance with 504 and servicing staff members with the CDC and SBA. program requirements imposed by significant authority. (d) Record of compliance with 504 statute, regulation, SOP, policy and (3) Name, address, and summary of program requirements. The CDC must procedural notices, Debentures, loan experience of Designated Attorney. have a record of conforming to SBA’s authorizations, and any agreement (4) Documentation of any SBA policies and procedures and of between SBA and the CDC or meet the required insurance. satisfactorily underwriting, closing and criteria to be an ALP CDC set forth in (5) Any other documentation required servicing 504 loans. SBA will consider § 120.841(a) through (h). by SBA. all relevant material information, which (2) The CDC can adequately comply (e) Term of ALP designation. SBA will include but is not limited to with SBA liquidation and litigation generally will designate a CDC as an whether the CDC meets all SBA’s CDC requirements.
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(d) Additional application § 120.847 Requirements for the Loan Loss not an investment account and must not requirements. The application must Reserve Fund (LLRF). contain securities or other investment include the following: (a) General. PCLP CDCs must properties. A deposit account may (1) Certified copy of the CDC’s Board establish and maintain a LLRF (or contain only cash and CDs credited to of Directors’ resolution authorizing the multiple accounts which together that account. A PCLP CDC may pool its application for PCLP status. constitute one LLRF) which complies deposits for multiple PCLP Debentures (2) Summary of the experience of each with paragraphs (b) through (g) of this in a single account in one institution. of the CDC’s loan processing, closing, section. A PCLP CDC must use the LLRF The LLRF must be segregated from the servicing and liquidation staff members or other funds to reimburse the SBA for PCLP CDC’s other operating accounts. 10 percent of any loss sustained by SBA with significant authority. The PCLP CDC is responsible for all as a result of a default in the payment fees, costs and expenses incurred in (3) Name, address and summary of of principal or interest on a Debenture connection with establishing, managing experience of Designated Attorney. it issued under the PCLP (‘‘PCLP and maintaining the LLRF, including (4) Documentation of any SBA Debenture’’). A CDC that is participating fees associated with transferring funds required insurance. in the PCLP as of January 1, 2004, and or early withdrawal of CDs, and related (5) Any other documentation required a CDC that has participated in the PCLP income tax expenses. by SBA. in the past but which does not have (d) Creating and perfecting a security (e) Term of designation. If approved, PCLP status as of that date, must interest in a LLRF. A PCLP CDC must SBA generally will confer PCLP status establish a LLRF within 30 days of that give SBA a first priority, perfected for a period of two years. However, if date to cover potential losses for all 504 security interest in the LLRF to secure SBA deems it appropriate, it may confer loans made in connection with PCLP the PCLP CDC’s obligation to reimburse PCLP status for a period of less than two Debentures that remain outstanding as SBA for the PCLP CDC’s Exposure years. of that date. A CDC that receives PCLP under all of its outstanding PCLP (f) Area of Operations for PCLP CDCs. status after that date must establish and Debentures. (If a PCLP CDC’s LLRF is If the SBA approves the CDC’s maintain a LLRF prior to closing any comprised of multiple deposit accounts, application, the PCLP CDC may exercise 504 loans processed under its PCLP it must give SBA this security interest its PCLP authority in its entire Area of status. The LLRF is the accumulation of with respect to each such account.) The Operations. deposits that a PCLP CDC must establish PCLP CDC must grant to SBA the and maintain for each PCLP Debenture security interest in the LLRF pursuant to (g) SBA approval or decline decision. that it issues. PCLP CDCs must a security agreement between the PCLP SBA will notify the CDC in writing of coordinate with their Lead SBA Office CDC and SBA, and a control agreement an approval or decline of a PCLP to ensure that the LLRF is properly between the PCLP CDC, SBA, and the application. If an application is established, that all necessary applicable depository institution. The declined, SBA will notify the CDC of the documentation is executed and control agreement must include reasons for the decision. delivered by all parties in a timely provisions requiring the depository ■ 27a. Add §§ 120.846 through 120.848 fashion, and that all required deposits institution to follow SBA instructions to read as follows: are made. regarding withdrawal from the account (b) PCLP CDC Exposure and LLRF without a requirement for obtaining § 120.846 Requirements for maintaining deposit requirements. A PCLP CDC’s and renewing PCLP status. further consent from the PCLP CDC, and ‘‘Exposure’’ is defined as its must restrict the PCLP CDC’s ability to (a) To maintain its status as a PCLP reimbursement obligation to SBA with make withdrawals from the account CDC, a CDC must continue to: respect to default in the payment of any without SBA consent. When (1) Meet the PCLP eligibility PCLP Debenture. The amount of a PCLP establishing the LLRF, a PCLP CDC requirements in § 120.845 . CDC’s Exposure is 10 percent of any loss must coordinate with its Lead SBA (2) Timely conform with all (including attorney’s fees; litigation Office to execute and deliver the requirements and deadlines set forth in costs; and care of collateral, appraisal required documentation. The PCLP CDC SBA’s regulations and policy and and other liquidation costs and must provide to the Lead SBA Office a procedural guidance concerning expenses) sustained by SBA as a result fully executed original of the security properly establishing, funding and of a default in the payment of principal and control agreements. All documents reporting a PCLP Loan Loss Reserve or interest on a PCLP Debenture. For must be satisfactory to SBA in both form Fund (LLRF). each PCLP Debenture a PCLP CDC and substance. (3) Substantially comply with all 504 issues, it must establish and maintain an (e) Schedule for contributions to a program requirements imposed by LLRF equal to one percent of the LLRF. The PCLP CDC must contribute to statute, regulation, SOPs, policy and original principal amount (the face the LLRF the required deposits for each amount) of the PCLP Debenture. The procedural notices, loan authorizations, PCLP Debenture in accordance with the amount the PCLP CDC must maintain in Debentures, and agreements between following schedule: the LLRF for each PCLP Debenture the CDC and SBA. (1) At least 50 percent of the required remains the same even as the principal deposits to the LLRF on or about the (4) Remain an active CDC. balance of the PCLP Debenture is paid date that it issues the PCLP Debenture. (5) In accordance with statutory down over time. (2) At least an additional 25 percent requirements set forth in section 508(i) (c) Establishing a LLRF. The LLRF of the required deposits to the LLRF no of Title V, 15 U.S.C. 697e(i), establish a must be a deposit account (or accounts) later than one year after it issues the goal of processing at least 50 percent of with a federally insured depository PCLP Debenture. its 504 loans using PCLP procedures. institution selected by the PCLP CDC. A (3) Any remainder of the required (b) SBA will notify the PCLP CDC in ‘‘deposit account’’ is a demand, time, deposits to the LLRF no later than two writing of a renewal or non-renewal of savings, or passbook account, including years after it issues the PCLP Debenture. PCLP status. If PCLP status is not a certificate of deposit (CD) which is (f) LLRF reporting requirements. Each renewed, SBA will notify the CDC of the either uncertificated or, if certificated, PCLP CDC must periodically report to reasons for the decision. non-transferable. A ‘‘deposit account’’ is SBA the amount in the LLRF in a form
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that will readily facilitate reconciliation obligation within 30 days after SBA’s (d) Submission of loan documents. A of the amount maintained in the LLRF notification to the PCLP CDC’s of its PCLP CDC must notify SBA of its with the amount required to meet a reimbursement obligation, SBA may approval of a 504 loan by submitting to PCLP CDC’s Exposure for its entire cause funds in the LLRF to be SBA’s PCLP Loan Processing Center all portfolio of PCLP Debentures. transferred to SBA in order to cover the documentation required by SBA, (g) Withdrawal of excess funds. PCLP CDC’s Exposure, unless the PCLP including SBA’s PCLP eligibility Interest and other funds in the LLRF CDC has filed an appeal under checklist, signed by an authorized that exceed the required minimums as paragraph (h)(2) of this section. If the representative of the PCLP CDC. The set forth in paragraph (b) of this section, PCLP CDC has filed such an appeal, PCLP Loan Processing Center will within the time frames set forth in SBA may cause such a transfer of funds review these documents to determine paragraph (e) of this section, accrue to to SBA 30 days after the AA/FA’s or his whether the PCLP CDC has identified the benefit of the PCLP CDC. PCLP or her delegate’s decision. If the LLRF any problems with the PCLP Loan CDCs are authorized to withdraw excess does not contain sufficient funds to approval, and whether SBA funds are funds, including interest, from the LLRF reimburse SBA for any unpaid Exposure available for the PCLP Loan. If if such funds exceed the required with respect to any PCLP Debenture, the appropriate, the PCLP Processing Center minimums set forth in paragraph (b) of PCLP CDC must pay SBA the difference will notify the PCLP CDC of the loan this section. The PCLP CDC must within 30 days after demand for number assigned to the loan. forward requests for withdrawals to the payment by SBA. (e) Loan and Debenture closing. After Lead SBA Office, which will verify the (j) Insufficient funding of LLRF. A receiving notification from SBA PCLP existence and amount of excess funds PCLP CDC must diligently monitor the Loan Processing Center, the PCLP CDC and notify the financial institution to LLRF to ensure that it contains is responsible for properly undertaking transfer the excess funds to the PCLP sufficient funds to cover its Exposure for all actions necessary to close the PCLP CDC. its entire portfolio of PCLP Debentures. Loan and Debenture in accordance with (h) Determining SBA loss. When a If, at any time, the LLRF does not the expedited loan closing procedures PCLP CDC has concluded the contain sufficient funds, the PCLP CDC applicable to a Priority CDC and with liquidation of a defaulted 504 loan made must, within 30 days of the earlier of the § 120.960. with the proceeds of a PCLP Debenture date it becomes aware of this deficiency (f) Servicing, liquidation and litigation and has submitted a liquidation wrap- responsibilities. The PCLP CDC up report to SBA, or when SBA or the date it receives notification from SBA of this deficiency, make additional generally must service, liquidate and otherwise determines that the PCLP litigate its entire portfolio of PCLP CDC has exhausted all reasonable contributions to the LLRF to make up this difference. Loans, although SBA may in certain collection efforts with respect to that circumstances elect to handle such 504 loan, SBA will determine the § 120.848 Requirements for 504 loan duties with respect to a particular PCLP amount of the loss to SBA. SBA will processing, closing, servicing, liquidating, Loan or Loans. notify the PCLP CDC of the amount of and litigating by PCLP CDCs. (g) Making a 504 loan previously its reimbursement obligation to SBA (if (a) General. In processing, closing, considered by another CDC. A PCLP any) and will explain how SBA servicing, liquidating and litigating 504 CDC also may utilize its PCLP status to calculated the loss. loans under the PCLP (‘‘PCLP Loans’’), process a 504 loan application from an (1) If the PCLP CDC agrees with SBA’s the PCLP CDC must comply with 504 applicant whose application was calculations of the loss, it must program requirements imposed by declined or rejected by another CDC reimburse SBA for ten percent of the statute, regulation, SOPs, policy and operating in that same Area of amount of that loss no later than 30 days procedural notices, loan authorizations, Operations, if the applicant is located after SBA’s notification to the PCLP Debentures, and agreements between within that area and as long as SBA has CDC of the CDC’s reimbursement the CDC and SBA and in accordance not previously declined that applicant’s obligation. with prudent and commercially 504 loan application. This may include (2) If the PCLP CDC disputes SBA’s the processing of a 504 loan application calculations, it must reimburse SBA for reasonable lending standards. (b) Documentation of decision from an applicant that has withdrawn ten percent of any loss amount that is its application from another CDC. not in dispute no later than 30 days after making. For each PCLP Loan, the PCLP ■ 28. Revise § 120.850 to read as follows: SBA’s notification to the PCLP CDC of CDC must document in its files the basis the CDC’s reimbursement obligation. No for its decisions with respect to loan § 120.850 Expiration of Associate later than 30 days after SBA’s processing, closing, servicing, Development Company designation. notification, the PCLP CDC may submit liquidating, and litigating. The designation of Associate to the AA/FA or his or her delegate a (c) Processing requirements. SBA Development Company (ADC) will written appeal of any disagreement expects PCLP CDCs to handle most 504 cease to exist on January 1, 2004. After regarding the calculation of SBA’s loss. loan processing situations, although that date, former ADCs may continue to The PCLP CDC must include with that SBA may require that the PCLP CDC contract with CDCs as Lender Service appeal an explanation of its reasons for process 504 loans involving complex or Providers (see part 103 of this chapter) the disagreement. Upon the AA/FA’s problematic eligibility issues through or to perform other services. final decision as to the disputed amount the SBA using standard 504 loan ■ 29. Add a new undesignated center of the loss, the PCLP CDC must processing procedures. The PCLP CDC heading before § 120.851 to read as promptly reimburse SBA for ten percent is responsible for properly determining follows: of that amount. borrower creditworthiness and (i) Reimbursing SBA for loss. A PCLP establishing the terms and conditions Other CDC Requirements CDC may use funds in the LLRF or other under which the PCLP Loan will be ■ 30. Revise § 120.851 to read as follows: funds to reimburse SBA for the PCLP made. The PCLP CDC also is responsible CDC’s Exposure on a defaulted PCLP for properly undertaking such other § 120.851 CDC ethical requirements. Debenture. If a PCLP CDC does not processing actions as SBA may delegate CDCs and their Associates must act satisfy the entire reimbursement to the PCLP CDC. ethically and exhibit good character.
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They must meet all of the ethical § 120.854 Grounds for taking enforcement conduct. The prior notice must also requirements of § 120.140. In addition, action against a CDC. state that the CDC’s actions could give they are subject to the following: (a) General. The AA/FA or his or her rise to a specified enforcement action, (a) Any benefit flowing to a CDC’s authorized delegate may undertake one and provide the CDC with a reasonable Associate or his or her employer from or more of the enforcement actions set time to cure the deficiency before any activities as an Associate must be forth in §§ 120.855(a) and (b) with further action is taken. merely incidental (this requirement respect to a CDC, based upon a (b) ALP CDCs. The AA/FA or his or does not prevent an Associate or an determination that one or more of the her authorized delegate may undertake Associate’s employer from providing following grounds exist: one of the enforcement actions set forth interim financing as described in (1) The CDC has failed to receive SBA in § 120.855(c) with respect to a CDC, § 120.890 or Third Party Loans as approval for at least four 504 loans based upon a determination that one or described in § 120.920, as long as such during two consecutive fiscal years; more of the following grounds exist: activity does not violate § 120.140); and (2) The CDC has failed to comply (1) The CDC has not continued to materially with any requirement meet the criteria for eligibility under (b) A CDC’s Associate may not be an imposed by statute, regulation, SOP, section 507(b) of Title V, 15 U.S.C. officer, director, or manager of more policy and procedural notice, any 697d. than one CDC. agreement the CDC has executed with (2) The CDC has failed to adhere to ■ 31. Revise § 120.852 to read as follows: SBA, or the terms of a Debenture or loan the SBA’s rules and regulations or is authorization. violating any other applicable provision § 120.852 Restrictions regarding CDC (3) The CDC has made a material false of law. participation in the Small Business statement or has failed to disclose a (c) PCLP CDCs. The AA/FA or his or Investment Company (SBIC) program and her authorized delegate may undertake the 7(a) loan program. material fact to SBA: (i) With respect to a 504 loan; one of the enforcement actions set forth (a) 7(a) loan program. A CDC must (ii) In applying to SBA for authority in § 120.855(d) with respect to a CDC, not invest in or be an Affiliate of a to participate in the 504 program or for based upon a determination that one or Lender participating in the 7(a) loan any change in the CDC’s participation in more of the following grounds exist: program described in § 120.2(a). (For a the 504 program; or (1) The CDC has not continued to definition of Affiliation, refer to (iii) In any report or other disclosure meet the criteria for eligibility under § 121.103 of this chapter.) CDCs that of information that SBA requires. section 508(b) of Title V, 15 U.S.C. 697e. already are affiliated with state (4) The CDC is not performing (2) The CDC has not established or development companies approved by underwriting, closing, servicing, maintained the loss reserve required SBA under section 501 of Title V, as of liquidation, litigation, or other actions under this paragraph (c). November 6, 2003 may remain with respect to 504 loans in a (3) The CDC has failed to adhere to Affiliates. commercially reasonable or prudent the SBA’s rules and regulations. (4) The CDC is violating any other (b) SBIC program. A CDC must not manner. Supporting evidence of a CDC’s applicable provision of law. directly or indirectly invest in a commercially unreasonable or Licensee (as defined in § 107.50 of this imprudent action may include, but is § 120.855 Types of enforcement actions. chapter) licensed by SBA under the not limited to, failure to meet one or (a) Enforcement. Upon a SBIC program authorized in Part A of more of the portfolio benchmarks. determination that one or more of the (5) The CDC fails to correct an Title III of the Small Business grounds set forth in § 120.854(a) exist, underwriting, closing, servicing, Investment Act, 15 U.S.C. 681 et seq. A the AA/FA or his or her authorized liquidation, litigation, or reporting CDC that has an SBA-approved delegate may undertake, in SBA’s sole deficiency, or fails to take other investment in a Licensee as of discretion, one or more of the following corrective action, after receiving notice November 6, 2003 may retain such enforcement actions: investment. from SBA of a deficiency and the need (1) Suspend or terminate the CDC’s to take corrective action, if any, within ■ 32. Redesignate § 120.973 as § 120.853 authority to participate in the 504 the time period specified in SBA’s program or in any pilot or program and revise redesignated § 120.853 to read notice of deficiency. Such a notice must as follows: within the 504 program established by give the CDC a reasonable time, as SBA other than a CDC’s authority to § 120.853 Oversight and evaluation of determined by SBA in its sole participate as an ALP CDC or PCLP CDCs. discretion, to correct the deficiency. CDC, which are governed by paragraphs (6) The CDC has engaged in a pattern SBA may conduct an operational (c) and (d) of this section. of uncooperative behavior or taken an (2) Suspend or terminate the CDC’s review of a CDC. The SBA Office of action that SBA determines is Inspector General may also conduct, authority to perform underwriting, deleterious to the 504 program, that closing, servicing, liquidation, or supervise or coordinate audits pursuant undermines SBA’s management and to the Inspector General Act. The CDC litigation on one or more 504 loans or administration of the 504 program, or to perform any other function in must cooperate and make its staff, that is not consistent with standards of records, and facilities available. connection with the 504 program. good conduct. Prior to issuing a notice (3) Require the CDC to transfer some ■ 33. Add a new undesignated center of a proposed enforcement action or or all of its existing 504 loan portfolio heading immediately preceding new immediate suspension under and/or some or all of its pending 504 § 120.853 to read as follows: § 120.855(a) or § 120.855(b) based upon loan applications to SBA, another CDC, this paragraph, SBA must send prior SBA Oversight or any other entity designated by SBA. written notice to the CDC explaining Any such transfer may be on a § 120.855 [Removed] why the CDC’s actions were temporary or permanent basis, in SBA’s uncooperative, deleterious to the ■ sole discretion. 34. Remove § 120.855. program, undermined SBA’s (4) Instruct the CSA to withhold ■ 35. Add §§ 120.854 through 120.856 to management of the program, or were not payment of servicing, late and/or other read as follows: consistent with standards of good fee(s) to the CDC.
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(b) Immediate suspension. If SBA determines that there are compelling consider such information in its final determines that one or more grounds set reasons not to provide such information. decision. forth in § 120.854(a) exist and further If compelling reasons exist, SBA will (c) SBA’s decision on CDC’s objection determines that immediate action is provide a summary of the information it to proposed action. (1) If the affected necessary to prevent the risk of received to the CDC. CDC files a timely written objection to significant loss to SBA or to prevent (b) CDC’s opportunity to object. (1) A a proposed enforcement action, the AA/ significant impairment of the integrity CDC that desires to contest a proposed FA or his or her authorized delegate of the 504 program, the AA/FA may enforcement action or an immediate must issue a written notice of decision issue a written notice of immediate suspension must file, within 30 to the affected CDC advising whether suspension to a CDC, suspending all or calendar days of its receipt of the notice SBA is undertaking the proposed certain activities of a CDC pertaining to or within some other term established enforcement action setting forth the the 504 program, and such suspension by SBA in its notice, a written objection grounds for the decision. SBA will issue will be effective as of the date of the with the AA/FA or other SBA official such a notice of decision whenever it notice. SBA may combine a notice of identified in the notice. Notice will be deems appropriate. immediate suspension with any presumed to have been received within (2) If the affected CDC files a timely enforcement action set forth in five days of the date of the notice unless written objection to a notice of paragraphs (a), (c) or (d) of this section. the CDC can provide compelling immediate suspension, the AA/FA or (c) Suspension or termination of ALP evidence to the contrary. his or her authorized delegate must CDC. Upon a determination that one or (2) The objection must set forth in issue a written notice of final decision more of the grounds set forth in detail all grounds known to the CDC to to the affected CDC within 90 days of § 120.854(b) exist, the AA/FA or his or contest the proposed action or receiving the CDC’s objection advising her authorized delegate may, in SBA’s immediate suspension and all whether SBA is continuing with the sole discretion, suspend or terminate a mitigating factors, and must include immediate suspension. If the CDC CDC’s authority to participate as an ALP documentation that the CDC believes is submits additional information to SBA CDC. most supportive of its objection. A CDC after submitting its objection pursuant (d) Suspension or termination of PCLP must exhaust this administrative to § 120.856(b)(5), SBA must issue its CDC. Upon a determination that one or remedy in order to preserve its objection final decision within 90 days of more of the grounds set forth in to a proposed enforcement action or an receiving such information. § 120.854(c) exist, the AA/FA or his or immediate suspension. (3) Prior to issuing a notice of her authorized delegate may, in SBA’s (3) If a CDC can show legitimate decision, SBA in its sole discretion can sole discretion, suspend or terminate a reasons why it does not understand the request additional information from the CDC’s authority to participate as a PCLP reasons given by SBA in its notice of the affected CDC or other parties and CDC. action, the CDC may request conduct any other investigation it (e) Term of suspension. Any clarification from the Agency. SBA will deems appropriate. If SBA determines, suspension issued under this section provide the requested clarification in in its sole discretion, to consider an will be for a term determined by SBA writing to the CDC or notify the CDC in untimely objection, it must issue a in its sole discretion. writing that such clarification is not notice of decision pursuant to this necessary. SBA, in its sole discretion, paragraph. § 120.856 Enforcement procedures. will further advise in writing whether (d) SBA’s notice of final agency (a) SBA’s notice to CDC of the CDC may have additional time to decision. If SBA chooses not to consider enforcement action. (1) Prior to present its objection to the notice. an untimely objection or if the affected undertaking an enforcement action set (4) A CDC may request additional CDC fails to file a written objection to forth in § 120.855(a), (c) or (d) the AA/ time to respond to SBA’s notice if it can a proposed enforcement action or an FA or his or her authorized delegate show that there are compelling reasons immediate suspension, and if SBA must issue a written notice to the why it is not able to respond within the continues to believe that such proposed affected CDC identifying the proposed 30-day timeframe or timeframe given by enforcement action or immediate enforcement action, setting forth in the notice for response. If such a request suspension is appropriate, the AA/FA or reasonable detail the underlying facts is submitted to the Agency, SBA may, his or her authorized delegate must and reasons for the proposed action and, in its sole discretion, provide the CDC issue a written notice of decision to the if a suspension also is proposed, stating with additional time to respond to the affected CDC that SBA is undertaking the term of the proposed suspension. notice of proposed action or immediate one or more of the proposed (2) If the AA/FA or his or her suspension. enforcement actions against the CDC or authorized delegate undertakes an (5) Prior to the issuance of a final that SBA will continue to pursue an immediate suspension pursuant to decision by SBA under § 120.856(c), if immediate suspension of the CDC. Such § 120.855(b), he or she must issue a a CDC can show that there is newly a notice of decision need not state any written notice to the affected CDC discovered material evidence which, grounds for the action other than to identifying the scope and term of the despite the CDC’s exercise of due reference the CDC’s failure to file a suspension, and setting forth in diligence, could not have been timely objection, and represents the reasonable detail the underlying facts discovered within the timeframe given final agency decision. If the affected and reasons for the proposed action. by SBA to respond to a notice, or that CDC fails to file a written objection to (3) If a proposed enforcement action there are compelling reasons beyond the an immediate suspension, SBA need not or immediate suspension is based upon CDC’s control why it was not able to issue any further notice to the CDC. information obtained from a party other present a material fact or argument to (e) Appeal to OHA. (1) A CDC may than the CDC or SBA, SBA’s notice of the AA/FA or other deciding SBA appeal from an SBA notice of decision proposed action or immediate official in its objection, and that the issued pursuant to paragraph (c) of this suspension will provide copies of CDC has been prejudiced by not being section to the SBA Office of Hearings documentation received from such third able to present such information, the and Appeals (OHA). The rules and party, or the name of the third party in CDC may submit such information to procedures set forth in part 134 of this case of oral information, unless SBA SBA and request that the Agency chapter will govern such appeals.
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(2) OHA must limit its review to a subsequent Federal Register ■ 41. Revise § 120.882(c) to read as determination of whether SBA’s publication. follows: decision was arbitrary, capricious or ■ 37. Amend § 120.862 as follows: § 120.882 Eligible Project costs for 504 contrary to law, or without procedure ■ a. By revising the parenthetical at the loans. required by law. OHA must limit its end of paragraph (a)(4); * * * * * review to the record that the AA/FA or ■ b. By revising paragraph (b)(2); (c) Professional fees directly his or her authorized delegate, and any ■ c. By redesignating paragraphs (b)(3) attributable and essential to the Project, other SBA officials directly involved through (b)(7) as (b)(5) through (b)(9); with the decision, considered in making ■ d. By adding new paragraphs (b)(3) and such as title insurance, opinion of title, the final decision. If the OHA decides (b)(4), and architectural and engineering costs, that SBA’s decision was arbitrary, ■ e. By revising redesignated paragraph appraisals, environmental studies, and capricious, contrary to law, or without (b)(5). The revisions and additions read legal fees related to zoning, permits, or procedure required by law, the OHA as follows: platting; and must remand the matter to the AA/FA * * * * * or the original deciding official for § 120.862 Other economic development ■ 42. Revise paragraph (d) of § 120.883 to objectives. further consideration. The CDC may read as follows: appeal from a reconsidered SBA * * * * * decision as set forth in this paragraph (a) * * * § 120.883 Eligible administrative costs for (e). (4) * * * (North American Industry 504 loans. (3) (i) OHA must not consider any Classification System (NAICS), Sectors * * * * * argument, fact or other information 31 ‘‘33); or (d) Borrower’s out-of-pocket costs presented by the affected CDC unless * * * * * associated with 504 loan and Debenture the CDC previously submitted that (b) * * * closing other than legal fees (for information to SBA: (2) Expansion of exports; example, certifications and the copying (A) In or with the affected CDC’s (3) Expansion of small businesses costs associated with them, overnight objection; owned and controlled by women as delivery, postage, and messenger (B) In response to a request for defined in section 29(a)(3) of the Act, 15 services) but not to include fees and information from SBA; or U.S.C. 656(a)(3); costs described in § 120.882; (C) Pursuant to paragraph (b)(5) of this (4) Expansion of small businesses * * * * * section if such information was owned and controlled by veterans ■ 43. Amend § 120.892(b) by removing accepted by SBA. (especially service-disabled veterans) as the phrase ‘‘90 days’’ and adding in its (ii) However, if a CDC can show that defined in section 3(q) of the Act, 15 place the phrase ‘‘120 days’’. there is newly discovered material U.S.C. 632(q); ■ 44. Revise the heading of § 120.900 to evidence which, despite the CDC’s (5) Expansion of minority enterprise read as follows: exercise of due diligence, could not development (see § 124.103(b) of this have been discovered before the chapter for minority groups who qualify § 120.900 Sources of permanent financing. Agency’s final decision, or that there are for this description); * * * * * compelling reasons beyond the CDC’s * * * * * ■ 45. Revise the heading of § 120.910 to control why it was not able to present ■ 38. Amend § 120.870 as follows: read as follows: a material fact or argument to the AA/ ■ a. By removing paragraph (b); FA or other deciding SBA official prior ■ b. By redesignating paragraph (c) as § 120.910 Borrower contributions. to such decision, and that the CDC has paragraph (b); and * * * * * been prejudiced by not being able to ■ c. By revising paragraph (a) ■ 46. Revise § 120.911 to read as follows: present such information to the official, introductory text to read as follows: the CDC may file a motion with the § 120.911 Land contributions. OHA for a remand of the matter. § 120.870 Leasing Project Property. The Borrower’s contribution may be (4) A decision by OHA, other than a (a) A Borrower may use the proceeds land (including buildings, structures remand, is the final agency decision. of a 504 loan to acquire, construct, or and other site improvements which will (f) Limit on applicability. The modify buildings and improvements, be part of the Project Property) procedures in this section shall only and/or to purchase and install previously acquired by the Borrower. apply to an action taken by SBA machinery and equipment located on ■ 47. Revise § 120.913 to read as follows: pursuant to § 120.855. land leased to the Borrower by an ■ 35b. Add a new undesignated center unrelated lessor if: § 120.913 Limitations on any contributions heading immediately preceding new * * * * * by a Licensee. § 120.854 to read as follows: ■ 39. Revise the heading of § 120.871 to Subject to part 107 of this chapter, a SBA Enforcement Actions read as follows: Licensee may provide financing for all or part of the Borrower’s contribution to ■ 35c. Redesignate § 120.981 as § 120.871 Leasing part of Project Property the Project. SBA will consider Licensee § 120.857. to another business. funds to be derived from federal sources ■ 36. Revise § 120.861 to read as follows: * * * * * if the Licensee has Leverage (as defined ■ 40. Amend § 120.880 by revising in § 107.50 of this chapter). If the § 120.861 Job creation or retention. paragraph (b) to read as follows: Licensee does not have Leverage, SBA A Project must create or retain one Job will consider the investment to be from Opportunity per an amount of 504 loan § 120.880 Basic eligibility requirements. private funds. Licensee financing must funding that will be specified by SBA * * * * * be subordinated to the 504 loan and from time to time in a Federal Register (b) Together with its Affiliates, meet must not be repaid at a faster rate than notice. Such Job Opportunity average one of the size standards set forth in the Debenture. (Refer to § 120.930(a) for remains in effect until changed by § 121.301(b) of this chapter. additional limitations.)
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■ 48. Amend § 120.923 by revising the to SBA and the CDC in the event of authorizations, Debentures, and heading to read as follows: impending lapse of coverage. agreements between the CDC and SBA, ■ and in accordance with prudent and § 120.923 Policies on subordination. 55. Revise the heading of § 120.935 to read as follows: commercially reasonable lending * * * * * standards. ■ 48a. Redesignate § 120.924 as § 120.935 Deposit from the Borrower that a (b) The CDC is responsible for routine paragraph (c) of § 120.923. CDC may require. servicing including receipt and review ■ 49. Amend § 120.925 by adding a * * * * * of the Borrower’s or Operating parenthetical at the end to read as § 120.936 [Removed] Company’s financial statements on an follows: annual or more frequent basis and ■ 56. Remove § 120.936. monitoring the status of the Borrower § 120.925 Preference. ■ 57. Revise § 120.960 to read as follows: and 504 loan collateral. * * * (See § 120.10 for a definition of (c) The CDC is responsible for § 120.960 Responsibility for closing. Preference.) assuring that the Borrower makes all (a) The CDC is responsible for the 504 ■ 50. Revise § 120.926 to read as follows: required insurance premium payments loan closing. and has paid all taxes when due. § 120.926 Referral fee. (b) The Debenture closing is the joint (d) The CDC is responsible for filing The CDC can receive a reasonable responsibility of the CDC and SBA. renewals and extensions of security referral fee from the Third Party Lender (c) SBA may, within its sole interests on collateral for the 504 loan, if the CDC secured the Third Party discretion, decline to close the as required. Lender for the Borrower under a written Debenture; direct the transfer of the 504 (e) The CDC must timely respond to contract between the CDC and the Third loan to another CDC; or cancel its Borrower requests for loan Party Lender. Both the CDC and the guarantee of the Debenture, prior to sale, modifications. Third Party Lender are prohibited from if any of the following occur: (f) For any 504 loan that is more than charging this fee to the Borrower. If a (1) The CDC has failed to comply three months past due, the CDC must CDC charges a referral fee, the CDC will materially with any requirement promptly request that SBA purchase the be construed as a Referral Agent under imposed by statute, regulation, SOP, Debenture unless the 504 loan has an part 103 of this chapter. policy and procedural notice, any SBA-approved deferment or is in agreement the CDC has executed with ■ compliance with an SBA-approved plan 51. Revise paragraph (b) of § 120.930 to SBA, or the terms of a Debenture or loan read as follows: to allow the Borrower to catch up on authorization; delinquent loan payments. § 120.930 Amount. (2) The CDC has failed to make or (g) The CDC must cooperate with SBA close the 504 loan or prepare the * * * * * to cure defaults and initiate workouts. Debenture closing in a prudent or (b) A 504 loan must not be less than (h) SBA may negotiate agreements commercially reasonable manner; $25,000. with CDCs to liquidate 504 loans. (3) The CDC’s improper action or ■ * * * * * inaction places SBA at risk; 60. Add a new undesignated center ■ 52. Revise § 120.931 to read as follows: (4) The CDC has failed to use required heading immediately preceding SBA forms or electronic versions of § 120.971 to read as follows: § 120.931 504 Lending limits. those forms; Fees The outstanding balance of all SBA (5) The CDC, Third Party Lender or financial assistance to a Borrower and Borrower has failed to timely disclose to ■ 61. Revise paragraphs (a) (introductory its affiliates under the 504 program SBA a material fact regarding the Project text) and (a)(2) of § 120.971 to read as covered by this part must not exceed or 504 loan; follows: $1,000,000 (or $1,300,000 if one or more (6) The CDC, Third Party Lender or of the public policy goals enumerated in § 120.971 Allowable fees paid by Borrower has misrepresented a material Borrower. § 120.862(b) applies to the Project). fact to SBA regarding the Project or 504 (a) CDC fees. The fees a CDC may ■ 53. Revise § 120.933 to read as follows: loan; or (7) SBA determines that there has charge the Borrower in connection with § 120.933 Maturity. been an unremedied material adverse a 504 loan and Debenture are limited to From time to time, SBA will publish change, such as deterioration in the the following: in the Federal Register the available Borrower’s financial condition, since * * * * * maturities for a 504 loan and the the 504 loan was approved, or that (2) Closing fee. The CDC may charge Debenture that funds it. Such available approving the closing of the Debenture a reasonable closing fee sufficient to maturities remain in effect until will put SBA at unacceptable financial reimburse it for the expenses of its in- changed by subsequent Federal Register risk. house or outside legal counsel, and publication. ■ 58. Revise the undesignated center other miscellaneous closing costs (CDC ■ 54. Revise § 120.934 to read as follows: heading immediately preceding Closing Fee). Some closing costs may be § 120.970 to read as follows: funded out of the Debenture proceeds § 120.934 Collateral. (see § 120.883 for limitations); The CDC usually takes a second lien Servicing * * * * * position on the Project Property to ■ 59. Revise § 120.970 to read as follows: ■ 62. Revise § 120.972 to read as follows: secure the 504 loan. Sometimes additional collateral is required. (In rare § 120.970 Servicing of 504 loans and § 120.972 Third Party Lender participation circumstances, SBA may permit other Debentures. fee and CDC fee. collateral substituted for Project (a) In servicing 504 loans, CDCs must (a) Participation fee. For loans Property.) All collateral must be insured comply with 504 program requirements approved by SBA after September 30, against such hazards and risks as SBA imposed by statute, regulation, SOPs, 1996, SBA must collect a one-time fee may require, with provisions for notice policy and procedural notices, loan equal to 50 basis points on the Third
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Party Lender’s participation in a Project outstanding principal balance of the ■ 64. Remove §§ 120.980, 120.982, when the Third Party Lender occupies Debenture. The fee must be paid from 120.983 and 120.984. the servicing fees collected by the CDC a senior credit position to SBA in the Dated: September 25, 2003. Project. and cannot be paid from any additional Hector V. Barreto, (b) CDC fee. For loans approved by fees imposed on the Borrower. SBA after September 30, 1996, SBA ■ 63. Remove the undesignated center Administrator. must collect an annual fee from the CDC heading immediately preceding [FR Doc. 03–24860 Filed 10–6–03; 8:45 am] equal to 0.125 percent of the § 120.980. BILLING CODE 8025–01–P
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Part III
Department of Health and Human Services Centers for Disease Control Prevention
Agency for Toxic Substances and Disease Registry
Availability of Funds Announced in the CDC/ATSDR Federal Assistance Funding Book; Notice
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DEPARTMENT OF HEALTH AND cooperative agreement opportunities, National Center for Infectious Diseases HUMAN SERVICES and will strive to provide support for all (NCID) eligible entities that seek to apply for Applied Research in Emerging Infections Centers for Disease Control and CDC’s and ATSDR’s financial assistance Investigations of West Nile Virus—May 15, Prevention programs. 2004 Epidemiology and Laboratory Capacity (ELC) Julie Louise Gerberding, M.D., M.P.H. Agency for Toxic Substances and for Infectious Diseases—Cycle A, January Disease Registry 4, 2004; Cycle B, April 4, 2004 Table of Contents Cooperative Agreement for Research on Availability of Funds Announced in the 1. Introduction Prevention of Lyme Disease in Humans in 2. How to Use the CDC/ATSDR Federal the United States—November 17, 2003 CDC/ATSDR Federal Assistance Cooperative Agreement for Research on the Funding Book Assistance Funding Book (FAFB) 3. Terminology Ecology and Control of Tick Vectors of 4. Frequently Asked Questions Lyme Disease in the United States— ACTION: General notice. November 17, 2003 5. Funding Opportunities by Agency and Cooperative Agreement for Research on the Center. This notice describes funding for SUMMARY: The Centers for Disease Laboratory Diagnosis, Immunology, and Control and Prevention (CDC) and the the following ATSDR and CDC Pathogenesis of Lyme Disease in the Agency for Toxic Substances and discretionary authorities and programs United States—December 1, 2003 Disease Registry (ATSDR) announce the (application receipt deadlines are also provided): National Center for Injury Prevention and availability of funds in the CDC/ATSDR Control (NCIPC) Federal Assistance Funding Book Agency for Toxic Substances and Disease Grants for Acute Care, Rehabilitation, and Registry (ATSDR) (FAFB) for Fiscal Year 2004. This Disability Prevention Research—February edition of the FAFB is a review of CDC Exposure to Tremolite Asbestos in 3, 2004 and ATSDR Fiscal Year 2004 Vermiculite Ore—June 2004 Grants for Violence-Related Injury Prevention competitive assistance programs. Program to Facilitate Environmental Justice Research: Youth Violence, Suicide, Financial assistance programs include in Minority and Under Served Intimate Partner Violence, and Sexual grants and cooperative agreements. Communities—May 1, 2004 Violence—February 3, 2004 The FAFB contains most of CDC’s and Surveillance of Hazardous Substances—June Grants for New Investigator Training Awards ATSDR’s new competitive 1, 2004 for Unintentional Injury, Violence Related opportunities; however, additional grant The Great Lakes Human Health Effects Injury, Biomechanics, and Acute Care, Disability, and Rehabilitation-Related and cooperative agreement Research Program—May 2004 Program to Build Capacity to Conduct Site- Research—February 3, 2004 opportunities may become available Grants for Traumatic Injury Biomechanics because of programmatic planning and Specific Health Promotion Activities—July 1, 2004 Research—February 3, 2004—Research Congressional action. The funding A Program to Build Capacity to Develop, Grants to Prevent Unintentional Injuries— February 3, 2004 opportunities will be published in the Implement, and Evaluate Health Education Grants for Dissertation Awards for Doctoral Federal Register, CDC’s and ATSDR’s and Health Promotion Activities in Tribal Candidates for Violence-Related Injury Internet Web site, which can be Communities—July 1, 2004 obtained by accessing http:// Prevention Research in Minority Program to Build Capacity to Conduct Communities—February 3, 2004 www.cdc.gov/od/pgo/funding/ Environmental Health Education grantmain.htm, and in addition may be Activities—July 1, 2004 National Immunization Program (NIP) published in the NIH Guide For Grants Program to Build Environmental Public National Minority Organizations and Contracts. CDC and ATSDR, as well Health Capacity Within Tribal Colleges and Immunization Projects—March 2004 as the Department of Health and Human Universities—July 2004 National Institute for Occupational Safety Services (HHS), has been very busy this Centers for Disease Control and Prevention and Health (NIOSH) year. In support of health related disease (CDC) control and prevention activities, we are Occupational Safety and Health Research National Center for Chronic Disease Grants-Investigator-Initiated—All (new striving to provide simpler avenues for competing, revised, and, supplemental eligible organizations to apply for Prevention and Health Promotion (NCCDPHP) applications) February 3, 2004; June 1, funding. We are working in cooperation 2004; and October 1, 2004. Competing with HHS and other organizations Cancer Surveillance Research with Data Continuation, Supplemental, and Revised within HHS to improve our processes Enhancement and Utilization—June 2004 Research Grant/Cooperative Agreements related to delivering CDC funding National Programs to Improve the Health, applications—March 1, 2004; July 1, 2004; opportunities and awarding grants to Education, and Well-Being of Young and November 1, 2004. People—December 2004 eligible applicants. We are currently Occupational Safety and Health Research planning to deploy a new grants National Center for Environmental Health Grants-Special Emphasis Research Career (NCEH) Award (K01)—All (new) February 3, 2004; management information system, and June 1, 2004; and October 1, 2004. have implemented processes to Centers for Genomics and Public Health— Competing Continuation, Supplemental, streamline our grant making operations. February 15, 2004 and Revised Research Grant/Cooperative We are participating in pilot programs Addressing Asthma from a Public Health Agreements applications—March 1, 2004; being conducted throughout the federal Perspective—March 1, 2004 July 1, 2004; and November 1, 2004. government that are designed to move National Center for HIV, STD, and TB Occupational Safety and Health Research the granting of federal dollars into the Prevention (NCHSTP) Grants-Small Grants (R03)—All (new) February 3, 2004; June 1, 2004; and world of electronic government. CDC’s Translating Proven Interventions for streamlining efforts are part of HHS’ October 1, 2004. Competing Continuation, Underserved and Emergent High Risk Supplemental, and Revised Research activities to implement the Federal Populations—March 2004 Grant/Cooperative Agreements Financial Assistance Management Public Health Conference Support applications—March 1, 2004; July 1, 2004; Improvement Act (Pub. L. 106–207). Cooperative Agreement—Program for and November 1, 2004. CDC and ATSDR are committed to Human Immunodeficiency Virus (HIV) Occupational Safety and Health Research maximum competition for its grants and Prevention—April 15, 2004 Grants-Exploratory and Developmental
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(R21)—All (new) February 3, 2004; June 1, authorities and programs (application Budget Period 2004; and October 1, 2004. Competing deadline dates are also provided): The Budget Period is the interval of time Continuation, Supplemental, and Revised that a multi-year period of financial Research Grant/Cooperative Agreements Agency for Toxic Substances and Disease Registry (ATSDR) assistance (project period) is divided into for applications—March 1, 2004; July 1, 2004; budgetary and funding purposes. Budget and November 1, 2004. Centers for Disease Control and Prevention periods are usually 12 months long but may Occupational Safety and Health Training— (CDC) be shorter or longer, if appropriate. July 1, 2004 Health and Safety Programs for Construction The Centers, Institutes, and Offices that CFDA Number Work—February 3, 2004. comprise CDC are listed below in The Catalog of Federal Domestic Surveillance Program—April 1, 2004 alphabetical order: Assistance (CFDA) is a Government-wide Epidemiology Program Office (EPO) Introduction compendium of Federal Programs, projects, National Center for Birth Defects and services, and activities that provide The purpose of the FAFB is to provide the Developmental Disabilities (NCBDDD) assistance. Programs listed therein are given general public with a single source of National Center for Chronic Disease a CFDA number. program and application information related Prevention and Health Promotion to CDC’s and ATSDR’s competitive financial (NCCDPHP) Cooperative Agreement assistance offerings. The FAFB is designed to National Center for Environmental Health A financial assistance mechanism (grant) replace the multiple Federal Register notices (NCEH) used when substantial Federal programmatic that traditionally advertised the availability National Center for Health Statistics (NCHS) involvement with the recipient is anticipated of CDC and ATSDR discretionary funding for National Center for HIV, STD, and TB by the funding agency during performance of its various programs. It should be noted that Prevention (NCHSTP) the project. The nature of the involvement additional health promotion and disease National Center for Infectious Diseases will always be specified in the offering or prevention program initiatives responsive to (NCID) application guidance materials. new issues or issues unanticipated at the National Center for Injury Prevention and Eligibility time of publication of the FAFB may be Control (NCIPC) The status an entity must possess to be announced through the Federal Register and National Immunization Program (NIP) considered for a grant. Authorizing the CDC Web site, http://www.cdc.gov/od/ National Institute for Occupational Safety pgo/funding/grantmain.htm or the ATSDR legislation and programmatic regulations and Health (NIOSH) Web site at http://www.atsdr.cdc.gov/, click specify eligibility for individual grant Public Health Practice Program Office on ‘‘ATSDR Grants and Cooperative programs and eligibility may be further (PHPPO) Agreements.’’ This notice does not change restricted for programmatic reasons. In requirements appearing elsewhere in the How To Use the CDC/ATSDR Federal general, assistance is provided to nonprofit Federal Register. Assistance Funding Book (FAFB) organizations and institutions, including The CDC/ATSDR FAFB contains a faith-based and community-based entities, It is recommended that you read the description of competitive and other State and local governments, their agencies, introductory materials, terminology section, financial assistance (grants and cooperative Indian Tribes or tribal organizations, and agreements) programs scheduled for awards and individual program announcements occasionally to individuals. For-profit in Fiscal Year 2004. It includes instructions listed under each CIO in alphabetical order. organizations are eligible to receive awards on how to contact the CDC/ATSDR for At the end of the FAFB, there is an optional under financial assistance programs unless information. form entitled ‘‘Grants At A Glance.’’ This specifically excluded by legislation. form is provided so that you can record the Applications and instructions may be Estimated Amount for This Competition downloaded from the CDC Web site listed funding opportunities that are of interest to above. The FAFB also contains instructions you. We urge applicants to fully assess their The funding level listed is provided only for how to obtain application if your eligibility for grants and cooperative as an estimate, and is subject to the availability of funds, Congressional action, organization is not Internet active. agreements before spending the time and and changing program priorities. Specifically, the following information is effort to apply. included in the FAFB: (1) Center/Institute/ The full descriptions of the funding Evaluation Criteria opportunities, instructions for applications, Office (CIO) Offering the Funding Program; The evaluation criteria are listed in the full (2) the Program Announcement Title; (3) the application forms, and additional copies of program announcement, as published on the Program Announcement Number (4) the the FAFB can be found at http:// CDC or ATSDR Web site, and are used to Catalog of Federal Assistance (CFDA) www.cdc.gov, click on ‘‘Funding’’ then click evaluate, score, and rank applications Identification Number; (5) the Program on ‘‘Grants and Cooperative Agreements.’’ If submitted by an applicant. Contact Person, E-Mail Address, and Phone you are not Internet active, or you have Number; (6) a Description of the Funding difficulty downloading this information, you Funding Priorities and/or Preferences Opportunity; (7) Eligible Applicants; may call 770–488–2700 between 8 a.m. and Funding preferences, priorities, and special (8)Estimated Dollar Amount for this 4:30 p.m. Eastern Time, Monday through considerations may come from legislation, Competition; (9) Estimated Number of Friday for assistance. regulations, or programmatic reasons. These Awards to be Made; (10) Estimated or are not the same as review criteria. Funding Average Size of Each Award; (11) Estimated Terminology preferences are any objective factors that Project Period; (12) Estimated Application Application Deadlines would be used to place a grant application Availability Date, which is the date further ahead of others without the preference on a application guidance will be available on the Definitive deadline information may be list of applicants recommended for funding CDC and ATSDR Web site, and the earliest found in the full program announcement. For by a review committee. Some programs give date an application can be accepted; (13) many program announcements, applications preference to organizations that have specific Estimated Application Deadline Date, which will be considered on time if they are capabilities, or have established relationships is the last date an application can be received on or before 4 p.m. Eastern Time on with public health organizations that accepted for review and potential funding; the established deadline in the program promote CDC’s or ATSDR’s mission of health and (14) Estimated Projected Award Date, announcement. and disease prevention. Funding priorities which is the date that a successful applicant are factors that cause a grant or cooperative Authorization can expect to be awarded funds. Certain agreement application to receive a fixed other information, including how to obtain The citation of the law authorizing the amount of extra rating points, which may and use the FAFB and grant terminology, can various assistance programs is provided similarly affect the order of applicants on a also be found in the FAFB. following the title in the full program funding list. Special considerations other This notice describes funding for the announcement published on the CDC and than review criteria, preferences, and following CDC and ATSDR discretionary ATSDR Web sites. priorities e.g., are considered in order to
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ensure an equitable geographic distribution scheduled workshops and conference calls. If call Dun and Bradstreet at 1–866–705–5711 of grant recipients, to meet requirements for you have questions concerning individual or visit their Web site at: http:// urban or rural proportions. programs or the availability of technical www.dunandbradstreet.com. There is no assistance, please contact the program charge obtaining a number and the number Grant contact listed in the full program is easy to obtain. If you are unsure whether A grant is a financial assistance (including announcement. your organization already has a DUNS cooperative agreements) in the form of Frequently Asked Questions number, please contact your institution’s money, or property in lieu of money, by the grant office for guidance. A DUNS number Federal government to an eligible recipient. 1. Where Do I Submit Grant Applications? will be required for all new grant and The term does not include any Federal The address for submitting your grant cooperative agreement awards for FY 2004 procurement subject to the Federal including foreign applicant organizations. A Acquisition Regulation (FAR); technical application will be published in the full DUNS number will not be required of assistance (which provides services instead program announcement on the CDC Web site individuals or subrecipients. There should be of money); or assistance in the form of at http://www.cdc.gov/od/pgo/funding/ a field in the new PHS 5161–1 and PHS 398 revenue sharing, loans, loan guarantees, grantmain.htm or the ATSDR Web site at interest subsidies, insurance, or direct http://www.atsdr.cdc.gov/ and in addition application forms to include your DUNS payments of any kind to individuals. may be published in the NIH Guide to Grants number. If the application form you are using and Contracts. does not have a DUNS number field, please Letter of Intent For general questions about CDC or ATSDR write your DUNS number on the top of the A Letter of Intent is a letter that may be announcements, contact: Technical application, and/or include your DUNS requested by the funding program to gauge Information Management Section, CDC number in the cover letter of the application. the interest and the number of full Procurement and Grants Office, 2920 Your organization will need to have a DUNS applications anticipated so that the funding Brandywine Road, Atlanta, GA 30341–4146, number in order for an award to be made in program can estimate both the proper Telephone: (770) 488–2700. FY 2004. number of reviewers and expertise needed to 2. How Do I Learn More About a Particular 6. Where Can I Find Out About Current review the applications. A Letter of Intent Grant or Cooperative Agreement Program? Federal Grant and Cooperative Agreement may be optional or required. In general, the program contact person Funding Opportunities? Matching Requirements provides information about the specific grant In addition to the CDC and ATSDR Web Several CDC and ATSDR programs may and cooperative agreement offering and its sites, the U.S. Government has created and require a matching amount, or percentage of purpose, and the grants management maintains a Web site at http:// the total project support, to come from specialist provides information about the www.fedgrants.gov and at http:// sources other than Federal funds. Matching grant/cooperative agreement mechanism and www.grants.gov. requirements are generally mandated in the business matters, though their authorizing legislation for specific categories. responsibilities often overlap. 7. Where Can I Obtain Applications for CDC Also, ATSDR or the CDC awarding CIO may and ATSDR Grant and Cooperative 3. The Dates Listed in the FAFB and the Agreement Funding Opportunities? administratively require matching or other Dates on the CDC or ATSDR Web Site Do Not cost-sharing requirements. Such Agree. How Do I Know Which Is Correct? For most CDC and ATSDR grant and requirements are listed in the full program cooperative agreement announcements, the The CDC/ATSDR FAFB dates for estimated announcement published on the CDC and or application form PHS 5161–1 or PHS 398 is application availability, the estimated ATSDR Web site. used. Please see the full program application deadline date, and the estimated announcement to see which application to Notice of Grant Award projected award date are based upon the best- use. Applications and instructions can be known information at the time of The Notice of Grant Award (NGA) is the found at http://www.cdc.gov/od/pgo/ official award document, signed by the publication, often up to nine months in forminfo.htm. When using the PHS 398 Grants Management Officer that (1) Notifies advance of the competitive cycle. Since the application form for CDC grant and the recipient of the award of a grant; (2) full program announcement is published on cooperative agreement funding opportunities, contains or references all the terms and the CDC and ATSDR Web sites later, the please adhere to the program announcement conditions of the grant and Federal funding dates in the full program announcement are instructions. The full program announcement limits and obligations; and (3) provides the the correct dates. Thus, the definitive date is the definitive guide on forms and location documentary basis for recording the may be found in the full program of instructions. If you need assistance, please obligation of Federal funds in CDC’s announcement. call the program or business office listed in accounting system. 4. Are Programs Announced in the CDC/ the full program announcement. For general Program Announcement Number ATSDR FAFB Ever Cancelled? questions, please call (770) 488–2700. In The program announcement number is a Infrequently, announced programs may be addition, you may visit the ‘‘Notice to unique identifier for each program funded by withdrawn from competition. If this occurs, Grantees’’ section on the CDC Web site at CDC or ATSDR. This number must be an amendment to the original FAFB Federal http://www.cdc.gov/funding.htm. The Web included on your application for funding. Register Notice will be published and in site is updated frequently and grantees and addition, the change will be listed on the potential applicants should periodically Project Period CDC or ATSDR Web site. review the Web site to stay abreast of current The total time stated in the Notice of Grant issues and changes. 5. What Is a DUNS Number and Do I Need Award (including any amendments) that One? 8. If My Institution or Organization Receives Federal support is recommended. The project Funds From CDC or ATSDR, Are There Any The Data Universal Numbering Systems period usually consists of a series of one or Restrictions on How the Funds May Be Used? more budget periods of one-year duration. (DUNS) number is a unique 9-digit Once approved through initial review, identification number provided by Dun & Yes. Page 2 of the Notice of Grant Award continuation of each successive budget Bradstreet (D&B). The DUNS number is site- contains references to the rules and period is subject to satisfactory performance, specific. Therefore, each distinct physical regulations governing the use of funds availability of funds, and program priorities. location of an entity (such as branches, awarded by CDC or ATSDR. If you have any The project period is usually from one to five divisions, and headquarters) may be assigned business questions regarding a particular years. a DUNS number. In order to provide on-the- award, please contact the Grants spot DUNS Number assignment, D&B does Management Specialist or Contract Specialist Technical Assistance not control or limit who may request or that is managing the grant or cooperative A contact person is listed for each program receive a DUNS number. It is the applicant agreement. For programmatic questions, and his/her e-mail address and telephone organization’s responsibility to manage their please contact the project officer assigned to number are provided. Some programs have DUNS numbers. To obtain a DUNS number, your grant or cooperative agreement.
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CDC and ATSDR Program Competitions Grants At A Glance This notice describes funding for the CDC The ‘‘Grants At A Glance’’ form should and ATSDR discretionary authorities and assist you in reviewing the potential funding programs below. Receipt deadlines are opportunities below. provided. BILLING CODE 4163–18–C
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Agency for Toxic Substances and Disease will be implemented, evaluated, and Competition Description: The purpose of Registry (ATSDR) expanded. the program is to assess the adverse effects Competition Title: Exposure to Tremolite Eligible Applicants: Eligible applicants of water pollutants, via contaminated fish in Asbestos in Vermiculite Ore. include: Historically Black Colleges and the Great Lakes, on the health of persons in Program Announcement Number: 04020. Universities (HBCUs) and Hispanic Serving the Great Lakes states. The research CFDA Number: 93.161. Institutions (HSIs) with documented objectives of this program are to: (1) Build Program Contact Person: Kevin Horton or expertise in addressing environmental justice upon and amplify the results from past and Maggie Warren. concerns of minority and under served on-going research in the Great Lakes basin; E-Mail Address: [email protected] or communities. (2) develop information, databases and [email protected]. Estimated Amount of This Competition: research methodology that will provide long- Phone Number: (404) 498–0571 or (404) $125,000. term benefit to human health effects research 498–0546. Estimated Number of Awards to be Made: in the Great Lakes; (3) provide direction for Competition Description: The purpose of 1. future health effects research; (4) provide this program is to conduct site-specific health Estimated or Average Size of Each Award: health information to State and local health activities related to human exposure to $125,000. officials, the concerned public, and their contaminated vermiculite ore at sites Estimated Project Period: October 1, 2004– medical health care professionals; and (5) in identified by the Environmental Protection September 29, 2009. concert with State and local health officials, Agency (EPA) as receiving and/or processing Application Availability Date: March 1, increase the public awareness regarding the ore from the mine in Libby, Montana. 2004. potential health implications of toxic Eligible Applicants: Assistance will be Application Deadline: May 1, 2004. pollution in the Great Lakes basin; and (6) provided only to the health departments of Project Award Date: August 1, 2004. coordinate as necessary with relevant States or their bona fide agents or Competition Title: Surveillance of research programs and activities of other instrumentalities. State organizations, Hazardous Substances Emergency Events. agencies, including those of the Food and including state universities, must establish Program Announcement Number: 04022. Drug Administration (FDA), Centers for that they meet their respective state CFDA Number: 93.161. Disease Control and Prevention (CDC), legislature’s definition of a state entity or Program Contact Person: Wendy Kaye/ National Institutes of Health (NIH), and the political subdivision to be considered an Maureen Orr. Indian Health Service (IHS), as well as the eligible applicant. E-Mail Address: [email protected]/ Environmental Protection Agency (EPA), and Estimated Amount of This Competition: [email protected]. state and local health departments, to $300,000. Phone Number: (404) 498–0555/(404) 498– ameliorate adverse public health impacts of Estimated Number of Awards to be Made: 0559. persistent toxic substances in the Great 4. Competition Description: The purpose of Lakes. Estimated or Average Size of Each Award: this program is to assist state health Eligible Applicants: Eligible applicants are $10,000 to $250,000. departments in developing a state-based the Great Lake states and political Estimated Project Period: 3 Years. surveillance system for monitoring hazardous subdivisions thereof, including federally Application Availability Date: April 2004. substances emergency events. This will allow recognized Indian tribal governments. State Application Deadline: June 2004. the state health department to better organizations, including state universities, Project Award Date: August 2004. understand the public health impact of state colleges, and state research institutions, hazardous substances emergencies through must affirmatively establish that they meet Competition Title: Program to Facilitate their respective state’s legislative definition Environmental Justice in Minority and Under this added capacity. Eligible Applicants: Official public health of a state entity or political subdivision to be Served Communities. considered an eligible applicant. The Great Program Announcement Number: 04021. agencies of States or their bona fide agents or Lake states include Illinois, Indiana, CFDA Number: 93.161. instrumentalities. This includes the District Michigan, Minnesota, Ohio, Pennsylvania, Program Contact Person: Stephanie Miles- of Columbia, American Samoa, the New York, and Wisconsin, consistent with Richardson, D.V.M., Ph.D. Commonwealth of Puerto Rico, the Virgin Section 106, subsection 118(e) of the Great E-Mail Address: [email protected]. Islands, the Federated States of Micronesia, Lakes Critical Programs Act of 1990 [33 Phone Number: (404) 498–0111. Guam, the Northern Mariana Islands, the U.S.C. 1268(e)]. ATSDR encourages Competition Description: The purpose of Republic of the Marshall Islands, the collaborative efforts among these potential this program is to assist minority educational Republic of Palau, and Federally recognized applicants. institutions in expanding and enhancing Indian Tribal governments. Also eligible are Estimated Amount of This Competition: educational and research opportunities State organizations, including State related to exposure to hazardous substances universities, State colleges, and State $2,000,000. in the environment, and providing education research institutions, who must establish that Estimated Number of Awards to be Made: and information to African American, they meet their respective State legislature’s 10. Hispanic, and other minority and low income definition of a State entity or political Estimated or Average Size of Each Award: communities that are affected by hazardous subdivision to be considered an eligible $200,000. waste sites and that have environmental applicant. Estimated Project Period: FY 2004–FY justice concerns. This announcement follows Estimated Amount of This Competition: 2006. a successful five-year project period, which $1,450,000. Application Availability Date: March 2004. included the development of culturally Estimated Number of Awards to be Made: Application Deadline: May 2004. competent environmental health 15. Project Award Date: September 2004. instructional materials for health Estimated or Average Size of Each Award: Competition Title: Program To Build professionals, and maintenance and $95,000. Capacity To Conduct Site-Specific Health distribution of environmental justice related Estimated Project Period: 5 years. Promotion Activities. resources. Community-based workshops on Application Availability Date: April 1, Program Announcement Number: 04024. Geographic Information Systems (GIS) were 2004. CFDA Number: 93.161. conducted and strategies for assisting Application Deadline: June 1, 2004. Program Contact Person: Robert Johnson. communities in identifying the needs of ‘‘at Project Award Date: August 1, 2004. E-Mail Address: [email protected]. risk’’ populations were also identified. Competition Title: The Great Lakes Human Phone Number: (404) 498–0498. During this second five-year period, the Health Effects Research Program. Competition Description: A five-year project will continue to conduct outreach to Program Announcement Number: 04023. cooperative agreement program to build diverse groups and organizations that focus CFDA Number: 93.161. capacity to conduct site-specific health on minority health, environment, and Program Contact Person: Dr. Heraline promotion activities. The purpose of this education with the goal of facilitating Hicks. program is to conduct site-specific health collaborations and partnerships. Strategies E-Mail Address: [email protected]. education and promotion activities, developed during the first program period Phone Number: (404) 498–0717. including pediatric environmental health
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specialty unit (PEHSUs) activities in the programs and services provided by the grant for one year (with a project period of areas of health professional education, site- United States to Indians because of their up to five years) to assist tribal colleges and specific medical consultations, and referrals status as Indians.’’ universities in the development of for clinical evaluations. (Note: Due to the Estimated Amount of This Competition: environmental health curriculum through the ATSDR legislative mandate, clinical $175,000. provision of technical assistance in treatment cannot be provided.) This program Estimated Number of Awards to be Made: environmental health science, including addresses the ‘‘Healthy People 2010’’ 5. toxicology, assistance with materials educational and community-based programs, Estimated or Average Size of Each Award: development, and internships in environmental health, health $35,000. environmental health nursing, education, communication, and maternal, infant, and Estimated Project Period: September 30, and science. The implementation of the child health focus areas. 2004–October 1, 2009. program will assist American Indian and Eligible Applicants: This program is only Application Availability Date: May 1, 2004. Alaska Native nations in: (1) Evaluating past directed to national organizations of health Application Deadline: July 1, 2004. and present public health impacts related to professionals that provide environmental Project Award Date: September 30, 2004. hazardous substances exposure; (2) health education activities for their Competition Title: Program To Build identifying and mitigate the public health membership, as well as environmental public Capacity To Conduct Environmental Health impacts of exposures to hazardous health promotion activities. Education Activities. substances on or near Indian lands; and, (3) Estimated Amount of This Competition: Program Announcement Number: 04026. determining and evaluating the scientific, $1,500,000. CFDA Number: 93.161. technical and culturally-appropriate response Estimated Number of Awards to be Made: Program Contact Person: Charles Green. to such exposure. 1–2. E-Mail Address: [email protected]. Eligible Applicants: Eligible applicants are Estimated or Average Size of Each Award: Phone Number: (404) 498–0297. federally recognized tribal colleges and $500,000–$1,000,000. Competition Description: A five-year universities as defined in Executive Order Estimated Project Period: September 30, cooperative agreement program to build 13201. 2004–October 1, 2009. capacity to conduct environmental health Estimated Amount of This Competition: Application Availability Date: May 1, 2004. education activities. This program addresses $200,000. Application Deadline: July 1, 2004. the ‘‘Healthy People 2010’’ educational and Estimated Number of Awards to be Made: Project Award Date: September 30, 2004. community-based programs, environmental 4. health, health communication, and maternal, Competition Title: A Program To Build Estimated or Average Size of Each Award: infant, and child health focus areas. The $50,000. Capacity To Develop, Implement, and purpose of this program is to establish and Evaluate Health Education and Health Estimated Project Period: Up to 5 Years. promote environmental health education Application Availability Date: May 2004. Promotion Activities in Tribal Communities. programs within an organization’s Program Announcement Number: 04025. Application Deadline: July 2004. constituent members and the communities Project Award Date: September 2004. CFDA Number: 93.161. they serve. Specifically, cooperative Program Contact Person: Teresa Nastoff. agreement funds will be used to develop and National Center for Chronic Disease E-Mail Address: [email protected]. implement environmental health education Prevention and Health Promotion Phone Number: (404) 498–0530. needs assessment process for the applicants’ (NCCDPHP) Competition Description: A five-year membership and communities surrounding cooperative agreement program to build Competition Title: Cancer Surveillance hazardous waste sites; develop, implement, Research with Data Enhancement and capacity, to develop, to implement, and to and evaluate site-specific environmental Utilization. evaluate health education and health health education activities based on the Program Announcement Number: 04029. promotion activities in tribal communities. results of the needs assessment process; CFDA Number: 93.283. This program addresses the ‘‘Healthy People evaluate the effectiveness of each of the Program Contact Person: Kevin Brady. 2010’’ educational and community-based implemented activities and the impact of the programs and environmental health focus overall project; and develop a strategy to E-Mail Address: [email protected]. areas. The cooperative agreement program is provide environmental health education Phone Number: (770) 488–4226. designed to assist American Indian and materials and programs, and to communicate Competition Description: The purpose of Alaska Native (AI/AN) governments and identified environmental health needs, this program is to utilize data from the organizations in addressing present and concerns, programs, and resources to National Program of Cancer Registries potential environmental health challenges constituent groups. (NPCR) to perform enhanced surveillance related to National Priorities List (NPL), Eligible Applicants: This program is and operational research to include Comprehensive Environmental, Response, directed only to national organizations of developing, conducting and evaluating Compensation, and Liability Act (CERCLA), health professionals that provide cancer surveillance research projects and other hazardous substances and releases environmental health education for their targeting breast, colorectal, prostate, ovarian, on or adjacent to Indian lands. Specifically, defined membership and constituencies. and oral/pharyngeal cancers. cooperative agreement funds will be used to Estimated Amount of This Competition: Eligible Applicants: Part I: Breast, assist tribal and village governments in $700,000. Colorectal/Prostate Patterns of Care, addressing community health concerns Estimated Number of Awards to be Made: Recurrence, and Survival. Determination is related to environmental toxins. This will be 10. based upon silver or gold certification by the accomplished by increasing tribal capacity to Estimated or Average Size of Each Award: North American Association of Central develop, implement, and evaluate culturally $70,000. Cancer Registries (NAACCR) for the relevant and appropriate environmental Estimated Project Period: September 30, diagnosis year specified (the diagnosis year health education and promotion activities for 2004–up to October 1, 2009. certification is the most recent available from AI/AN communities and for the health Application Availability Date: May 1, 2004. NAACCR). Part II: Reporting Pathology professionals and para-professionals serving Application Deadline: July 1, 2004. Protocols (colon and rectum). Eligibility is these communities. Project Award Date: September 15, 2004. limited to NPCR registries, which can Eligible Applicants: This program is Competition Title: Program to Build demonstrate effective partnership with a directed only to federally-recognized Indian Environmental Public Health Capacity laboratory, or laboratory vendor providing tribes or consortia of Indian tribes. Indian Within Tribal Colleges and Universities. pathologic diagnostic services in a National tribes are defined in Section 101(36) [42 Program Announcement Number: 04027. Cancer Institute designated comprehensive U.S.C. 9601 936)] as ‘‘any Indian tribe, band, CFDA Number: 93.161. cancer or clinical cancer center facility. Part nation, or other organized group or Program Contact Person: Alan Crawford. III: Ovarian Cancer Patterns of Care. community, including any Alaska Native E-Mail Address: [email protected]. Eligibility is limited to NPCR registries. Village but not including any Alaska Native Phone Number: (404) 498–0485. Determination of eligibility is based upon regional or village corporation, which is Competition Description: The purpose of NAACCR silver or gold certification for the recognized as eligible for the special this request for applications is to provide a diagnosis year specified. Part IV: Oral/
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Pharyngeal Cancer: Date Completeness E-Mail Address: [email protected]. Estimated Average Size of Each Award: Quality. Eligibility is limited to NPCR Phone Number: (404) 498–1441. $200,000 (Part A), $310,000 (Part A registries. Determination of eligibility is Competition Description: The purpose of Enhanced), $700,000 (Part B). based upon NAACCR silver or gold this program is to develop Centers for Estimated Project Period: 3 years (Part A certification for the year specified. Genomics and Public Health at schools of and Part A Enhanced)/5 years (Part B). Estimated Amount of This Competition: public health. Each center will establish a Application Availability Date: December 1, $4,000,000. regional hub of expertise by coordinating 2003. Estimated Number of Awards to be Made: existing programs at the recipient institution Application Deadline: March 1, 2004. 8–10. and by creating links with local, state, or Project Award Date: July 1, 2004. Estimated or Average Size of Each Award: regional public health programs. Each $400,000. recipient’s Practice Coordinator will help National Center for HIV, STD, and TB Estimated Project Period: 3 Years. strengthen linkages to health departments Prevention (NCHSTP) Application Availability Date: April 2004. and community groups. Centers will also be Competition Title: Translating Proven Application Deadline: June 2004. encouraged to draw on other regional Interventions for Underserved and Emergent Project Award Date: September 2004. resources, such as professional organizations, High Risk Populations. Competition Title: National Programs to the clinical community, and industry. Program Announcement Number: 04038. Improve the Health, Education, and Well- Funding will allow the Centers to carry out CFDA Number: 93.941. Being of Young People. activities in three areas: (1) Contributing to Program Contact Person: Craig Studer. Program Announcement Number: 04010. the knowledge base on genomics and public E-Mail Address: [email protected]. CFDA Number: 93.938. health; (2) providing technical assistance to Phone Number: (404) 639–5389. Program Contact Person: Mike Rainey. local, state, and regional public health Competition Description: This project will organizations; and (3) developing and E-Mail Address: [email protected]. develop tools for rapid assessment of providing training for the current and future Phone Number: (770) 488–6100. populations that have been identified as public health work force. Competition Description: The purpose of having evidence of elevated HIV exposure Eligible Applicants: Schools of Public this announcement is to improve the risk, but for whom research studies Health. education, health, and well-being of young identifying effective prevention interventions Estimated Amount of This Competition: people by strengthening coordinated school have not been published. After the rapid $3,000,000. health programs and by enabling other youth- assessment of the population, the applicant Estimated Number of Awards to be Made: serving organizations to address health risks. will need to adapt effective interventions 5. Award recipients will emphasize efforts to used for other populations to the needs of the Estimated or Average Size of Each Award: target population. The applicant, with the help young people avoid risks (e.g. to avoid $600,000. direction from CDC, will compile a manual using tobacco, alcohol, or drugs; to avoid Estimated Project Period: Up to 5 Years. of rapid assessment procedures and steps violence; to avoid sexual intercourse). Application Availability Date: December 1, taken to use the assessment data for adapting Eligible Applicants: Non-profit, non- 2003. and evaluating the adapted intervention. governmental organizations with a Application Deadline: February 15, 2004. Eligible Applicants: State and local health nationwide structure and capacity to achieve Project Award Date: June 30, 2004. the purposes of the priority area applied for. Competition Title: Addressing Asthma departments, public and private nonprofit Applicants ideally should have local, state, from a Public Health Perspective. and for-profit organizations. or regional constituencies representing all Program Announcement Number: 04035. Estimated Amount of This Competition: states and territories, but at minimum CFDA Number: 93.283. $1,200,000. representing 25 states/territories. Program Contact Person: Kathryn Estimated Number of Awards to be Made: Estimated Amount of This Competition: Sunnarborg. 4. $9,304,000. Phone Number: (404) 498–1451. Estimated or Average Size of Each Award: Estimated Number of Awards to be Made: E-Mail Address: [email protected]. $300,000. Up to 41. Competition Description: To provide the Estimated Project Period: 3 Years. Estimated or Average Size of Each Award: impetus to begin development of program Application Availability Date: January Priority 1: HIV Prevention for School-Age capacity to address asthma from a public 2004. Youth, Category A-Schools, approx. $218,600 health perspective (Part A), to continue Application Deadline: March 2004. Category B-Youth Serving Organizations, program development and begin Project Award Date: July 15, 2004. approx. $202,000; Priority 2: Integration of implementation of selected interventions Competition Title: Public Health School Efforts to Prevent HIV, STDs, and (Part A Enhanced), and to conduct full Conference Support Cooperative Unintended Pregnancy, Category A— asthma plan implementation (Part B). Key Agreement—Program for Human Pregnancy Prevention, approx. $75,000, components of program capacity for asthma Immunodeficiency Virus (HIV) Prevention. Category B–STD Prevention $100,000; include a surveillance system, a statewide Program Announcement Number: 04039. Priority 3: Abstinence Collaboration and coalition, and the identification of CFDA Number: 93.941. Partnerships, approx. $150,000; Priority 4: appropriate asthma interventions. These Program Contact Person: Victoria Saho. Coordinated School Health Programs and activities are captured in a state asthma plan, E-Mail Address: [email protected]. Prevention of Chronic Disease Risks, approx. which is developed in Part A, partially Phone Number: (404) 639–5211. $183,333; Priority 5: Prevention of Foodborne implemented in Part A Enhanced, and fully Competition Description: The purpose of Illnesses and Related School Absence, implemented in Part B. conference support funding is to provide approx. $125,000; Priority 6: Training and Eligible Applicants: Part A: Any Indian partial support for specific non-federal Professional Development, approx. $250,000. tribal government, Indian Tribe, or State conferences in the areas of health promotion Estimated Project Period: 3 Years. Public Health Department or their bona fide and disease prevention information/ Application Availability Date: October agents, who have NOT received funding from education programs pertaining to HIV 2004. CDC/NCEH under Program Announcements prevention. This program addresses the Application Deadline: December 2004. 99109, 01106, 02085, or 03032. Part A Healthy People 2010 focus area of HIV. Project Award Date: March 15, 2004. Enhanced: State Health departments from Eligible Applicants: Letters of intent (LOI) CO, CT, Washington DC, GA, ID, MD, MO, and applications may be submitted by National Center for Environmental Health NE, NH, TX, UT, VA, WV, and WI. Part B: nonprofit organizations, government (NCEH) Any state not currently receiving funding agencies, tribal governments, and private Competition Title: Centers for Genomics under Part B of RFA 01106, or under RFA corporations. These include: Community- and Public Health. 02085. based organizations, research institutions, Program Announcement Number: 04034. Estimated Amount of This Competition: state or local health departments, hospitals, CFDA Number: 93.283. $6,300,000. universities or colleges, faith based Program Contact Person: Timothy G. Estimated Number of Awards to be Made: organizations, technical school, other non- Baker. 15 (3 Part A, 7 Part A Enhanced, 5 Part B). profit organizations, federally and non-
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federally recognized American Indian/ of the Marshall Islands, and the Republic of Application Deadline: Cycle A: January 4, Alaskan Native (AI/AN) tribal governments Palau, federally recognized Indian tribal 2004, Cycle B: April 1, 2004. Current ELC and corporations that qualify under the governments, Indian tribes, or Indian tribal grantees should submit an application for the Indian Civil Rights Acts, including State organizations. Faith-based organizations are cycle they are currently in. New applicants Charter Tribes, Urban Indian Health eligible to apply for these funds. may apply for either cycle, but not both. Programs, Indian Health Boards, Inter-tribal Estimated Amount of This Competition: Project Award Date: Cycle A: April 1, 2004, Councils, and other Tribal Organizations, $2,000,000. Cycle B: July 1, 2004. including urban and eligible inter-tribal Estimated Number of Awards to be Made: Competition Title: Cooperative Agreement consortia. Faith-based organizations are 12. for Research on Prevention of Lyme Disease eligible to apply for these funds. Estimated or Average Size of Each Award: in Humans in the United States. Estimated Amount of This Competition: $150,000. Program Announcement Number: 04008. $112,000. Estimated Project Period: 3 Years. CFDA Number: 93.942. Estimated Number of Awards to be Made: Application Availability Date: March 14, Program Contact Person: Barbara Stewart. 5. 2004. E-Mail Address: [email protected]. Estimated or Average Size of Each Award: Application Deadline: May 15, 2004. Phone Number: (404) 639–0044. $20,000. Project Award Date: September 1, 2004. Competition Description: The incidence of Estimated Project Period: Awards will Competition Title: Epidemiology and Lyme disease in the United States has been begin on or about April 1, 2004 and will be Laboratory Capacity (ELC) for Infectious increasing and is likely to continue to made for a 12-month budget and project Diseases. increase unless affected communities and period. Conferences planned for April 1, Program Announcement Number: 04040. populations at risk develop and implement 2004 through September 30, 2004 will be CFDA Number: 93.283. integrated control and prevention strategies. considered for funding. Program Contact Person: Debbie Deppe, In addition, there is a need to explore new LOI Deadline Date: Submit your LOI on or M.P.A. methods of Lyme disease prevention and before January 12, 2004. E-Mail Address: [email protected]. new treatment regimens that may yield Application Availability Date: February 25, Phone Number: (404) 639–4668. higher levels of community and individual 2004. Competition Description: The purpose of participation and behavior change than Application Deadline: April 15, 2004. the Epidemiology and Laboratory Capacity in existing strategies. The purpose of the Project Award Date: May 15, 2004. Infectious Diseases (ELC) program is to assist program is to evaluate and compare State and eligible local public health agencies effectiveness and cost of established as well National Center for Infectious Diseases in strengthening basic epidemiologic and as novel methods for decreasing the (NCID) laboratory capacity to address infectious incidence of Lyme disease in humans. The Competition Title: Applied Research in disease threats with a focus on notifiable program’s overall objective is to find the most Emerging Infections Investigations of West diseases, food-, water-, and vector-borne effective strategies to lower the incidence of Nile Virus. diseases, vaccine-preventable diseases, and Lyme disease in endemic areas. Program Announcement Number: 04052. drug-resistant infections. Awards are Eligible Applicants: Applications may be CFDA Number: 93.283. intended to support activities that enhance submitted by public and private nonprofit Program Contact Person: Dr. John Roehrig. the ability of a program to identify and organizations and by governments and their E-Mail Address: [email protected]. monitor the occurrence of infectious diseases agencies; that is, universities, colleges, Phone Number: (970) 221–6442. of public health importance in a community, technical schools, research institutions, Competition Description: The West Nile characterize disease determinants, identify hospitals, other public and private nonprofit (WN) virus outbreak continues to expand in and respond to disease outbreaks and other organizations, community-based the United States. The persistence of WN infectious disease emergencies, use public organizations, state and local governments or virus in overwintering mosquitoes suggests health data for priority setting and policy their bona fide agents, including the District that WN virus will become enzootic in the development, and assess the effectiveness of of Columbia, the Commonwealth of Puerto U.S. for the foreseeable future. The natural activities. Strengthening collaboration Rico, the Virgin Islands, the Commonwealth transmission cycle of WN virus involves between laboratory and epidemiology of the Northern Mariana Islands, American mosquitoes becoming infected by feeding on practice is a crucial component of this Samoa, Guam, the Federated States of birds infected with the virus. Many mammal- program. Micronesia, the Republic of the Marshall biting mosquito species have been infected Eligible Applicants: Assistance will be Islands, and the Republic of Palau, political with WN virus. This observation has been provided only to the health departments of subdivisions of states (in consultation with accompanied by an increase in WN virus states or their bona fide agents, including the states), federally recognized Indian tribal infections of mammalian species other than District of Columbia, the Commonwealth of governments, Indian tribes, or Indian tribal humans and equines (e.g. bats, squirrels, cats, Puerto Rico, the Virgin Islands, the organizations. Faith-based organizations are chipmunks, rabbits, and skunks). This Commonwealth of the Northern Mariana eligible to apply for these funds. expanded epizootic, which again occurred Islands, American Samoa, Guam, federally Estimated Amount of This Competition: during the peak southern bird migration, recognized Indian tribal governments, the $1,300,000. emphasizes the need for continued vigilance Federated States of Micronesia, the Republic Estimated Number of Awards to be Made: for the spread of the virus beyond the of the Marshall Islands, and the Republic of 2. outbreak epicenter. The purpose of the Palau. In addition, official public health Estimated or Average Size of Each Award: program is to provide assistance to agencies of city governments, with $650,000. organizations in developing applied research jurisdictional populations greater than Estimated Project Period: 4 Years. efforts pertaining to West Nile (WN) virus 1,500,000, or county governments, with Application Availability Date: October 1, and other arboviruses that occur in the jurisdictional populations greater than 2003. United States (U.S.). 8,000,000 (based on 2000 census data), are Application Deadline: November 17, 2003. Eligible Applicants: Applications may be eligible to apply. Project Award Date: February 28, 2004. submitted by public and private nonprofit Funding preference will be given to current Competition Title: Cooperative Agreement organizations and by governments and their ELC grantees. for Research on the Ecology and Control of agencies; that is, universities, colleges, Estimated Amount of This Competition: Tick Vectors of Lyme Disease in the United research institutions, hospitals, other public Cycle A: $20,000,000 Cycle B: $16,000,000. States. and private nonprofit organizations, State Estimated Number of Awards to be Made: Program Announcement Number: 04007. and local governments or their bona fide 45. CFDA Number: 93.942. agents, including the District of Columbia, Estimated or Average Size of Each Award: Program Contact Person: Joe Piesman. the Commonwealth of Puerto Rico, the Virgin $800,000. E-Mail Address: [email protected]. Islands, the Commonwealth of the Northern Estimated Project Period: 5 Years. Phone Number: (970) 221–6408. Mariana Islands, American Samoa, Guam, the Application Availability Date: Cycle A: Competition Description: The purpose of Federated States of Micronesia, the Republic November 1, 2003, Cycle B: February 3, 2004. the program is to increase the understanding
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of the ecology of Lyme disease in the United organizations, state and local governments or Estimated or Average Size of Each Award: States, especially in high risk areas, and to their bona fide agents, including the District $300,000. test available methods for controlling tick of Columbia, the Commonwealth of Puerto Estimated Project Period: 3 Years. vectors of Lyme disease that will lead Rico, the Virgin Islands, the Commonwealth Application Availability Date: November 3, directly to the design of new prevention of the Northern Mariana Islands, American 2003. strategies to limit the transmission of the Samoa, Guam, the Federated States of Application Deadline: February 3, 2004. etiologic agent of Lyme disease, Borrelia Micronesia, the Republic of the Marshall Project Award Date: August 1, 2004. burgdorferi. Awards will be made in two Islands, and the Republic of Palau, political Competition Title: Grants for Violence- separate categories, (1) tick ecology projects subdivisions of states (in consultation with Related Injury Prevention Research: Youth and (2) tick control projects. States), federally recognized Indian tribal Violence, Suicide, Intimate Partner Violence, Eligible Applicants: Applications may be governments, Indian tribes, or Indian tribal and Sexual Violence. submitted by public and private nonprofit organizations. Faith-based organizations are Program Announcement Number: 04045. organizations and by governments and their eligible to apply for these funds. CFDA Number: 93.136. agencies; that is, universities, colleges, Estimated Amount of This Competition: Program Contact Person: Paul Smutz. technical schools, research institutions, $1,300,000. E-Mail Address: [email protected]. hospitals, other public and private nonprofit Estimated Number of Awards to be Made: Phone Number: (770) 488–1508. organizations, community-based 7. Competition Description: NCIPC is organizations, state and local governments or Estimated or Average Size of Each Award: soliciting investigator-initiated research that their bona fide agents, including the District $200,000. will help expand and advance our of Columbia, the Commonwealth of Puerto Estimated Project Period: 4 Years. understanding of violence, its causes, and Rico, the Virgin Islands, the Commonwealth Application Availability Date: October 1, prevention strategies. The following research 2003. of the Northern Mariana Islands, American themes are the focus of this investigator- Application Deadline: December 1, 2003. Samoa, Guam, the Federated States of initiated solicitation: Project Award Date: February 28, 2004. Micronesia, the Republic of the Marshall 1. Evaluate strategies for disseminating and Islands, and the Republic of Palau, political National Center for Injury Prevention and implementing evidence-based interventions subdivisions of states (in consultation with Control (NCIPC) or policies for the prevention of child states), federally recognized Indian tribal Competition Title: Grants for Acute Care, maltreatment or youth violence; governments, Indian tribes, or Indian tribal 2. Evaluate the efficacy and effectiveness of organizations. Faith-based organizations are Rehabilitation, and Disability Prevention Research. interventions, programs, and policies to eligible to apply for these funds. prevent intimate partner violence, sexual Estimated Amount of This Competition: Program Announcement Number: 04044. CFDA Number: 93.136. violence (includes both sexual violence $1,300,000. against adults and child sexual abuse), child Estimated Number of Awards to be Made: Program Contact Person: Paul Smutz. E-Mail Address: [email protected]. maltreatment, youth violence or suicidal 4. behavior; and Estimated or Average Size of Each Award: Phone Number: (770) 488–1508. Competition Description: In conducting 3. Identify shared and unique risk and $325,000. protective factors for the perpetration of Estimated Project Period: 4 Years. activities to achieve the purposes of this program, the recipient will be responsible for intimate partner violence, sexual violence, Application Availability Date: October 1, child maltreatment, youth violence, or 2003. one of the following research activities: 1. Develop and evaluate protocols that suicidal behavior, and examine the Application Deadline: November 17, 2003. relationships among these forms of violence. Project Award Date: February 28, 2004. provide onsite interventions in acute care settings or linkages to off-site services for Eligible Applicants: Applications may be Competition Title: Cooperative Agreement patients at risk of injury or psychosocial submitted by public and private nonprofit for Research on the Laboratory Diagnosis, problems following injury. and for profit organizations and by Immunology, and Pathogenesis of Lyme 2. Identify methods and strategies to ensure governments and their agencies; that is, Disease in the United States. that people with traumatic brain injury (TBI) universities, colleges, technical schools, Program Announcement Number: 04006. and spinal cord injury (SCI) receive needed research institutions, hospitals, other public CFDA Number: 93.942. services. and private nonprofit and for profit Program Contact Person: Barbara Stewart. 3. Develop and evaluate methods of using organizations, community-based E-Mail Address: [email protected]. point-of-care clinical information systems to organizations, state and local governments or Phone Number: (404) 639–0044. report injuries and other acute health their bona fide agents, including the District Competition Description: The purposes of problems to public health agencies. of Columbia, the Commonwealth of Puerto the program are to develop improved and Eligible Applicants: Applications may be Rico, the Virgin Islands, the Commonwealth standardized laboratory tests to identify and submitted by public and private nonprofit of the Northern Mariana Islands, American characterize infection by Borrelia burgdorferi and for profit organizations and by Samoa, Guam, the Federated States of and related Borrelia species in humans and governments and their agencies; that is, Micronesia, the Republic of the Marshall to better understand the immunology and universities, colleges, technical schools, Islands, and the Republic of Palau, federally pathogenic mechanisms of B. burgdorferi. research institutions, hospitals, other public recognized Indian tribal governments, Indian Better laboratory methods can facilitate and private nonprofit and for profit tribes, or Indian tribal organization, and earlier and more accurate diagnosis and organizations, community-based small, minority, and/or women-owned appropriate treatment of Lyme disease, thus organizations, state and local governments or businesses. Faith-based organizations are preventing secondary consequences of their bona fide agents, including the District eligible to apply for these funds. infection. Better laboratory methods also can of Columbia, the Commonwealth of Puerto Estimated Amount of This Competition: be used for improved surveillance and Rico, the Virgin Islands, the Commonwealth $2,600,000. understanding of the epidemiology of Lyme of the Northern Mariana Islands, American Estimated Number of Awards to be MADE: disease in communities. Samoa, Guam, the Federated States of 9. Immunology and pathogenesis studies can Micronesia, the Republic of the Marshall Estimated or Average Size of Each Award: enhance understanding of host responses to Islands, and the Republic of Palau, federally $275,000. infection, leading to improved prevention or recognized Indian tribal governments, Indian Estimated Project Period: 3 Years. intervention strategies such as vaccination. tribes, or Indian tribal organization, and Application Availability Date: November 3, Eligible Applicants: Applications may be small, minority, and/or women-owned 2003. submitted by public and private nonprofit businesses. Faith-based organizations are Application Deadline: February 3, 2004. organizations and by governments and their eligible to apply for these funds. Project Award Date: August 1, 2004. agencies; that is, universities, colleges, Estimated Amount of This Competition: Competition Title: Grants for New technical schools, research institutions, $600,000. Investigator Training Awards for hospitals, other public and private nonprofit Estimated Number of Awards to be Made: Unintentional Injury, Violence Related organizations, community-based 2. Injury, Biomechanics, and Acute Care,
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Disability, and Rehabilitation-Related Estimated Number of Awards to be Made: Competition Title: Research Grants to Research. 4. Prevent Unintentional Injuries. Program Announcement Number: 04046. Estimated or Average Size of Each Award: Program Announcement Number: 04048. CFDA Number: 93.136. $100,000. CFDA Number: 93.136. Program Contact Person: Paul Smutz. Estimated Project Period: 1 Year. Program Contact Person: Paul Smutz. E-Mail Address: [email protected]. Application Availability Date: November 3, Phone Number: (770) 488–1508. Phone Number: (770) 488–1508. 2003. E-Mail Address: [email protected]. Competition Description: Consideration of Application Deadline: February 3, 2004. Competition Description: Consideration of research that addresses one of the following Project Award Date: August 1, 2004. research that addresses the following: research areas: Competition Title: Grants for Traumatic 1. Develop methods to better define and (1) Violence-dissemination and Injury Biomechanics Research. measure supervision, especially in children. implementation of interventions for violence Program Announcement Number: 04047. 2. Evaluate existing and develop new prevention; effectiveness of interventions, CFDA Number: 93.136. methods to obtain exposure and injury programs, and policies to prevent violence; Program Contact Person: Paul Smutz. incidence data for sports, exercise and risk and protective factors for violence E-Mail Address: [email protected]. recreation-related injuries. perpetration. Phone Number: (770) 488–1508. 3. Identify risk and protective factors (2) Unintentional Injury-Dissemination of Competition Description: Consideration of related to childhood falls, safe motor vehicle effective interventions; evaluation of the research that addressees the following: High use by older adults, or car crashes involving usability of an intervention package for priority: (1) Use biomechanics research and teens. moving effective interventions to practice knowledge of injury tolerance and 4. Evaluate environmental, behavioral, and policy; effectiveness of interventions; mechanisms to develop and/or evaluate legislative, or regulatory interventions to identification of risk and protective factors interventions that address falls among prevent injuries related to sports, exercise, for injuries; development of measures of children and the elderly, injuries in mass and, recreation or pedestrian crashes. supervision and sports injuries. trauma events, sports/physical activity/ 5. Develop and evaluate the usability of an (3) Acute Care, Disability, and recreation injuries, motorcycling/bicycling/ intervention package for moving effective Rehabilitation-evaluation of protocols for pedestrian injuries and motor vehicle injuries interventions to public health practice and onsite interventions and linkage to offsite to child occupants and older drivers; (2) policy, especially for older adult falls services for patients at risk of injury or Identify the biomechanics and specific prevention or transportation safety. psychological problems following injury; injuries that would be highly predictive of 6. Evaluate strategies to increase identify of strategies to ensure people with diagnoses of intimate partner violence and dissemination of effective interventions to SCI and TBI receive services; evaluation of child maltreatment, and improve case reduce injuries that: Are related to alcohol- injury clinical information systems. definitions. Lower priority: (1) Advance the impaired driving; occur at home and in the (4) Biomechanics-build on the basic biomechanical understanding of traumatic community; are due to falls at home among knowledge of biomechanics and encourage injury though biofidelic model development, older community-dwelling adults; or sports, interdisciplinary intervention oriented injury injury assessment technology improvements, recreation and exercise-related. control research as supported in the CDC and research into injury mechanisms and Eligible Applicants: Applications may be Injury Research Agenda. biomechanical responses; (2) Define human submitted by public and private nonprofit Eligible Applicants: Applications may be tolerance limits for injury with respect to age, and for profit organizations and by submitted by public and private nonprofit fitness and gender; define injury tolerance of governments and their agencies; that is, and for profit organizations and by tissue, bone, and other structures for universities, colleges, technical schools, governments and their agencies; that is, developing interventions; (3) Identify research institutions, hospitals, other public universities and colleges (including but not modifiable risk factors for and mechanisms of and private nonprofit and for profit limited to schools or departments of public nonfatal neck, back, and soft tissue organizations, community-based health, medicine, nursing, criminal justice, (whiplash-like) injuries. organizations, state and local governments or bioengineering, or the behavioral or social Eligible Applicants: Applications may be their bona fide agents, including the District sciences), technical schools, research submitted by public and private nonprofit of Columbia, the Commonwealth of Puerto institutions, hospitals, other public and and for profit organizations and by Rico, the Virgin Islands, the Commonwealth private nonprofit and for profit organizations, governments and their agencies; that is, of the Northern Mariana Islands, American community-based organizations, state and universities, colleges, technical schools, Samoa, Guam, the Federated States of local governments or their bona fide agents, research institutions, hospitals, other public Micronesia, the Republic of the Marshall including the District of Columbia, the and private nonprofit and for profit Islands, and the Republic of Palau, federally Commonwealth of Puerto Rico, the Virgin organizations, community-based recognized Indian tribal governments, Indian Islands, the Commonwealth of the Northern organizations, state and local governments or tribes, or Indian tribal organization, and Mariana Islands, American Samoa, Guam, the their bona fide agents, including the District small, minority, and/or women-owned Federated States of Micronesia, the Republic of Columbia, the Commonwealth of Puerto businesses. Faith-based organizations are of the Marshall Islands, and the Republic of Rico, the Virgin Islands, the Commonwealth eligible to apply for these funds. Palau, federally recognized Indian tribal of the Northern Mariana Islands, American Estimated Amount of This Competition: governments, Indian tribes, or Indian tribal Samoa, Guam, the Federated States of $800,000. organization, and small, minority, and/or Micronesia, the Republic of the Marshall Estimated Number of Awards to be Made: women-owned businesses. Applicants must Islands, and the Republic of Palau, federally 3. have a research or a health-professional recognized Indian tribal governments, Indian Estimated or Average Size of Each Award: doctorate-level degree from an accredited tribes, or Indian tribal organization, and $265,000. program and have demonstrated the capacity small, minority, and/or women-owned Estimated Project Period: 3 Years. or potential for highly productive research in businesses. Faith-based organizations are Application Availability Date: November 3, the period after the doctorate, commensurate eligible to apply for these funds. 2003. with level of experience. Applicants who Estimated Amount of This Competition: Application Deadline: February 3, 2004. have been the principal investigator on an $1,100,000. Project Award Date: August 1, 2004. R01 or R01 equivalent health-related research Estimated Number of Awards to be Made: Competition Title: Grants for Dissertation grant or who have had equivalent injury 3–4. Awards for Doctoral Candidates for Violence- related research support from an existing Estimated or Average Size of Each Award: Related Injury Prevention Research in Injury Control Research Center (ICRC) are not $275,000. Minority Communities. eligible. Recipients of dissertation research Estimated Project Period: 3 Years. Program Announcement Number: 04049. grants or NIH Small Grant Awards are Application Availability Date: November 3, CFDA Number: 93.136. eligible to apply. 2003. Program Contact Person: Paul Smutz. Estimated Amount of This Competition: Application Deadline: February 3, 2004. E-Mail Address: [email protected]. $400,000. Project Award Date: August 1, 2004. Phone Number: (770) 488–1508.
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Competition Description: To achieve the Competition Description: The purpose of http://www.cdc.gov/niosh for links to the purpose of this program, the recipient will be this cooperative agreement is to assist announcements. responsible for one of the following National Minority Organizations (NMOs) Eligible Applicants: Eligible applicants activities: with the promotion and improvement of include domestic and foreign, public and childhood, adolescent, and adult private nonprofit and for-profit organizations Violence immunization coverage levels. Applicants and by governments and their agencies; that (1) Evaluating strategies for disseminating must allocate a percentage of the funds is, universities, colleges, research and implementing evidence-based awarded to subcontract with affiliate institutions, hospitals, and other public and interventions or policies for the prevention of minority Community Based Organizations private organizations, including state and intimate partner violence, sexual violence, (CBOs). Focus is on technical assistance to local governments or their bona fide agents, youth violence, suicide, and child and training of CBOs to identify and and federally recognized Indian tribal maltreatment. document effective models of collaboration at governments, Indian tribes, or Indian tribal (2) Evaluating the efficacy, effectiveness, the community level to improve organizations. Racial/ethnic minority and cost effectiveness of interventions, immunization access and levels among racial individuals, women, and persons with programs, and policies to prevent intimate and ethnic minorities. Other requirements disabilities are encouraged to apply as partner violence, sexual violence, youth include development and dissemination of Principal Investigators. Faith-based violence, suicide, and child maltreatment. education products to be shared with other organizations are eligible to apply for these (3) Identifying shard and unique risk and national organizations, State and local health funds. protective factors for the perpetration of agencies, and other CBOs. Development and Estimated Amount of This Competition: intimate partner violence and sexual violence implementation of a plan to ensure $38,000,000. and examine the relationships among these sustainability of program activities to ensure Estimated Number of Awards To Be Made: its continuation after the end of the project forms of violence and others such as child 50. period is also necessary. maltreatment, youth violence, or suicidal Estimated or Average Size of Each Award: Eligible Applicants: Established, tax- behavior. $30,000 to $400,000, average $300,000. exempt national organizations that Estimated Project Period: Contact NIOSH Unintentional Injury coordinate public health or related programs Extramural Program Office, serving racial or ethnic minority populations Dissemination of effective interventions; http://www.cdc.gov/niosh/extramur.html. within a major portion or region of the evaluation of the usability of an intervention Application Availability Date: Contact United States through their own offices or package for moving effective interventions to NIOSH Extramural Program Office, organizational affiliates. Faith-based practice and policy; effectiveness of http://www.cdc.gov/niosh/extramur.html. organizations are eligible to apply for these interventions; identification of risk and Application Deadline: All (new) February funds. Groups recognized as racial and ethnic protective factors for injuries; development of 3, June 1, and October 1, 2004. Competing minorities include (but are not limited to) measures of supervision and sports injuries. Continuation, Supplemental, and Revised African Americans, Alaskan Natives, Asian Eligible Applicants: Assistance will be Research Grant/Cooperative Agreements Americans, Caribbean Americans, Latinos/ applications—March 1, 2004, July 1, 2004, provided to any United States public or Hispanics, Native Americans, and Pacific private institution. The institution must and November 1, 2004. Islanders. Project Award Date: From 4 to 5 months, support an accredited doctoral level training Estimated Amount for This Competition: program. The performance site must be with an additional 4 to 5 months for program $750,000. review and funding. domestic. Applicants must be students in Estimated Number of Awards to be Made: Competition Title: Occupational Safety and good standing enrolled in an accredited 3. Health Research Grants—Special Emphasis doctoral degree program. The applicant must Estimated or Average Size of Each Award: Research Career Award (K01). have the authority and responsibility to carry $250,000. Program Announcement Number: NIOSH– out the proposed project. Applicants must be Estimated Project Period: 3 years. 2. conducting or intending to conduct research Application Availability Date: January in one of the areas described under the 2004. CFDA Number: 93.262 (K01). ‘‘Research Objectives’’ in the Program Application Deadline: March 2004. Program Contact Person: Gwendolyn Requirement’s section of this announcement. Projected Award Date: July 1, 2004. Cattledge. To receive this funding, applicants must have E-Mail Address: [email protected]. successfully defended their dissertation National Institute for Occupational Safety Phone Number: (404) 498–2508. proposal. This must be verified in a letter of and Health (NIOSH) Competition Description: Special Emphasis certification from the mentor (the chair or Competition Title: Occupational Safety and Research Career Award (SERCA) Grants another member of the dissertation Health Research Grants—Investigator- (K01) are an important mechanism used in committee). CDC requests that, if available, Initiated (R01). the occupational safety and health research the letter of certification be submitted with Program Announcement Number: NIOSH– grants program to attract new investigators the grant application, or before the 1. into occupational safety and health. NIOSH negotiation and award. CFDA Number: 93.262 (R01). supports research to identify and investigate Estimated Amount of This Competition: Program Contact Person: Michael Galvin. the relationships between hazardous working $120,000. E-Mail Address: [email protected]. conditions and associated occupational Estimated Number of Awards to be Made: Phone Number: (404) 498–2524. diseases and injuries; to develop more 6. Competition Description: NIOSH supports sensitive means of evaluating hazards at Estimated or Average Size of Each Award: research to identify and investigate the work sites, as well as methods for measuring $20,000. relationships between hazardous working early markers of adverse health effects and Estimated Project Period: 1 Year. conditions and associated occupational injuries; to develop new protective Application Availability Date: November 3, diseases and injuries; to develop more equipment, engineering control technology, 2003. sensitive means of evaluating hazards at and work practices to reduce the risks of Application Deadline: February 3, 2004. work sites, as well as methods for measuring occupational hazards; and to evaluate the Project Award Date: August 1, 2004. early markers of adverse health effects and technical feasibility or application of a new injuries; to develop new protective or improved occupational safety and health National Immunization Program (NIP) equipment, engineering control technology, procedure, method, technique, or system. Competition Title: National Minority and work practices to reduce the risks of Eligible Applicants: Eligible applicants Organizations Immunization Projects. occupational hazards; and, to evaluate the include domestic and foreign, public and Program Announcement Number: 04051. technical feasibility or application of a new private nonprofit and for-profit organizations CFDA Number: 93.185. or improved occupational safety and health and governments and their agencies; that is, Program Contact Person: Valerie Morelli. procedure, method, technique, or system. universities, colleges, research institutions, E-Mail Address: [email protected]. The announcement for this program is hospitals, and other public and private Phone Number: (404) 639–8091. published in the NIH Guide. See organizations, including state and local
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governments or their bona fide agents, and Estimated or Average Size of Each Award: Continuation, Supplemental, and Revised federally recognized Indian tribal $30,000 to $200,000, average $130,000. Research Grant/Cooperative Agreements governments, Indian tribes, or Indian tribal Estimated Project Period: Contact NIOSH applications—March 1, 2004, July 1, 2004, organizations. Racial/ethnic minority Extramural Program Office or visit http:// and November 1, 2004. For request for individuals, women, and persons with www.cdc.gov/niosh/extramur.html. application: Please contact program office or disabilities are encouraged to apply as Application Availability Date: Contact visit http://www.cdc.gov/niosh/ Principal Investigators. Faith-based NIOSH Extramural Program Office or visit extramur.html. organizations are eligible to apply for these http://www.cdc.gov/niosh/extramur.html. Project Award Date: From 4 to 5 months, funds. Application Deadline: All (new) February with an additional 4 to 5 months for program Estimated Amount of This Competition: 3, June 1, and October 1, 2004. Competing review and funding. $4,000,000. Continuation, Supplemental, and Revised Competition Title: Occupational Safety and Estimated Number of Awards To Be Made: Research Grant/Cooperative Agreements Health Training. 20. applications—March 1, 2004, July 1, 2004, Program Announcement Number: 04001. Estimated or Average Size of Each Award: and November 1, 2004. To request CFDA Number: 93.263. $30,000 to $400,000, average $200,000. application: Please contact NIOSH Program Contact Person: John Talty. Estimated Project Period: Contact NIOSH Extramural Program Office or visit http:// E-Mail Address: [email protected]. Extramural Program Office, www.cdc.gov/niosh/extramur.html. Phone Number: (513) 533–4687. http://www.cdc.gov/niosh/extramur.html. Project Award Date: From 4 to 5 months, Competition Description: The National Application Availability Date: Contact with an additional 4 to 5 months for program Institute for Occupational Safety and Health NIOSH Extramural Program Office, review and funding. (NIOSH) is mandated to provide an adequate http://www.cdc.gov/niosh/extramur.html. Competition Title: Occupational Safety and supply of qualified personnel to carry out the Application Deadline: All (new) February Health Research Grants-Exploratory and purposes of the Occupational Safety and 3, June 1, and October 1, 2004. Competing Developmental (R21). Health Act. The specific purpose of this Continuation, Supplemental, and Revised Program Announcement Number: NIOSH– program is to provide financial assistance to Research Grant/Cooperative Agreements 4. eligible applicants to assist in providing an applications—March 1, 2004, July 1, 2004, CFDA Number: 93.262 (R21). adequate supply of qualified professional and November 1, 2004. Program Contact Person: Michael Galvin. occupational safety and health personnel. Project Award Date: From 4 to 5 months, E-Mail Address: [email protected]. The objective is to develop specialized with an additional 4 to 5 months for program Phone Number: (404) 498–2524. professional and paraprofessional personnel review and funding. Competition Description: Exploratory and in the occupational safety and health field Competition Title: Occupational Safety and Developmental (R21) research program is with training in occupational medicine, Health Research Grants—Small Grants (R03). another mechanism used in the occupational occupational health nursing, industrial Program Announcement Number: NIOSH– safety and health research grants program. hygiene, and occupational safety. Projects are 3. NIOSH supports research to identify and funded to support Occupational Safety and CFDA Number: 93.262 (R03). investigate the relationships between Health Education and Research Center Program Contact Person: Michael Galvin. hazardous working conditions and associated Training Grants (ERCs) and Long-Term E-Mail Address: [email protected]. occupational diseases and injuries; to Training Project Grants (TPGs). ERCs are Phone Number: (404) 498–2524. develop more sensitive means of evaluating academic institutions that provide Competition Description: The NIOSH hazards at work sites, as well as methods for interdisciplinary graduate training and Small Grant (R03) program is one of the measuring early markers of adverse health continuing education in the industrial mechanisms used in the occupational safety effects and injuries; to develop new hygiene, occupational health nursing, and health research grants program. NIOSH protective equipment, engineering control occupational medicine, occupational safety, supports research to identify and investigate technology, and work practices to reduce the and closely related occupational safety and the relationships between hazardous working risks of occupational hazards; and, to health fields. The ERCs also serve as regional conditions and associated occupational evaluate the technical feasibility or resource centers for industry, labor, diseases and injuries; to develop more application of a new or improved government, and the public. TPGs are sensitive means of evaluating hazards at occupational safety and health procedure, academic institutions that primarily provide work sites, as well as methods for measuring method, technique, or system. single-discipline graduate training in the early markers of adverse health effects and Eligible Applicants: Eligible applicants industrial hygiene, occupational health injuries; to develop new protective include domestic and foreign, public and nursing, occupational medicine, equipment, engineering control technology, private nonprofit and for-profit organizations occupational safety, and closely related and work practices to reduce the risks of and by governments and their agencies; that occupational safety and health fields. occupational hazards; and to evaluate the is, universities, colleges, research Eligible Applicants: Any public or private technical feasibility or application of a new institutions, hospitals, and other public and educational or training agency or institution or improved occupational safety and health private organizations, including state and that has demonstrated competency in the procedure, method, technique, or system. local governments or their bona fide agents, occupational safety and health field and is Eligible Applicants: Eligible applicants and federally recognized Indian tribal located in a State, the District of Columbia, include domestic and foreign, public and governments, Indian tribes, or Indian tribal the Commonwealth of Puerto Rico, the Virgin private nonprofit and for-profit organizations organizations. Racial/ethnic minority Islands, American Samoa, Guam, the Trust and by governments and their agencies; that individuals, women, and persons with Territory of the Pacific Islands, Wake Island, is, universities, colleges, research disabilities are encouraged to apply as Outer Continental Shelf lands defined in the institutions, hospitals, and other public and Principal Investigators. Faith-based Outer Continental Shelf Lands Act, Johnston private organizations, including State and organizations are eligible to apply for these Island, and any other U.S. Territory or Trust local governments or their bona fide agents, funds. Territory not named herein are eligible to and federally recognized Indian tribal Estimated Amount of This Competition: apply for an institutional training grant. governments, Indian tribes, or Indian tribal $4,000,000. Faith-based organizations are eligible to organizations. Racial/ethnic minority Estimated Number of Awards to be Made: apply for these funds. individuals, women, and persons with 25. Estimated Amount of This Competition: disabilities are encouraged to apply as Estimated or Average Size of Each Award: $4,000,000. Principal Investigators. Faith-based $30,000 to $200,000, average $150,000. Estimated Number of Awards to be Made: organizations are eligible to apply for these Estimated Project Period: Contact NIOSH 12. funds. Extramural Program Office. Estimated or Average Size of Each Award: Estimated Amount of This Competition: Application Availability Date: Contact ERC Grants: range: $400,000 to $800,000; $4,000,000. NIOSH Extramural Program Office. average $600,000. Other: $20,000 to Estimated Number of Awards to be Made: Application Deadline: All (new) February $500,000, average $58,000. 30. 3, June 1, and October 1, 2004. Competing Estimated Project Period: Up to five years.
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Application Availability Date: April 2003. and for-profit organizations, state and local strategies to those who can intervene in the Application Deadline: July 1, 2004. governments or their bona fide agents, and workplace. Project Award Date: FY 2004. Contact federally recognized Indian tribal Eligible Applicants: Applications may be program office for updated information or governments, Indian tribes, or Indian tribal submitted by public and private nonprofit visit http://www.cdc.gov/niosh/ organizations. Faith-based organizations are and for-profit organizations and by extramur.html. eligible to apply for these funds. governments and their agencies; that is, Competition Title: Health and Safety Estimated Amount of This Competition: universities, colleges, research institutions, Programs for Construction Work. $5,000,000. hospitals, other public and private nonprofit Program Announcement Number: NIOSH– Estimated Number of Awards to be Made: and for-profit organizations, state and local 5. 1 or 2. governments or their bona fide agents, and CFDA Number: 93.955. Estimated or Average Size of Each Award: federally recognized Indian tribal Program Contact Person: Michael Galvin. $5,000,000. governments, Indian tribes, or Indian tribal E-Mail Address: [email protected]. Estimated Project Period: 3 to 5 years organizations. Faith-based organizations are Phone Number: (404) 498–2524. depending on availability of funds, with Competition Description: The purposes of eligible to apply for these funds. budget periods of 12 months. this cooperative agreement are to develop, Estimated Amount of This Competition: Application Availability Date: November implement, and evaluate a national research $500,000. 2003. Contact program office for updated program in prevention intervention Estimated Number of Awards to be Made: information or visit http://www.cdc.gov/ effectiveness research and preventive service varies. systems research in construction safety and niosh/extramur.html. Estimated or Average Size of Each Award: health. Many of the National Occupational Application Deadline: February 3, 2004. Surveillance program $100,000 to $200,000, Research Agenda (NORA) priority areas are Project Award Date: FY 2004. Contact average $150,000. relevant to the construction industry and program office for updated information or Estimated Project Period: Awards may be should be considered when responding to visit http://www.cdc.gov/niosh/ made up to 4 years as indicated below this Request for Assistance. These include, extramur.html. depending on availability of funds, with preventing hearing loss, back disorders, Competition Title: Surveillance Program. budget periods of 12 months. Surveillance asthma, and dermatitis and reducing or Program Announcement Number: NIOSH– program-up to 4 years. 6. eliminating traumatic injuries (caused by Application Availability Date: Contact CFDA Number: 93.957. falls, electrocutions, struck-bys or contact NIOSH Extramural Program Office or visit Program Contact Person: Gwendolyn with materials/objects). In addition, other http://www.cdc.gov/niosh/extramur.html. Cattledge. high priority problems in construction are Application Deadline: April 1, 2004. E-Mail Address: [email protected]. not explicitly included in NORA, such as Project Award Date: Contact NIOSH Phone Number: (404) 498–2508. silicosis and lead poisoning, which should be Extramural Program Office or visit http:// addressed. The overall project will respond Competition Description: To (1) Recognize www.cdc.gov/niosh/extramur.html. to problems that are specific to different new hazards; (2) define the magnitude of the regions, different trades, and different problem; (3) follow trends in incidence; (4) Dated: September 30, 2003. industry sectors. target exceptional hazardous workplaces for Edward J. Schultz, Eligible Applicants: Applications may be intervention; and (5) evaluate the Acting Director, Procurement and Grants submitted by public and private nonprofit effectiveness of prevention efforts. The goal Office, Centers for Disease Control and and for-profit organizations and by of this program is to prevent selected Prevention. governments and their agencies; that is, occupational morbidity and mortality by universities, colleges, research institutions, evaluating work situations at high risk and [FR Doc. 03–25240 Filed 10–6–03; 8:45 am] hospitals, other public and private nonprofit formulating and disseminating prevention BILLING CODE 4163–18–P
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Part IV
Department of Housing and Urban Development 24 CFR Part 203 Up-Front Mortgage Insurance Premiums for Loans Insured Under Sections 203(k) and 234(c) of the National Housing Act; Proposed Rule
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DEPARTMENT OF HOUSING AND A. Background number of small entities. This rule URBAN DEVELOPMENT Section 203(c) of the National imposes no new obligations of any kind, Housing Act (NHA) authorizes the but only changes the scheduling and 24 CFR Part 203 Secretary to set the premium charge for conditions of premium payment [Docket No. FR–4749–P–01] insurance of mortgages under Title II of obligations, requiring an up-front the NHA. Prior to a recent statutory payment instead of monthly payments. RIN 2502–AH82 change, section 203(c)(2) provided for Generally, these amounts are amortized the establishment of an up-front in the mortgage and ultimately impose Up-Front Mortgage Insurance no obligations on businesses. Premiums for Loans Insured Under premium for mutual mortgage insurance programs not to exceed 2.25 percent of Notwithstanding HUD’s Sections 203(k) and 234(c) of the determination that this rule does not National Housing Act the amount of the original insured principal obligation of the mortgage. have a significant economic impact on a substantial number of small entities, AGENCY: Office of Assistant Secretary for The Fiscal Year (FY) 2002 HUD HUD specifically invites comments Housing—Federal Housing Appropriations Act (Pub. L. 107–73, regarding any less burdensome Commissioner, HUD. approved November 26, 2001), amended alternatives to this rule that will meet ACTION: Proposed rule. this authority. Specifically, section 207 of the FY 2002 HUD Appropriations Act HUD’s objectives as described in the SUMMARY: HUD charges an up-front amended section 203(c) of the NHA to preamble. mortgage insurance premium (MIP) for include mortgages insured under Executive Order 12866 section 203(k) (rehabilitation loans) and loans that are obligations of its mutual The Office of Management and Budget section 234(c) (condominium loans) mortgage insurance fund, and of its (OMB) reviewed this proposed rule among those mortgages for which HUD general insurance fund only for under Executive Order 12866 (entitled collects a premium payment not to insurance in connection with Section 8 ‘‘Regulatory Planning and Review’’), exceed 2.25 percent of the amount of the homeownership. However, to date there which the President issued on original insured mortgage (or not to has been no provision for up-front September 30, 1993. This rule was exceed 2.0 percent for a first-time premiums for loans such as home determined economically significant homebuyer who completes an approved rehabilitation loans under section 203(k) under E.O. 12866. Any changes made to program of homeownership counseling) of the National Housing Act (NHA) and the proposed rule subsequent to its at the time of insurance. Finally, the condominium unit loans under section submission to OMB are identified in the statutory amendments that are the 234(c) which are obligations of the docket file, which is available for public subject of this rule only apply to general insurance fund. Recent statutory inspection in the office of the mortgages that are executed after the changes now provide for an up-front Regulations Division, Office of General date of enactment of the law, which was MIP for those programs. This rule Counsel, Room 10276, Department of November 26, 2001. HUD, however, will amends HUD’s regulations related to Housing and Urban Development, 451 only collect up-front premiums for mortgage insurance to conform the Seventh Street, SW., Washington, DC 203(k) and 234(c) loans originated after regulations to the recent statutory 20410–0500. The Economic Analysis the effective date of the final rule. changes. prepared for this rule is also available DATES: Comment Due Date: December 8, B. This Proposed Rule for public inspection in the Regulations 2003. This proposed rule would amend Division. ADDRESSES: Interested persons are relevant sections of HUD’s regulations Environmental Impact invited to submit comments regarding in 24 CFR part 203 to conform these This proposed rule involves the this rule to the Regulations Division, regulations to the statutory changes. discretionary establishment of a rate or Office of General Counsel, Room 10276, Specifically, this proposed rule would cost determination and related external Department of Housing and Urban amend regulations at 24 CFR 203.284(a) administrative or fiscal requirements, Development, 451 Seventh Street, SW., and 203.285(a), on up-front premiums, which do not constitute a development Washington, DC 20410–0500. and § 203.50, on rehabilitation loans decision affecting the physical Communications should refer to the under section 203(k). Part 234, which condition of specific project areas or above docket number and title. relates to condominium mortgage building sites. Accordingly, under 24 Facsimile (FAX) comments are not insurance, incorporates by reference at CFR 50.19(c)(6), this proposed rule is acceptable. A copy of each § 234.255 the provisions of 24 CFR categorically excluded from communication submitted will be 203.284 and 203.285, and, therefore, environmental review under the available for public inspection and will include the latest revisions, so that National Environmental Policy Act of copying between 8 a.m. and 5 p.m. further revision of part 234 is 1969 (42 U.S.C. 4321). weekdays at the above address. unnecessary. Transition provisions in FOR FURTHER INFORMATION CONTACT: 24 CFR 203.284 and 203.285 for older Executive Order 13132, Federalism Vance T. Morris, Director, Office of mortgage loans will remain as published Executive Order 13132 (entitled Single Family Program Development, in the April 1, 2003, edition of title 24 ‘‘Federalism’’) prohibits, to the extent Department of Housing and Urban of the Code of Federal Regulations. practicable and permitted by law, an Development, 451 Seventh Street, SW., Findings and Certifications agency from promulgating a regulation Washington, DC 20410–8000, at (202) that has federalism implications and 708–2121 (this is not a toll-free Regulatory Flexibility Act either imposes substantial direct number). Persons with hearing- or The Secretary, in accordance with the compliance costs on state and local speech-impairments may access these Regulatory Flexibility Act (5 U.S.C. governments and is not required by numbers via TTY by calling the Federal 605(b)), has reviewed and approved this statute, or preempts state law, unless the Information Relay Service at (800) 877– proposed rule, and in so doing certifies relevant requirements of section 6 of the 8339 (this is a toll-free number). that this rule will not have a significant Order are met. This rule does not have SUPPLEMENTARY INFORMATION: economic impact on a substantial federalism implications and does not
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impose substantial direct compliance Accordingly, for the reasons stated in National Housing Act (12 U.S.C. 1709 costs on state and local governments or the preamble, HUD proposes to amend (k) and 12 U.S.C. 1715y(c)) shall be preempt state law within the meaning of 24 CFR part 203 as follows: subject to the following requirements: the Order. * * * * * PART 203—SINGLE FAMILY HOUSING Unfunded Mandates Reform Act MORTGAGE INSURANCE (b) Transition provisions; savings provision. Mortgages that are obligations Title II of the Unfunded Mandates 1. The authority citation for 24 CFR of the Mutual Mortgage Insurance Fund Reform Act of 1995 (Pub. L. 104–4; part 203 continues to read as follows: and that were insured during Fiscal approved March 22, 1995) (UMRA) Authority: 12 U.S.C. 1709, 1710, 1715b, Years 1991–1994, are governed by 24 establishes requirements for federal and 1715u; 42 U.S.C. 3535(d). CFR 203.284(b) as in effect on April 1, agencies to assess the effects of their 2003, (see 24 CFR parts 200–499 revised regulatory actions on state, local, and Subpart A—Eligibility Requirements as of April 1, 2003). tribal governments, and on the private and Underwriting Procedures * * * * * sector. This proposed rule does not 2. Amend 24 CFR 203.50 by adding a 4. Amend 24 CFR 203.285 by revising impose any federal mandates on any paragraph (m) to read as follows: the first sentence of paragraph (a) to state, local, or tribal governments, or on read as follows: the private sector, within the meaning of § 203.50 Eligibility of rehabilitation loans. the UMRA. * * * * * § 203.285 Fifteen-year mortgages: (m) With regard to loans under this Calculation of up-front and annual MIP on Congressional Review of Final Rules section executed on or after [the or after December 26, 1992. This rule constitutes a ‘‘major rule’’ as effective date of the final rule], the (a) Up-front. Any mortgage for a term defined in the Congressional Review Commissioner shall charge an up-front of 15 or fewer years executed on or after Act (5 U.S.C. Chapter 8). At the final and annual MIP in accordance with 24 December 26, 1992, that is an obligation rule stage, this rule will have a 60-day CFR 203.284 or 203.285, whichever is of the Mutual Mortgage Insurance Fund, delayed effective date and be submitted applicable. and any mortgage executed on or after to Congress in accordance with the [the effective date of the final rule], to Subpart B—Contract Rights and requirements of the Congressional be insured under sections 203(k) and Obligations Review Act. 234(c) of the National Housing Act, 3. Amend 24 CFR 203.284 by revising shall be subject to a single up-front Catalog of Federal Domestic Assistance paragraph (a) introductory text and premium payment established and collected by the Commissioner in an The Catalog of Federal Domestic paragraph (b) to read as follows: amount not exceeding 2.0 percent of the Assistance number applicable to this § 203.284 Calculation of up-front and amount of the original insured principal rule is 14.117. annual MIP on or after July 1991. obligation of the mortgage. * * * List of Subjects in 24 CFR Part 203 * * * * * * * * * * (a) Permanent provisions. Any Hawaiian Natives, Home mortgage executed on or after October 1, Dated: September 9, 2003. improvement, Indians—lands, Loan 1994, that is an obligation of the Mutual John C. Weicher, programs—housing and community Mortgage Insurance Fund, as well as any Assistant Secretary for Housing-Federal development, Mortgage insurance, mortgage executed after [the effective Housing Commissioner. Reporting and recordkeeping date of the final rule], which is insured [FR Doc. 03–25214 Filed 10–6–03; 8:45 am] requirements, Solar energy. under sections 203(k) or 234(c) of the BILLING CODE 4210–27–P
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Reader Aids Federal Register Vol. 68, No. 194 Tuesday, October 7, 2003
CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING OCTOBER
Federal Register/Code of Federal Regulations At the end of each month, the Office of the Federal Register General Information, indexes and other finding 202–741–6000 publishes separately a List of CFR Sections Affected (LSA), which aids lists parts and sections affected by documents published since Laws 741–6000 the revision date of each title. 14 CFR Presidential Documents 3 CFR Executive orders and proclamations 741–6000 Proclamations: 39 ...... 57337, 57339, 57343, 57346, 57609, 57611 The United States Government Manual 741–6000 7710...... 56521 Administrative Orders: 71...... 57347 Other Services Presidential 97...... 57347, 57349 Electronic and on-line services (voice) 741–6020 Determinations: Proposed Rules: Privacy Act Compilation 741–6064 No. 2003–40 ...... 57319 39 ...... 56591, 56594, 56596, 56598, 56792, 56794, 56796, Public Laws Update Service (numbers, dates, etc.) 741–6043 5 CFR TTY for the deaf-and-hard-of-hearing 741–6086 56799, 56801, 57392, 57394, 575...... 56665 57639 890...... 56523 ELECTRONIC RESEARCH 892...... 56523, 56525 15 CFR 303...... 56555 World Wide Web 7 CFR 16 CFR Full text of the daily Federal Register, CFR and other publications 301...... 56529 is located at: http://www.access.gpo.gov/nara 930...... 57321 1000...... 57799 956...... 57324 Federal Register information and research tools, including Public 993...... 5783 17 CFR Inspection List, indexes, and links to GPO Access are located at: 1220...... 57326 230...... 57760 http://www.archives.gov/federallregister/ Proposed Rules: 239...... 57760 E-mail 58...... 57382 270...... 57760 274...... 57760 FEDREGTOC-L (Federal Register Table of Contents LISTSERV) is 9 CFR 275...... 56692 an open e-mail service that provides subscribers with a digital 113...... 57607 279...... 56692 form of the Federal Register Table of Contents. The digital form Proposed Rules: of the Federal Register Table of Contents includes HTML and 19 CFR 113...... 57638 PDF links to the full text of each document. Proposed Rules: To join or leave, go to http://listserv.access.gpo.gov and select 10 CFR 191...... 56804 Online mailing list archives, FEDREGTOC-L, Join or leave the list 30...... 57327 21 CFR (or change settings); then follow the instructions. 40...... 57327 172...... 57799, 57957 PENS (Public Law Electronic Notification Service) is an e-mail 70...... 57327 520...... 57351 service that notifies subscribers of recently enacted laws. 72...... 57785 Proposed Rules: 522...... 56765 To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html 52...... 57383 529...... 57613 and select Join or leave the list (or change settings); then follow 72...... 57839 1300...... 57799 the instructions. 1309...... 57799 FEDREGTOC-L and PENS are mailing lists only. We cannot 12 CFR 1310...... 57799 respond to specific inquiries. 3...... 56530 Proposed Rules: 204...... 57788 1...... 56600 Reference questions. Send questions and comments about the 208...... 56530 356...... 57642 Federal Register system to: [email protected] 225...... 56530 22 CFR The Federal Register staff cannot interpret specific documents or 325...... 56530 regulations. 559...... 57790 120...... 57352 562...... 57790 24 CFR FEDERAL REGISTER PAGES AND DATE, SEPTEMBER 563...... 57790 567...... 56530 598...... 57604 56521–56764...... 1 702...... 56537 599...... 57604 56765–57318...... 2 704...... 56537 982...... 57804 57319–57606...... 3 712...... 56537 Proposed Rules: 57607–57782...... 6 723...... 56537 203...... 58006 742...... 56537 57783–58008...... 7 26 CFR Proposed Rules: 3...... 56568 1...... 56556 208...... 56568 27 CFR 225...... 56568 325...... 56568 Proposed Rules: 567...... 56568 9...... 57840, 57845 701...... 56586 30 CFR 708a...... 56589 741...... 56586 935...... 57352 938...... 56765, 57805 13 CFR Proposed Rules: 120...... 56553, 57960 917...... 57398
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33 CFR 81...... 57820 64...... 56764 226...... 56561 117...... 57356, 57614 239...... 57824 73...... 57829 237...... 56563 165 ...... 57358, 57366, 57368, 258...... 57824 Proposed Rules: 252...... 56560, 56561 57370, 57616 Proposed Rules: 73 ...... 56810, 56811, 57861 1817...... 57629 30...... 57850 Proposed Rules: 334...... 57624 48 CFR Proposed Rules: 31...... 57850 16...... 56613 334...... 57642 33...... 57850 Ch. 1...... 56668, 56689 39...... 56613 35...... 57850 1...... 56669 37 CFR 40...... 57850 2 ...... 56669, 56676, 56681 80...... 56805, 57851 4 ...... 56669, 56676, 56679 49 CFR 2...... 56556 82...... 56809 5...... 56676 171...... 57629 260...... 57814 239...... 57855 6...... 56676 172...... 57629 38 CFR 258...... 57855 7...... 56676 173...... 57629 261...... 56603 8...... 56688 175...... 57629 Proposed Rules: 300...... 57855 9...... 56676 176...... 57629 17...... 56876 10...... 56676, 56681 177...... 57629 41 CFR 12 ...... 56676, 56681, 56682 178...... 57629 39 CFR 101–6...... 56560 13...... 56669, 56681 179...... 57629 111...... 56557 101–8...... 57730 14...... 56676 224...... 56557 19...... 56676, 56681 50 CFR 230...... 57372 42 CFR 22...... 56676 261...... 56557 412...... 57732 24...... 56688 17...... 56564, 57829 262...... 56557 413...... 57732 25 ...... 56676, 56681, 56684, 32...... 57308 263...... 56557 56685 622...... 57375 264...... 56557 44 CFR 31...... 56686 635...... 56783 265...... 56557 65...... 57625 32...... 56669, 56682 660...... 57379 266...... 56557 67...... 57825, 57828 34...... 56676 679 ...... 56788, 57381, 57634, 267...... 56557 Proposed Rules: 35...... 56676 57636, 57837 268...... 56557 67...... 57856 36...... 56676 697...... 56789 52 ...... 56669, 56682, 56684, Proposed Rules: 40 CFR 47 CFR 56685 17...... 57643, 57646 62...... 57518 24...... 57828 202...... 56560 622...... 57400 80...... 56776, 57815 52...... 56781 213...... 56560 648...... 56811
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REMINDERS Nectarines and peaches Various States; comments Claims; electronic The items in this list were grown in— due by 10-17-03; submission; comments editorially compiled as an aid California; comments due by published 9-17-03 [FR 03- due by 10-14-03; to Federal Register users. 10-14-03; published 8-15- 23749] published 8-15-03 [FR 03- Inclusion or exclusion from 03 [FR 03-20875] Air programs; approval and 20955] this list has no legal COMMERCE DEPARTMENT promulgation; State plans Part B drugs; payment for designated facilities and reform; comments due by significance. National Oceanic and pollutants: 10-14-03; published 8-20- Atmospheric Administration Various States; comments 03 [FR 03-21308] RULES GOING INTO Fishery conservation and due by 10-17-03; management: HEALTH AND HUMAN EFFECT OCTOBER 7, published 9-17-03 [FR 03- SERVICES DEPARTMENT 2003 Alaska; fisheries of 23750] Exclusive Economic Food and Drug Air quality implementation Administration Zone— plans; approval and CONSUMER PRODUCT Human drugs and biological Pacific cod; comments promulgation; various SAFETY COMMISSION products: due by 10-16-03; States: Organization, functions, and Pre- and postmarketing published 10-6-03 [FR California; comments due by authority delegations: safety reporting 03-25265] 10-16-03; published 9-16- requirements; comments National Injury Information Caribbean, Gulf, and South 03 [FR 03-23593] due by 10-14-03; Clearinghouse; transfer Atlantic fisheries— Illinois; comments due by from Epidemiology published 6-18-03 [FR 03- Gulf of Mexico shrimp; 10-15-03; published 9-15- 15341] Directorate to Office of comments due by 10- 03 [FR 03-23268] Secretary; published 10-7- Human drugs: 14-03; published 8-14- Indiana; comments due by 03 03 [FR 03-20681] 10-16-03; published 9-16- External analgesic products HOMELAND SECURITY West Coast States and 03 [FR 03-23592] (OTC); administrative record and tentative final DEPARTMENT Western Pacific Kansas; comments due by monograph; comments Federal Emergency fisheries— 10-16-03; published 9-16- due by 10-15-03; Management Agency 03 [FR 03-23590] Pacific Coast groundfish; published 7-17-03 [FR 03- Flood elevation determinations: comments due by 10- Missouri; comments due by 17934] Florida; published 10-7-03 17-03; published 8-18- 10-16-03; published 9-16- 03 [FR 03-21069] 03 [FR 03-23591] HOMELAND SECURITY INTERIOR DEPARTMENT DEPARTMENT Meetings: North Carolina; comments Fish and Wildlife Service Coast Guard New England Fishery due by 10-15-03; Endangered and threatened Management Council; published 9-15-03 [FR 03- Drawbridge operations: species: comments due by 10-15- 23266] Louisiana; comments due by Hoover’s woolly-star; 03; published 8-19-03 [FR Wisconsin; comments due 10-17-03; published 8-18- published 10-7-03 03-21206] by 10-16-03; published 9- 03 [FR 03-21088] INTERIOR DEPARTMENT ENERGY DEPARTMENT 16-03 [FR 03-23426] Ports and waterways safety: Pesticides; tolerances in food, Surface Mining Reclamation Federal Energy Regulatory Cape Fear River Bridge, animal feeds, and raw and Enforcement Office Commission NC; security zone; agricultural commodities: comments due by 10-14- Permanent program and Electric rate and corporate Hydramethylnon; comments 03; published 7-15-03 [FR abandoned mine land regulation filings: reclamation plan due by 10-14-03; 03-17836] Virginia Electric & Power submissions: published 8-13-03 [FR 03- INTERIOR DEPARTMENT Co. et al.; Open for 20432] Pennsylvania; published 10- Fish and Wildlife Service comments until further Tralkoxydim; comments due 7-03 Endangered and threatened notice; published 10-1-03 by 10-14-03; published 8- species: TRANSPORTATION [FR 03-24818] 13-03 [FR 03-20433] DEPARTMENT ENVIRONMENTAL Water pollution; effluent Critical habitat Federal Aviation PROTECTION AGENCY guidelines for point source designations— Administration Air pollution control: categories: Mussels in Mobile River Airworthiness directives: State operating permit Meat and poultry products Basin, AL; comments Aerospatiale; published 9-2- programs— processing facilities; due by 10-14-03; published 8-14-03 [FR 03 Iowa; comments due by comments due by 10-14- 03-20729] Airbus; published 9-2-03 10-16-03; published 9- 03; published 9-29-03 [FR Bombardier; published 9-2- 16-03 [FR 03-23585] 03-24770] INTERIOR DEPARTMENT 03 State operating permits FEDERAL National Park Service McDonnell Douglas; programs— COMMUNICATIONS Special regulations: published 9-2-03 Iowa; comments due by COMMISSION Yellowstone and Grant 10-16-03; published 9- Common carrier services: Teton National Parks and Satellite communications— John D. Rockefeller, Jr. COMMENTS DUE NEXT 16-03 [FR 03-23584] Satellite and earth station Memorial Parkway, WY; WEEK North Dakota; comments due by 10-17-03; license procedures; winter visitation and published 9-17-03 [FR electronic filings recreational use AGRICULTURE 03-23751] requirements; comments management; comments due by 10-14-03; DEPARTMENT North Dakota; comments due by 10-14-03; published 8-27-03 [FR 03- Agricultural Marketing due by 10-17-03; published 9-12-03 [FR 21332] Service published 9-17-03 [FR 03-23315] Milk marketing orders: 03-23752] HEALTH AND HUMAN JUSTICE DEPARTMENT Pacific Northwest et al.; Air programs; approval and SERVICES DEPARTMENT Alcohol, Tobacco, Firearms, comments due by 10-17- promulgation; State plans Centers for Medicare & and Explosives Bureau 03; published 8-18-03 [FR for designated facilities and Medicaid Services Safe Explosives Act; 03-20689] pollutants: Medicare: implementation:
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Delivery of explosive receipts; Form F-6 use; Longer combination vehicle session of Congress which materials by common or eligibility requirements; operators; minimum have become Federal laws. It contract carrier; comments comments due by 10-17- training requirements and may be used in conjunction due by 10-14-03; 03; published 9-17-03 [FR driver-instructor with ‘‘PLUS’’ (Public Laws published 9-11-03 [FR 03- 03-23737] requirements; comments Update Service) on 202–741– 23093] Insider lending prohibition; due by 10-14-03; 6043. This list is also LABOR DEPARTMENT foreign bank exemption; published 8-12-03 [FR 03- available online at http:// Acquisition regulations; comments due by 10-17- 20368] www.nara.gov/fedreg/ revision; comments due by 03; published 9-17-03 [FR Special training plawcurr.html. 03-23655] requirements— 10-14-03; published 8-15-03 The text of laws is not Entry-level comercial [FR 03-20095] SOCIAL SECURITY published in the Federal motor vehicle operators; LABOR DEPARTMENT ADMINISTRATION Register but may be ordered minimum training Social security benefits: in ‘‘slip law’’ (individual Mine Safety and Health requirements; comments Federal old-age, survivors, pamphlet) form from the Administration due by 10-14-03; and disability insurance— Superintendent of Documents, Metal and nonmetal mine published 8-15-03 [FR safety and health: Stepchildren; entitlement U.S. Government Printing and termination 03-20888] Underground mines— Office, Washington, DC 20402 requirements; comments TREASURY DEPARTMENT (phone, 202–512–1808). The Diesel particulate matter due by 10-14-03; Foreign Assets Control text will also be made exposure of miners; published 8-12-03 [FR Office available on the Internet from comments due by 10- 03-20490] Trading with the Enemy Act; GPO Access at http:// 14-03; published 8-14- implementation: www.access.gpo.gov/nara/ 03 [FR 03-20190] STATE DEPARTMENT Visas; immigrant Civil penalties hearing nara005.html. Some laws may Diesel particulate matter documentation: regulations; comments not yet be available. exposure of miners; due by 10-14-03; comments due by 10- Diversity Visa Program; H.R. 659/P.L. 108–91 diversity Immigrant status; published 9-11-03 [FR 03- 14-03; published 8-26- 22969] Hospital Mortgage Insurance 03 [FR 03-21886] electronic petition; comments due by 10-17- TREASURY DEPARTMENT Act of 2003 (Oct. 3, 2003; NATIONAL AERONAUTICS 03; published 8-18-03 [FR Internal Revenue Service 117 Stat. 1158) AND SPACE 03-21071] Employment taxes and H.R. 978/P.L. 108–92 ADMINISTRATION TENNESSEE VALLEY collection of income tax at To amend chapter 84 of title Grant and Cooperative AUTHORITY source: 5, United States Code, to Agreement Handbook: Agency information collection Federal unemployment tax provide that certain Federal NASA Center, facility, activities; proposals, deposits; de minimis annuity computations are computer system, or submissions, and approvals; threshold; comments due adjusted by 1 percentage technical information comments due by 10-14-03; by 10-15-03; published 7- point relating to periods of access; investigative published 8-27-03 [FR 03- 17-03 [FR 03-18042] receiving disability payments, requirements; comments 21868] Income taxes: and for other purposes. (Oct. due by 10-14-03; 3, 2003; 117 Stat. 1160) TRANSPORTATION Tax-exempt bonds; remedial published 8-15-03 [FR 03- actions; comments due by S. 111/P.L. 108–93 20921] DEPARTMENT 10-14-03; published 7-21- To direct the Secretary of the Photographs and illustrations Federal Aviation 03 [FR 03-18327] Interior to conduct a special in reports or publications; Administration Airworthiness directives: Tax attributes reduction due resource study to determine public acknowledgements; to discharge of Boeing; comments due by the national significance of the comments due by 10-14- indebtedness; cross- 10-14-03; published 8-27- Miami Circle site in the State 03; published 8-15-03 [FR reference; comments due 03 [FR 03-21873] of Florida as well as the 03-20920] by 10-16-03; published 7- Dassault; comments due by suitability and feasibility of its NUCLEAR REGULATORY 18-03 [FR 03-18146] inclusion in the National Park COMMISSION 10-14-03; published 9-19- 03 [FR 03-23937] TREASURY DEPARTMENT System as part of Biscayne Byproduct material; domestic National Park, and for other Learjet; comments due by Alcohol and Tobacco Tax licensing: purposes. (Oct. 3, 2003; 117 10-14-03; published 8-12- and Trade Bureau Stat. 1161) Portable gauges; security 03 [FR 03-20238] Alcohol; viticultural area requirements; comments McDonnell Douglas; designations: S. 233/P.L. 108–94 due by 10-15-03; comments due by 10-14- Dundee Hills, OR; Coltsville Study Act of 2003 published 8-1-03 [FR 03- 03; published 8-27-03 [FR comments due by 10-14- (Oct. 3, 2003; 117 Stat. 1163) 19588] 03; published 8-15-03 [FR 03-21874] S. 278/P.L. 108–95 PERSONNEL MANAGEMENT 03-20914] Pratt & Whitney Canada; Mount Naomi Wilderness OFFICE VETERANS AFFAIRS comments due by 10-14- Boundary Adjustment Act (Oct. Acquisition regulations: DEPARTMENT 03; published 8-14-03 [FR 3, 2003; 117 Stat. 1165) Federal Employees Health 03-20484] Board of Veterans’ Appeals: Last List October 3, 2003 Benefits Program— Rolls-Royce Corp.; Appeals regulations and Large provider comments due by 10-14- rules of practice— agreements, 03; published 8-13-03 [FR Grounds of clear and subcontracts, and 03-20573] unmistakable error Public Laws Electronic miscellaneous changes; VOR Federal airways; decisions; comments Notification Service comments due by 10- comments due by 10-14-03; due by 10-14-03; (PENS) 14-03; published 8-15- published 8-28-03 [FR 03- published 9-12-03 [FR 03 [FR 03-20857] 03-23260] 22042] PENS is a free electronic mail SECURITIES AND TRANSPORTATION notification service of newly EXCHANGE COMMISSION DEPARTMENT LIST OF PUBLIC LAWS enacted public laws. 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VerDate jul 14 2003 22:56 Oct 06, 2003 Jkt 203001 PO 00000 Frm 00004 Fmt 4712 Sfmt 4711 E:\FR\FM\07OCCU.LOC 07OCCU Federal Register / Vol. 68, No. 194 / Tuesday, October 7, 2003 / Reader Aids v
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